Design Manual 1

REPUBLIC OF YEMEN
MINISTRY OF PUBLIC WORKS

AND HIGHWAYS
RURAL ACCESS PROJECT
CENTRAL MANAGEMENT OFFICE
(RAPCMO)

RURAL ROADS
DESIGN MANUAL

ISSUED: OCTOBER 2004

REVISED: FEBRUARY 2005
REVISED: MAY 2005
REVISED: JANUARY 2006

PREPARED AND COMPILED BY

SECTION 1

INTRODUCTION

Section
1
Rural Roads Design Manual
Section 1 - Introduction
Republic of Yemen
Ministry of Public Works and Highways
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SECTION 1
INTRODUCTION

TABLE OF CONTENTS

Page

1.1 Background 1

1.2 Objectives 2

1.3 Scope 2

1.4 Design Process 3

1.5 RAP Roads Design Philosophy 6
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SECTION 1
INTRODUCTION

1.1 BACKGROUND

Insufficient infrastructure and inadequate access to social services have
been a major deterrent to rural development in Yemen. In 1995 there was
about 64,500 km of roads, 4,800 km of them paved (about 7.5%). Many
areas are inaccessible to vehicles leaving a large sector of the population
suffering from accessibility problems to the basic services they need. In
1996 there were 229,000 passenger cars, a ratio of 31 people per car. In
remote areas people rely principally on non-motorized transport.

The Rural Access Program initiated by the Government of Yemen with
support from the World Bank aims at improving the livelihood and
reducing the isolation of the rural population in Yemen.

To achieve this objective, the Program will improve planning and
implementation of rural roads, thereby reducing a major obstacle to rural
economic growth caused by poor access. The Program will be implemented
in three phases:

Phase I :
(2001 to 2005) is setting up the institutional and technical
foundation of rural road projects. The approach has been
tested in 22 pilot clusters that consist of intermediate roads
combined with adjacent tertiary or village-access roads.
This phase also includes formulation of a National
Highway Master Plan and Governorate Rural
Accessibility Master Plans which provide the basis for
selection of future rural road investments.
Phase II :
(2005 to 2007) will tackle access problems mainly at
intermediate road level, also covering related tertiary
roads, while setting up a policy and organization
framework for gradually moving to feeder networks.
Phase III:
(2007 to 2011) will tackle the improvement of tertiary
roads at District level, while continuing to support the
development and management systems of intermediate
networks.

The Rural Access Program is implemented as a nation-wide program,
covering all 20 Governorates of the country, and their 333 Districts. The
Governorate Accessibility Master Plans developed in Phase I provide the
foundation for rational planning and prioritization for rural access
investments, as well as decentralized institutional arrangements and
financing for management and maintenance of the rural roads.

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1.2 OBJECTIVES

The Ministry of Public Works and Highways Rural Access Project
Central Management Office (RAP-CMO) is in the process of contracting
local consultants who will be responsible for the preparation of detailed
design and supervision of construction for a number of Rural Intermediate
Roads and Village Access Roads.

As a part of the capacity building process adopted by RAP for local
consultants, RAP has undertaken to develop comprehensive standards for
rural roads to serve the country in effectively developing this sector.

This Design Manual addresses the needs of road engineers and designers
for safe, economical and environmentally sound designs of rural roads and
rural intermediate roads in Yemen at the levels of the Governorate, District
as well as Village Access. These roads are typically low volume roads with
average daily traffic in the range of 100-1000 vehicles per day, located in
various types of terrain and climatic conditions prevailing in Yemen.

1.3 SCOPE

The scope of work for developing this manual included review of existing
design guidelines and standards developed previously, comments from
MPWH and RAP, field visits undertaken to various projects sites,
discussions with consultants and contractors as well as the workshop
conducted in Sanaa in May 2004.

This Manual consists of the following sections:

Section 1 - Introduction (this Section)
Section 2 - Design Classes, Design Speed and Traffic
Section 3 - Geometric Standards
Section 4 - Earthworks and Pavement
Section 5 - Hydrology
Section 6 - Hydraulic Design
Section 7 - Road Safety
Section 8 - Retaining Walls
Section 9 - Roads Economic Analysis
Section 10 - Environmental and Social Assessment
Section 11 - Typical Structures and Design Details
Section 12 - Annex A - Yemen Meteorological Data

The design standards presented in this document are based on several
sources exemplifying sound international experience and best practice, as
well as specific studies carried out in Yemen. The main sources include:

- AASHTO A Policy on Geometric Design for Highways and
Streets.

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- AASHTO Guidelines for Geometric Design of Very Low-Volume
Local Roads (ADT 400).

- National Highway and Rural Access Master Plan Study Road
Classification System, Ministry of Public Works and Highways
Yemen.

- TRL Road Note 6 A Guide to Geometric Design, 1988.

- TRL Road Note 31 A Guide to the Structural Design of Bitumen
Surfaced Roads, 1993.

- TRL Road Note 19 A guide to the design of hot mix asphalt in
tropical and sub-tropical countries, 2002.

- TRL Road Note 40 A guide to axle load surveys and traffic counts
for determining traffic loading on pavements, 2004.

- World Bank The Roads Economic Decision Model (RED),
SSATP working paper No. 78, July 2004.

- World Bank Roads and the Environment Handbook.

- RAPCMO Sectoral Environmental Assessment, Vol. 1, 2004.

- RAPCMO Sectoral Environmental Assessment, Vol. 2, Safeguard
Policy Framework, 2004.

1.4 DESIGN PROCESS

The roads design process is shown in Figure 1.1. The activities of the
design process are cross referenced with the specific Section of this manual
dealing with the subject activity.

Potential environmental impacts of rural road projects have been a main
concern for RAP, and the remainder of the overall program has been placed
in environmental category A to allow roads with potential major
environmental impacts to be included. For this purpose Section 10 of this
Manual is dedicated to environmental and social assessments and
mitigation planning. Figure 1.2 shows how the environmental assessment
process is synchronized with the project cycle processes.

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Traffic analysis of
alternative routes
Economic analysis
Environmental Screening
and Categorization
2
9
10
Project, Planning,
Prefeasibility and
Feasibility Studies
Preliminary Geometric
Design
Geotechnical Studies
EA Consultations
and Impact Analysis
3
4
10
Preliminary
Design
Geometric Design
Subgrade strength uniform
sections subgrade classes
earthworks design
Pavement materials and
pavement design
3
4,8
4
Final
Design
Drainage Design
Safety Design
Environmental
Management Plan
5,6
7
10
Drawings, Specifications
BOQ, Conditions of contract
RAPCMO
Formats
Tender
Documents
Project Process Activities
Section of this
Manual
Figure 1.1 Roads Design Process
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EA
Phases
EA Planning:
Project
Identification and
Project Concept
Preliminary and
Final Design
Project Tendering
Execution
Project Management
and Supervision
Project Completion
and Post Evaluation
Operation and
Maintenance
Project Cycle
Processes
Project Phases
Operation &
Maintenance
Construction Project Preparation and Design
Planning,
Pre-feasibility and
Feasibility Studies
- Scoping and
Screening
- Identification of
issues and
applicable
safeguards policies.
- Categorization
- Action plan
CMO - E&S Unit
Responsibilities
EA, SFA &
Consultations
- Draft EA
- Draft SFA
- Women
consultations
- Disclosure of draft
EA and SFA to
communities
- Signing of Final
SFA
- Final version of EA
Consultant /
CMO - E&S Unit
Environmental
Contract
Specification
- Incorporation of
EMP into contract
documents
- Pre-tender briefing
CMO - E&S unit /
Consultant, Districts
& Communities
Implementation and
Monitoring
- EMP
implementation
- Compliance
monitoring and
reporting on
environmental and
social mitigation
measures
Consultant /
CMO - E&S Unit
Post Evaluation
- Compliance
summary
- Unanticipated
impacts
- Lessons learned
Contractors
CMO - E&S Unit, RE
& Local Community
O & M Monitoring
- Compliance
monitoring and
reporting on
environmental and
social mitigation
measures
Contractors
CMO - E&S Unit RE
& Local Community
EA
Activities
Figure 1.2- Integration of Environmental and Social Management Process in the Project Cycle

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1.5 RAP ROADS DESIGN PHILOSOPHY

The fundamental characteristics of rural roads that distinguish them from
other roads in the national network include:

- Low traffic volumes with ADT generally < 1000 vehicles per day,
with many roads having ADT 400 vpd. Such volumes of traffic
indicate that accident-prone encounters between vehicles are rare
events and the probability of collision is small.

- The rural and local access natures of these roads indicate that most
drivers using them are familiar with their nature as well as the
nature of the terrain traveled. This familiarity reduces the elements
of risk resulting from design features that may surprise unfamiliar
drivers, but are anticipated by familiar drivers.

- The nature of the mountainous terrain in Yemen makes it
economically prohibitive, or physically impossible to construct
roads at the normal standards. Thus, relaxed standards are
necessary in order to ensure a cost-effective approach to the road
system. Relaxation of standards apply especially for roads in
difficult mountainous terrain and for road projects involving
existing tracks or existing alignments where full reconstruction is
economically unjustified. Thus the designer is encouraged to relax
the standards to avoid unnecessary improvement on existing
alignments, but also to look for evidence of site specific safety
problems in order to mitigate them.

- A substantial portion of rural road projects pertain to paving,
improving or upgrading tracks on existing alignments and adding
retaining walls, culverts, Irish crossings, slope stability treatments
or safety appurtenances. In such situations, it is recommended that
standards be relaxed to avoid the cost of full reconstruction for these
facilities, especially where the cost of changes in the alignment is
often unjustified.

Generally, the most important design criteria for roads and highways
include:

- Level of service, including operational quality of the road.
- Safety.
- Constructability, and
- Maintainability.

Flexibility to accommodate future uncertainty reflected in traffic volumes,
mix and operating conditions, is an important concern in developing design
criteria. Design criteria developed internationally normally express
geometric dimensions as minimum values of lane width, shoulder width,
curve radius, stopping sight distance, k-value,, or maximum values of
grades, superelevation, These criteria are historically developed to be
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safety conservative and risk-averse, providing a margin of safety that takes
into consideration a wide range of conditions that might occur on the road
system. They are not based on rigorous cost-effectiveness approach, but
have established values that are judged to be reasonable and prudent, given
overall costs, impacts, and benefits.

The design guidelines for very low-volume roads developed by AASHTO
are based on safety risk assessment which results in comparable margins of
safety presented in the AASHTO Policy on Geometric Design of
Highways and Streets for higher volume roads.

For rural low volume roads the design criteria should be based on tradeoffs
between, on one hand, differences in construction and maintenance costs,
and estimated impacts on safety. This makes cost-effectiveness as the
appropriate basis for defining minimum design criteria or values for low
volume rural roads.

This Manual is prepared to be a fairly comprehensive document and to
cover all the important elements of rural road designs encountered by
RAP. Yet, no manual can supersede good engineering judgment and
the application of sound principles by knowledgeable designers who
can tackle unique and often conflicting design requirements and
develop tailored solutions to specific design problems.

SECTION 2

ROAD CLASSES, DESIGN SPEED
AND TRAFFIC

Section
2
Section 2 - Road Classes, Design Speed and Traffic
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SECTION 2
ROAD CLASSES, DESIGN SPEED AND TRAFFIC

TABLE OF CONTENTS

Page

2.1 Introduction 1

2.2 Road Classes 1
2.2.1 Roads Functional Classification 1
2.2.2 RAP Roads Design Classes 4

2.3 Design Speed 6
2.3.1 Design Speed Criteria 6
2.3.2 Design Speed Standards 7
2.3.3 Relaxation of Standards 7

2.4 Traffic 10
2.4.1 Design Life 10
2.4.2 Baseline Traffic Flow Estimation 11
2.4.3 Traffic Forecasting 13
2.4.4 Axle Load Distribution 14
2.4.5 Equivalence Factors 15
2.4.6 Cumulative Equivalent Standard Axles 16
2.4.7 Example on the analysis of traffic count data 18
2.4.8 Example on Calculation of Equivalence Factors 22
2.4.9 Example on Calculation of Cumulative Equivalent Standard Axles 24

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SECTION 2
ROAD CLASSES, DESIGN SPEED AND TRAFFIC

2.1 INTRODUCTION

The criteria used in the geometric design shall be pertinent to the local
conditions with respect to technical application and development trends.
They shall further be economically feasible, taking into consideration all
the relevant conditions and circumstances such as climate, topography and
geotechnical conditions encountered in the different regions of the country.

The design standards shall not impose any limits on the needs of society for
the development of transportation and the implementation shall be
undertaken with due regard to all relevant data and conditions, both
existing and forecast. In this Section of the Manual, special emphasis has
been placed on the functional classification of roads and as these are
considered the most important parameters for harmonization of RAP road
projects within the national road network.

Economic constraints may justify adoption of lower geometric standards
than are desirable, but economic restrictions will not justify abandoning a
balanced geometric design by downgrading only some of the design
elements, as for example, reducing the formation width without adjusting
the design speed accordingly. However, 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 (see Section 9 for economic
analysis).

The objectives of this Section is to provide RAP with guidelines that clarify
the process of selecting the appropriate types of roads for various levels of
traffic, road function and type of terrain, in order to prepare consistent, safe
and economic solutions.

Recommendations for geometric design standards have been made in
Section 3 for various types of rural and access roads.

2.2 ROAD CLASSES

2.2.1 Roads Functional Classification

The classification system is based on the function of roads, grouping them
by the type of service they provide. The standard and level of service varies
according to the function, and the standards for each class are adjusted
according to the traffic volume.

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This functional concept is important to the design of new roads, and is
consistent with a systematic approach to design and transportation
planning.

In general, the system consists of primary, secondary and tertiary networks
according to mobility and function, importance at the national level, and
administrative jurisdiction.

The Road Classification System recommended by the National Highway
and Rural Access Master Plan Study (NHRAMP) emphasizes the attribute
of administrative responsibility. The rationale is to enable the enactment of
Law No. 4 of 2000 on Local Authority, whereby Mohafazas and Mudiriyas
will in the future assume the responsibility for Secondary and Tertiary
Road Networks in their respective areas. The following classification has
been recommended:

i. National (Primary) Road Network

Jurisdiction: Ministry of Public Works and Highways (MPWH).
Function: Primary routes linking major regions and forming
direct connections between Sanaa and the
Mohafaza Centers, primary regions, and major
international border crossings.
Trip Lengths: Likely to be long and speeds relatively high.
Geometric Standards: High.

The recommended classes include:

I nternational Roads: Roads selected under the ESCWA agreement
to provide a high-class network with bordering countries.

National Main Roads: Roads not designated as International
Roads; routes between Sanaa and Governorate (Mohafaza) centers;
routes between Governorate centers.

National Strategic Roads: Roads of economic and strategic
importance such as Toll Roads, Expressways, links to major ports,
airports, and popular heritage sites. Several other triggers should
be investigated when considering the National Strategic Roads
including traffic density and corridor population served by the
access.

ii. Governorate (Secondary) Road Network

One class: Governorate Roads

Jurisdiction: Currently under MPWH, but ultimately will be
under the Governorate (Mohafaza) Administration.
Function: Main direct links between the Governorate Center
and the District (Mudiriya) Centers, between
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District Centers, between National Roads and
District Centers, Secondary ports and to secondary
border crossings. Collection and distribution of
traffic between the primary and tertiary roads within
the region.
Trip Lengths: Traffic flows and trip lengths are of an intermediate
level.
Geometric Standards: Adequate geometric standards. Speeds
depend on the type of terrain.

iii. District (Tertiary) Road Network

At the District level, roads are currently under the jurisdiction of
MPWH. It is expected that the responsibility for these roads will be
transferred to the Governorate, and ultimately to the Districts when
their capacity is strengthened.

Two classes have been recommended in this category:

District Roads

Function: Provide links between Governorate Roads, and give
access from District centers to subdistricts and
between subdistricts. Roads with traffic volume
greater than 100 vehicles per day to tourist sites,
mines,
Trip Lengths: Intermediate to short.
Geometric Standards: Minimum geometric standards, especially
in mountainous areas. Speeds depend on the type of
terrain. Relaxed standards for existing alignments.

Village Roads

Function: Rural access not classed above. Provide access from
villages to district and other roads, access to land
and settlements. Light vehicular flows and non
motorized traffic.
Trip Lengths: Relatively short.
Geometric Standards: Low geometric standards, sufficient for
appropriate access. Relaxed standards for existing
alignments.

Primary Roads including International Roads provide a high degree of
mobility for the longer journeys and therefore provide a high level of
service with high design speed.

The Secondary Roads serve a dual function in accommodating the
intermediate trips and collection and distribution of traffic to and from the
main routes. They must provide an adequate degree of mobility to serve
district centers. An intermediate level of service is normally required.
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The Tertiary Roads have relatively short trip lengths, serving local traffic as
their main function. A relatively low design speed is normally applicable to
local roads, especially in mountainous areas.

Rural Roads and Village Access Roads come under classes (ii) and (iii)
above.

2.2.2 RAP Roads Design Classes

International practice is to design roads according to a design speed which
varies depending on the functional class of the road and type of terrain.
However, the concept of design speed is not always appropriate as the basis
for geometric design as it can be uneconomic.

Designs should be justified economically and the optimum geometric
standards will depend on both construction and road user costs.
Construction costs will be related to the terrain and choice of pavement,
while road user costs are directly related to the volume and composition of
traffic. It is therefore recommended that the basic parameters for road
function, terrain type and traffic flow are defined initially. On the basis of
these parameters, a design class is selected, while design speed is used only
as an index which links design class to the design parameters of sight
distance and curvature to ensure that a driver is presented with a reasonably
consistent speed environment.

RAP Roads Functional Classification:

The NHRAMP has recommended the following classes for the Rural
Intermediate Roads and Village Access Roads:

1. Governorate (Secondary) Roads have mainly movement function
at the Mohafaza level and access as a minor function. They are two-
lane paved roads with traffic flows up to 5000 vehicles per day.

2. District (Tertiary) Roads have movement and access functions of
equal importance at the Mudiriya level. Traffic flows are in the
range of 100-1000 vehicles per day. For traffic flows greater than
400 vpd, these roads are usually paved.

3. Village and Local Access (Feeder) Roads have access as primary
function. Vehicular flows are light (less than 400 vpd) with the
occurrence of non-motorized traffic. These roads could be both
paved or unpaved as determined by economic analysis.

Table 2.1 shows the functional classification and design classes for RAP
roads. Most of these roads fall in classes B, C and D.

For the purpose of this Manual, class (1) is considered as Rural
Intermediate Roads and class (3) Village Access Roads. Class (2) provides
for the intersection of classes (1) and (3) by virtue of providing both
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movement and access functions. It should be noted that in practice there are
many overlaps of functions, and clear distinctions will not always be
apparent on functional terms alone.

The design of village access roads should be based on the criterion of
achieving an appropriate level of access, and should be based on minimum
requirements of radii, width, and gradient for economic purposes.

TABLE 2.1 RAP ROADS FUNCTIONAL CLASSIFICATION AND DESIGN CLASSES
Road Class
Design
Class
Traffic
Flow
(ADT)
Number
of Lanes
Surface
Type
R
u
r
a
l

I
n
t
e
r
m
e
d
i
a
t
e

Secondary
(Governorate)

Tertiary
(District)

Feeder
(Village & Local Access)
A 1000-3000 2 paved
B 400-1000 2 paved
V
i
l
l
a
g
e

A
c
c
e
s
s

C 100-400 2
paved
unpaved
D < 100 1
paved
unpaved

Where a road has a potential to be upgraded to a higher class or to be used
by heavier traffic flows, early consideration of appropriate geometric
standards in terms of alignments are assessed, because it will become more
difficult to improve its alignment in the future.

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 B rather than
Design Class A geometry. The design flow band in this case is therefore

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400-1000 vehicles per day. Design to the higher Design Class would result
in an overdesigned facility during almost the whole of its life. If the initial
flow were 410 vpd, design would still be Design class B.

Types of Terrain

The following classification of terrain types is adopted:

Flat terrain Flat or gently rolling country which offers few obstacles to
the construction of a road having continuously unrestricted
horizontal and vertical alignment (transverse terrain slope
max. 5%).
Rolling terrain Rolling, hilly or foot-hill country where the slopes generally
rise and fall moderately gently and where occasional steep
slopes may be encountered. It will offer some restrictions in
horizontal and vertical alignment (transverse terrain slope
5% - 20%).
Mountainous
terrain
Rugged, hilly and mountainous country with river gorges.
This class of terrain imposes definite restrictions on the
standard of alignment obtainable and often involves long
steep grades and limited sight distances (transverse terrain
slope more than 20%).
Escarpment
terrain
Long precipitous clifflike ridge commonly formed by
faulting. This class of terrain introduces restrictions on cross-
section width, lateral clearances, and driving safety.

In general, construction costs increase with the difficulty and ruggedness of
the terrain and higher standards become less justifiable or achievable. Road
users should expect lower standards in such terrain as exemplified in the
design speed, alignment and cross section.

2.3 DESIGN SPEED

2.3.1 Design Speed Criteria

Design speed is a speed selected to ensure efficient vehicle operation
having regard to the influence of the physical features of the roadway. It is
the maximum speed maintainable over a specified section of roadway when
conditions are so favorable that the design features of the roadway govern.

A roadway carrying a large volume of traffic may justify a higher design
speed than a less important one in similar topography. A low design speed
shall not be assumed for a secondary road where the topography is such
that drivers are apt to travel at high speeds.

As high a design speed as practicable shall be used, preferably a constant
value for any one highway. Where there is variation in terrain and other
physical controls, changes in design speed may be necessary for some
sections of roadway. The following features influence the choice of a
design speed in the case of rural intermediate roads: the character of the
terrain, traffic volumes and economic considerations. Although the actual
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maximum speed that could be attained on any road is dictated by the
geometric characteristics of that road, other factors such as surface type and
drivers perception of safety play a major role in setting the design speed.
As for village access, the only influencing feature is the character of the
terrain, since it is an established fact that these roads carry very low traffic
volumes, and they are treated as low cost access roads, which eliminates
the economic factor.

2.3.2 Design Speed Standards

Vertical and horizontal alignment, sight distance, and superlevation will
vary appreciably with design speed. Such features as pavement width,
shoulder width, and side clearances are usually not affected. On the other
hand, the actual speeds are determined by geometry and the quality of the
road surface.

The choice of design speed shall be a logical one with respect to the
different influencing features taking into account drivers behavior
especially in flat terrain in Yemen. Accordingly, design speeds that are
considered on the rural intermediate roads and village access range between
20 kph in the difficult escarpments and 100-120 kph in flat areas with
good visibility. Needless to say that for some extreme stretches, the speed
may not exceed 10 kph. Table 2.1 presents proposed design speeds on
different terrain types.

TABLE 2.2 DESIGN SPEEDS FOR RURAL ROADS BY TYPE OF TERRAIN
Road Type
Design Speed (km/h)
Escarpment
Flat Rolling Mountainous
Rural Intermediate
(Secondary)
100-120 70-80 40 20
Tertiary/Feeder Roads
Paved
80-100 60-70 40 20
Village and Local Access
Roads Gravel
60-80 50-60 30 20

Concerning the influence of features other than topography on rural
intermediate roads, traffic volumes and economic considerations should be
assessed and the design speeds shown in the Table above should be varied
to correspond to the specific conditions of each road. Table 2.3 shows the
design speeds for various design classes and traffic volumes.

2.3.3 Relaxation of Standards

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.

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In other cases, 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 careful consideration.

Segments subject to speed reduction should have appropriate signing or
other warning measures. 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.

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.

Reductions in standards should only apply to stopping distances and
curvature. Widths should not be reduced as they are particularly flow
related, and additional widening may be required on curves with the tighter
radii (TRRL Road Note No.6).

The nature of the mountainous terrain in Yemen makes it economically
prohibitive, or often physically impossible to construct roads at the normal
standards. Thus, relaxed standards are necessary in order to ensure a cost-
effective approach to the road system. Relaxation of standards apply
especially for roads in difficult mountainous terrain and for road projects
involving existing tracks or existing alignments where full reconstruction is
economically unjustified. Thus the designer is encouraged to relax the
standards to avoid unnecessary improvement on existing alignments, but
also to look for evidence of site specific safety problems in order to
mitigate them.

A substantial portion of the rural road projects pertain to paving, improving
or upgrading existing tracks and alignments and adding retaining walls,
culverts, Irish crossings, slope stability treatments or safety appurtenances.
In such situations, it is recommended that standards be relaxed to avoid the
cost of full reconstruction for these facilities, especially where the cost of
changes in the alignment is often unjustified.

Rural Roads - Design Manual
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TABLE 2.3 DESIGN SPEED FOR RURAL ROADS BY DESIGN CLASS, TRAFFIC VOLUME AND TYPE OF TERRAIN

Road Class
Design
Class
Traffic Flow
Number of
Lanes
Surface
Type
Design Speed (Km/h)
Flat Rolling Mountainous Escarpment
R
u
r
a
l

I
n
t
e
r
m
e
d
i
a
t
e

Secondary
A 1000-3000 2 paved 120 80 40 20
(Governorate)

Tertiary
B 400-1000 2 paved 100 70 40 20
V
i
l
l
a
g
e

A
c
c
e
s
s

(District)

C 100-400 2
paved 100 70 40 20
unpaved 80 60 30 20
Feeder
D < 100 1
paved 80 60 30 20
unpaved 60 50 30 20

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2.4 TRAFFIC

Traffic volume and composition are needed for the purpose of geometric
design and the evaluation of economic benefits. On the other hand,
pavement design is mainly based on the magnitude of individual axle loads
and their frequency over the design life. Because the lighter vehicles have
negligible contribution to pavement damage, they may be ignored and only
the number of axle loading of the heavier vehicles need be considered.

This section covers the methodology for estimating traffic flows and
determining the esa cumulative number (see TRL Road Note 31). This
methodology is shown in Figure 2.1 below.

2.4.1 Design Life

The choice of a design period is mainly governed by budgetary
considerations, whereby in order to reduce the initial expenditures lower
design periods may be considered.

An economic analysis period of 10-20 years from the date of opening is
normally used. At the end of the analysis period the road will still have a
residual value. A pavement design life of 15 years is considered appropriate
for many road projects. At the end of the design life, the pavement will
need to be strengthened to be able to carry traffic over a further period.

Choosing a design period should not be confused with pavement life. At
the end of its design period, a pavement will only require to be
strengthened in order to carry traffic for a further period. At the end of its
design life, the pavement will be completely worn out to the point where
reconstruction is needed. During the design period, only ordinary
maintenance will be carried out, i.e. shoulders and drainage system
maintenance, vegetation control, localized patching and periodic resealing.

A pavement management system would involve condition surveys to be
carried out annually or biannually as part of the maintenance inspection
procedures. A condition database would be established for decision support
not only on maintenance requirements but also to identify condition
attributes and their rates of change and if and when the pavement would
need strengthening.

Such a system would also help to adopt staged construction approach
involving planned improvements to the pavement at fixed times during the
project life. For example a road can be opened as a gravel road with surface
dressing when the forecasted traffic volumes are low and then upgraded to
asphaltic concrete pavement standard when justified by increased traffic
volumes.

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Figure 2.1 Methodology for Traffic Flow Analysis and Forecasting.

2.4.2 Baseline Traffic Flow Estimation

Baseline traffic volume is estimated using the Average Annual Daily
Traffic (AADT) currently using the route, classified into various vehicle
categories (cars, light commercial vehicles, trucks, and buses).

The AADT is defined as the total traffic volume for both directions of flow
during the year divided by 365. For structural design purposes the traffic
Determine Design
Life
Survey of baseline
Traffic Flows
Traffic Forecasting
-Normal traffic
-Diverted traffic
-Generated traffic
Establishing axle
loading
-Survey of axle Loads
-Determine equivalence
factors for various
types of vehicles
-Determine cumulative
equivalent standard
axles (esa) over design
life
Determine
Traffic Classes
T
1
, , T
8
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volumes are taken in one direction which requires care in interpreting
AADT figures.

Another estimate of daily traffic is the Average Daily Traffic (ADT)
which is defined as the total traffic in both directions over a given period
less than one year divided by the number of days in that period. The longer
the period of traffic counts the more accurate the ADT approximates
AADT, as traffic flows have daily, weekly and seasonal variations. Roads
carrying less than 1000 vehicles per day exhibit high daily variability
resulting in large errors in estimating ADT (and consequently annual traffic
flows) from traffic counts measured over a period less than one week. A
considerable decrease in the error of estimation can be realized with counts
taken over a full week. This provides traffic flow data for work days,
weekends as well as 24 hours variations. If a full week count is not
possible, there should be at least one 24-hour count on a weekday and one
during a weekend, with 16-hour counts on the other days. The 16-hours
counts are grossed up to 24-hour values in the same proportion as the 16-
hour/24 hour split (see section 2.4.7 below).

In order to account for seasonal variations several one-week counts may be
repeated, if possible, throughout the year. These automatic counts should be
supplemented by manual classification counts to obtain information on
vehicle classes.

A formal country-wide traffic data collection program should be
established to support urban, regional and national transportation planning
activities, and to provide various indicators and seasonal adjustment
factors.

Moving Observer Counts

Moving observer counts are used to obtain a broad impression on vehicle
flows and to provide a guide for the choice of sites for carrying out detailed
traffic counts. The survey can be conducted using a hand tally to record the
number of vehicles by type for a journey time of at least one hour. The
traffic flow is estimated from:

q =
t
z y x +

where,

q = Total flow in both directions in time t
x = Number of vehicles traveling in the opposite direction.
y = Number of vehicles overtaking the observer.
z = Number of vehicles overtaken by the observer.
t = journey time in hours.

The hourly flow is q
h
= q/t and the daily flow can be estimated from
q
d
= 16 q
h

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Such counts can be useful as a cross check on static counts and to assess
the extent of daily or seasonal variations in traffic flow.

2.4.3 Traffic Forecasting

Three components contribute to overall traffic volumes:

i. Normal Traffic

Normal traffic is the traffic using the existing route if no pavement
were provided.

Normal traffic may be forecasted using linear time series
extrapolation of traffic levels i.e. a fixed percentage increase. If
Gross Domestic Product (GDP) forecasts are available, traffic flows
can be forecasted by relating traffic growth linearly to GDP.

ii. Diverted Traffic

Diverted traffic is the traffic that is attracted from another route to
the new road due to improved pavement.

Traffic diversion occurs when parallel routes exist. Improving an
existing road may result in diverting traffic from a shorter route
because higher speeds and level of service are available on the
improved one. Diverted traffic can be estimated using origin-
destination surveys with the assignment of diverted traffic done on
an all-or-nothing basis, ensuring that all perceived costs are
included. Alternatively, a standard assignment computer program
may be used for modeling various scenarios.

The rate of growth of diverted traffic is normally forecasted at a
similar rate as that on the road from which it diverted.

iii. Generated Traffic

Generated traffic is the new traffic developed in response to the
improved road.

Generated traffic is induced by cost or time reduction or by the
additional development brought about by the road investment. If
the road improvement is relatively small, generated traffic will be
small. If the new road opens access to a totally undeveloped area
resulting in large reductions in transport costs (for example as a
result of changing mode from animal based to vehicular transport),
the generated traffic could form the main component of future
traffic.

For estimating generated traffic, the approach using price elasticity
of demand is recommended. This elasticity determines the
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responsiveness of traffic to the decrease in transport cost accruing
from road improvement. Available data indicate that the elasticity
of demand for passenger trips is slightly greater than one, while that
for goods is much lower.

In Section 9 of this Manual, generated traffic is defined by the
Roads Economic Decision Model in two components:

i. Generated Traffic is the traffic attributable to decrease in
transport costs, associated with existing users of the project
road driving more frequently or driving further than before.
Generated traffic may be defined as a percentage of the
normal traffic, or by using a price elasticity of demand
which reflects the % increase in traffic per percent decrease
in transport costs.

ii. Induced Traffic is the traffic attributable to local economic
development, i.e. traffic attracted to the project due to
increased development activity in the roads zone of
influence brought about by the project. Induced traffic is
determined for each project alternative, each vehicle type
and year induced.

2.4.4 Axle Load Distribution

The damage to pavements is strongly related to axle loads. For pavement
design purposes, a standard axle of 8.16 tons is used to develop
equivalence factors that relate empirically the damaging effect of various
axle loads to the standard axle.

The axle configuration of various trucks and their classification
designations are shown in Figure 2.2.

The cumulative axle load damage on a pavement during its design life is
determined by converting the total number of heavy vehicles that will use
the road during its design life to a cumulative number of equivalent
standard axles (esa).

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Figure 2.2 Axle Configuration and Classification codes
for Various Types of Trucks.

Axle load surveys of heavy vehicles are carried out for the design of major
road projects. Mobile vehicle weighbridges can be used for such surveys to
obtain the axle load distribution of a sample of heavy vehicles using the
road. The mobile weighbridge should be fixed on a small pit in a level
position with the surrounding area to ensure that all axles are kept in the
same horizontal plane and eliminate any error attributed to the tilt of the
vehicle. Each axle is weighed separately. A maximum of 50 vehicles per
hour are weighed and the duration of the survey should take into account
the considerations mentioned above.

Special attention should be given to roads which exhibit directional
imbalance of axle loads, whereby trucks are fully loaded on one direction
and empty on the other. In this case the data from the more heavily loaded
lane should be used when determining the esa for pavement design.

2.4.5 Equivalence Factors

Computer programs or spreadsheets provide a detailed tabulation of survey
results as well as the mean equivalence factor for each vehicle class.
1.1
1.2
1.21
1.22
1.2 2
1.2 22
1.22 22
1.2 + 2.2
1.22 + 2.22
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The equivalence factors that are used to convert single axle loads to
equivalent standard axle is given by the relationship:

Equivalence Factor = EF =
4.5
8.16
(Tons) load Axle
(

Table 2.3 shows the equivalence factors (EF) for each of the wheel loads
measured in the axle load survey. The above equation is used on all axle
loads obtained by weighing axles separately. The EF per vehicle is obtained
by adding the EFs for all axles of each vehicle. The factors for the axles are
totaled to give the equivalence factor for each of the vehicles. The mean
equivalence factor for each class or type of vehicle traveling in each
direction is then determined for all vehicles in the vehicle class whether
loaded or empty.

Table 2.3 Equivalence Factors for different axle loads
Wheel load
(single & dual)
(10
3
kg)
Axle load
(10
3
kg)
Equivalence Factor
EF
1.5 3.0 0.01
2.0 4.0 0.04
2.5 5.0 0.11
3.0 6.0 0.25
3.5 7.0 0.50
4.0 8.0 0.91
4.5 9.0 1.55
5.0 10.0 2.50
5.5 11.0 3.83
6.0 12.0 5.67
6.5 13.0 8.13
7.0 14.0 11.3
7.5 15.0 15.5
8.0 16.0 20.7
8.5 17.0 27.2
9.0 18.0 35.2
9.5 19.0 44.9
10.0 20.0 56.5

2.4.6 Cumulative Equivalent Standard Axles

The following procedure is used to calculate the cumulative number of
standard axles over the design period:

(1) Using the traffic survey results, determine the daily traffic flow for
each class of heavy vehicle weighed.

(2) Determine the average daily traffic flow for each class of vehicle in
each direction.

(3) Forecast the cumulative directional traffic flow for each class of
vehicle over the design life (V
1i
, V
2i
).

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(4) Determine the mean equivalence factor for each class of vehicle and
for each direction from the results of the axle load survey (EF
1i
,
EF
2i
).

(5) Calculate the cumulative equivalent standard axles for each
direction (T
1
, T
2
) as follows:

=
1i 1i 1
EF x V T , for direction 1

=
2i 2i 2
EF x V T , for direction 2

T, the higher of the two directional values T
1
, T
2
should be used for
design.

Where,
T
1
= Cumulative Equivalent Standard Axles for direction 1.
T
2
= Cumulative Equivalent Standard Axles for direction 2.
V
1i
= Cumulative directional flow for class i vehicle over the design
period for direction 1.
V
2i
= Cumulative directional flow for class i vehicle over the design
period for direction 2.
EF
1i
= Mean equivalence factor for class i vehicle for direction 1.
EF
2i
= Mean equivalence factor for class i vehicle for direction 2.

In most cases the initial axle load spectrum remains fixed, i.e. the axle load
distribution of the total population of heavy vehicles using the roads
remains constant over the design period. In such cases an alternative
formula for calculating the cumulative number of equivalent standard axles
can be used:
T = 365 x t
1
x
i
i
N
1 ) 1 ( +

Where,

t
1
is the average daily number of equivalent standard axles in the first
year after opening (one direction).
i is the annual growth rate expressed as a decimal fraction.
N is the design life of the pavement in years.

In the case of single-lane bituminous roads, traffic tends to be more
channelized than on two-lane roads. The effective traffic loading was
shown to be twicethat of a wider road. Accordingly the pavement thickness
in this case should be based on four times the total number of heavy
vehicles that travel in one direction.

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In order to minimize the effects of errors of estimation and forecasting, the
TRL Road Note 31 provides fixed structures for ranges of traffic as shown
in Table 4.4. As long as the estimate of T is close to the center of a range,
errors are not likely to affect the pavement design. If the value of T is close
to the boundaries of the range, then sensitivity analyses should be made to
ensure that the choice of traffic classes is appropriate.

TABLE 2.4 TRAFFIC CLASSES
Traffic Classes Range (10
6
esa)
T1 < 0.3
T2 0.3 0.7
T3 0.7 1.5
T4 1.5 3.0
T5 3.0 6.0
T6 6.0 10
T7 10 17
T8 17 30

2.4.7 Example on the analysis of traffic count data

Given: A manual classified traffic count was conducted during a week in
July on a site with equal traffic flow in both directions. The data for
commercial vehicles are shown in Table A. The data for non-commercial
vehicles has already been analyzed and gave an average number of 260
vehicles per day. Information obtained from automatic traffic data recorded
over a year is shown in Table B.

Calculate: 1) The current ADT and percentage of commercial vehicles
(with no seasonal correction), 2) The seasonal correction factors and the
seasonally adjusted number of commercial vehicles.

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TABLE A MANUAL CLASSIFIED TRAFFIC COUNT DATA IN BOTH DIRECTIONS
HOURLY NUMBER OF COMMERCIAL VEHICLES
Time Sat Sun Mon Tue Wed Thu Fri
0:00-1:00 1 1
1:00-2:00 0 0
2:00-3:00 0 0
3:00-4:00 1 0
4:00-5:00 2 2
5:00-6:00 3 1
6:00-7:00 5 5 6 2
7:00-8:00 11 12 13 3
8:00-9:00 14 13 16 2 1
9:00-10:00 18 17 20 4 2
10:00-11:00 15 16 16 4 2
11:00-12:00 13 12 14 5 1
12:00-13:00 12 11 13 4 0
13:00-14:00 8 7 8 3 1
14:00-15:00 11 10 11 4 2
15:00-16:00 12 11 10 5 2
16:00-17:00 10 9 8 5
17:00-18:00 8 7 9 3
18:00-19:00 5 7 2
19:00-20:00 4 3 1
20:00-21:00 2 1 1
21:00-22:00 1 1 1
22:00-23:00 1 0
23:00-24:00 1 0
N. of Survey
Hours
24 6 16 6 24 8
Traffic Count 158 55 146 85 53 11
24 hour count 158 A B C 53 D

TABLE B MONTHLY TRAFFIC COUNT DATA, CV/DAY, BOTH DIRECTIONS
Month Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec
CV/day 145 134 132 150 161 158 125 114 120 136 145 134

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Solution

1. Average Daily Traffic (ADT)

A = Estimated traffic count for Monday
=
count hour 24 of 00 : 18 00 : 12 for count
count hour 24 tal weekday to
x
00 : 18 00 : 12 for
count traffic actual
|
|
.
|
\
|

= 55 x
61
158
= 142

B = Estimated traffic count for Tuesday
=
count hour 24 of 00 : 2 2 00 : 06 for count
count hour 24 tal weekday to
x
00 : 2 2 00 : 06
for count actual
|
|
.
|
\
|

= 146 x
149
158
= 155

C = Estimated traffic count for Wednesday
= 85 x
76
158
= 177
Average weekday traffic = (Sun + Mon + Tue + Wed) / 4
= (158 + 142 + 155 + 177) / 4
= 158

D = Estimated count on Friday will be based on the 24 hour count of
Thursday:
D = 11 x
31
53
= 19
Average number of commercial vehicles in the week = 5 x 158 +53+19
= 862

So that the average number of CVs per day =
7
862
=123

This number is combined with the data on non-commercial vehicles to give
ADT as follows:

ADT = 123 + 260 = 383 vpd
%CV =
383
123
x 100 = 32%

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2. Seasonal Correction Factors and AADT

The seasonal correction factors are calculated from Table B as follows:

Month ADT (CV)
Seasonal Variation
Factors
Jan 145 1.05
Feb 134 0.97
Mar 132 0.95
Apr 150 1.08
Mai 161 1.16
Jun 158 1.14
Jul 125 0.90
Aug 114 0.82
Sep 120 0.86
Oct 136 0.98
Nov 145 1.05
Dec 134 0.97
Annual Mean 138 1.0

From the ADT values above, it can be seen that the July value (125) is
lower than the annual average value (138). The results from the traffic
surveys carried out in July should be adjusted upwards accordingly to give
the seasonally adjusted number.

The traffic survey was carried out in July for which the adjustment factor is
0.9.

Thus, the seasonally adjusted number of CVs per day =
9 . 0
123
= 137 vpd.

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2.4.8 Example on Calculation of Equivalence Factors

Given: Survey data for commercial vehicles shown in Table C.

Calculate: 1) EF for axle roads, 2) EF for each vehicle, 3) Average EF for
the vehicle type.

TABLE C AXLE LOAD DATA FROM SURVEY
No. Time
E=Empty
F=Full
Load Type
Axle Load (Tons)
Axle 1 Axle 2 Axle 3
1 7.05 E none 3.66 3.32 2.51
2 9.57 E none 2.68 4.38 2.71
3 11.36 E none 4.00 2.81 2.64
4 14.48 E none 4.20 5.46 5.45
5 14.50 E none 4.04 4.80 4.53
6 15.07 E none 4.11 3.86 2.49
7 8.10 F Gravel 4.03 6.85 6.99
8 8.14 F Gravel 5.32 13.31 13.14
9 8.55 F Bottles 4.51 6.23 4.73
10 9.21 F Gravel 6.30 12.94 14.36
11 3.36 F Gravel 6.33 15.49 15.32
12 3.39 F Gravel 6.07 14.75 14.56
13 3.55 F Sand 6.50 14.56 14.24
14 3.58 F Feeds 3.93 9.54 6.00
15 10.15 F Gravel 3.80 6.09 6.18
16 10.44 F Gravel 4.52 7.09 7.63
17 10.52 F Gravel 4.26 7.17 6.88
18 10.54 F Gravel 3.80 7.45 6.05
19 14.32 F Sand 6.61 15.38 14.36
20 14.38 F Gravel 5.87 13.92 11.64
21 14.45 F Sand 6.00 13.61 11.55
22 15.19 F Sand 6.33 16.13 13.43
23 15.50 F Fertilizer 6.44 12.53 7.62

The above data are for: Direction: 1, H. Truck Category: 3 axle, Axle
Configuration: 1.22.

Solution:

1. Calculating the EF for each axle

Axle loads are converted to EF per axle using the formula:

EF =
4.5
8.16
Tons in load axle
(

The results are shown in Table D.

It is important to note that the relationship between axle load and damage is
a power relationship. This means that doubling the axle load will not
simply double the damaging effect, but will increase it by over 22 times.
For example, whilst a standard axle load of 8.16 tons will have an EF = 1,
an axle load of 16.32 tons will have an EF = 22.6.
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TABLE D DATA ANALYSIS SHOWING EQUIVALENCE FACTORS
No. Time
E=Empty
F=Full
Load
Type
Axle Load (Tons) Equivalence Factors Total EF
per
vehicle
Axle 1 Axle 2 Axle 3 Axle 1 Axle 2 Axle 3
1 7.05 E none 3.66 3.32 2.51 0.027 0.017 0.005 0.050
2 9.57 E none 2.68 4.38 2.71 0.007 0.060 0.007 0.074
3 11.36 E none 4.00 2.81 2.64 0.040 0.008 0.006 0.055
4 14.48 E none 4.20 5.46 5.45 0.050 0.164 0.163 0.377
5 14.50 E none 4.04 4.80 4.53 0.042 0.092 0.071 0.205
6 15.07 E none 4.11 3.86 2.49 0.046 0.034 0.005 0.085
7 8.10 F Gravel 4.03 6.85 6.99 0.042 0.455 0.498 0.935
8 8.14 F Gravel 5.32 13.31 13.14 0.236 9.041 8.532 17.809
9 8.55 F Bottles 4.51 6.23 4.73 0.069 0.297 0.086 0.452
10 9.21 F Gravel 6.30 12.94 14.36 0.312 7.963 12.723 20.999
11 3.36 F Gravel 6.33 15.49 15.32 0.319 17.891 17.024 35.233
12 3.39 F Gravel 6.07 14.75 14.56 0.264 14.354 13.540 28.158
13 3.55 F Sand 6.50 14.56 14.24 0.359 13.540 12.251 26.151
14 3.58 F Feeds 3.93 9.54 6.00 0.037 2.020 0.251 2.308
15 10.15 F Gravel 3.80 6.09 6.18 0.032 0.268 0.286 0.586
16 10.44 F Gravel 4.52 7.09 7.63 0.070 0.722 0.733 1.031
17 10.52 F Gravel 4.26 7.17 6.88 0.054 0.559 0.464 1.078
18 10.54 F Gravel 3.80 7.45 6.05 0.032 0.664 0.260 0.956
19 14.32 F Sand 6.61 15.38 14.36 0.388 17.225 12.723 30.335
20 14.38 F Gravel 5.87 13.92 11.64 0.227 11.060 4.945 16.233
21 14.45 F Sand 6.00 13.61 11.55 0.251 9.994 4.775 15.020
22 15.19 F Sand 6.33 16.13 13.43 0.319 21.466 9.413 31.198
23 15.50 F Fertilizer 6.44 12.53 7.62 0.345 6.889 0.735 7.969

2. Calculating EF for each vehicle

The EF for each vehicle is the sum of all EFs for all the axles of each
vehicle. These are shown also in table D.

3. Calculating the mean EF per vehicle for each vehicle type

The average EF for the empty vehicles = 0.1409
The average EF for the loaded vehicles = 13.9418
The average EF for this vehicle type (whether loaded or empty) = 10.3416.

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2.4.9 Example on Calculation of Cumulative Equivalent Standard Axles

The result of an axle load survey on a road section for various truck types
and their annual growth rates are as follows:

Truck Type Axle Code
ADT one
direction
Mean EF for
the Vehicle
Type
Annual
Growth Rate
(i)
Medium Trucks 2 axles
GW < 11.5 Tons
1.2 94 0.68 6%
Heavy Trucks 2 axles
GW > 11.5 Tons
1.2 58 4.80 5%
GW > 11.5 Tons
1.22 17 10.34 3%
Heavy Truck - trailer
4 axles
1.2 22 9 8.85 3%

Calculate the average annual numbers of equivalent standard axles for the
current year for each truck type. Assuming the road section to be repaved
during the current year, calculate the cumulative equivalent standard axles
for a design life for the pavement of 15 years, and determine accordingly
the appropriate traffic class for pavement design.

Solution:

1. Calculate the average daily esa in the current year:
esa = ADT (one direction) x EF

2. Calculate the current year esa for each vehicle type:
esa
current year
= Average daily esa x 365

3. Calculate the cumulative esa using the formula:
T = esa
current year
x
i
i
N
1 ) 1 ( +

T = esa
current year
x 15 yr Cumulative Factor

The values of the 15-year Cumulative Factor are as follows:

i% 1 2 3 4 5 6 7 8 9 10
15-year
Cum.Fact.
16.10 17.30 18.60 20.02 21.59 23.28 25.13 27.15 29.36 31.77

Table E shows the results of the calculations. It is seen that the cumulative
esa for all vehicle classes for the 15-yr design life is 4.77 x 10
6
esa.

With reference to Table 2.4, it is seen that the traffic class to be used for
pavement design is class T5.

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TABLE E DETERMINATION OF CUMULATIVE EQUIVALENT STANDARD AXLES

Truck Type ADT (one direction) EF Average Daily esa
esa current year
(10
3
esa)
15-yr Cumulative
Factor
Cumulative esa for 15
years (10
6
esa)
Medium Trucks 2 axles
GW > 11.5 Tons 94 0.68 64 23.36 23.28 0.54
GW > 11.5 Tons
65 4.80 312 113.88 21.59 2.46
GW > 11.5 Tons
17 10.34 176 64.24 18.6 1.20
Heavy Truck - trailer
4 axles
9 8.85 80 29.20 18.6 0.54
T = 4.77

SECTION 3

GEOMETRIC STANDARDS

Section
3
Section 3 Geometric Standards
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SECTION 3
GEOMETRIC STANDARDS

TABLE OF CONTENTS

Page

3.1 Introduction 1

3.2 Sight Distance 1
3.2.1 Stopping Sight Distance 1
3.2.2 Intermediate Site Distance 3

3.3 Superelevation 3

3.4 Horizontal Alignment 7
3.4.1 Circular Curves 7
3.4.2 Transition Curves 8
3.4.3 Improving Horizontal Alignment 10
3.4.4 Geometric Controls 10
3.4.5 Widening on Curves 11

3.5 Vertical Alignment 12
3.5.1 Elements of Vertical Alignment 13
3.5.2 Crest Curves 14
3.5.3 Sag Curves 17
3.5.4 Gradient 17
3.5.5 Climbing Lanes 18

3.6 Cross Section 19
3.6.1 Rationale for Determining Road Widths 19
3.6.2 Carriageways and Shoulders 20
3.6.3 Cross Slope 23
3.6.4 Passing Places 24

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SECTION 3
GEOMETRIC STANDARDS

3.1 INTRODUCTION

As mentioned in Section 2, the geometric features for most of the rural
roads in Yemen are governed by the natural terrain characteristics.
However, this does not exclude the fact that the geometric design should be
consistent with the traffic volume, composition of traffic and design speed.
This Section provides a summary of the geometric design data and contains
sufficient information for the majority of roadway design problems. A
Policy on Geometric Design for Highways and Streets by the American
Association of State Highways and Transportation Officials (AASHTO) is
a reference in which the basic theory behind geometric design data is fully
explained. Also, Guidelines for Geometric Design of Very Low-Volume
Roads (ADT s 400) by AASHTO, and TRRL Road Note No. 6 A guide
to Geometric Design can be consulted.

Several design standards from projects previously undertaken in Yemen
have been reviewed. The Consultants have taken into consideration the
technical aspect combined with the specific requirements of this project in
developing a new set of geometric standards. The review covers the sight
distance, horizontal and vertical alignment and cross sectional elements as
related to traffic volumes and design speeds.

3.2 SIGHT DISTANCE

Sight distance is the length of roadway ahead visible to the driver.

Ability to see ahead is of utmost importance in the safe and efficient
operation of a roadway. If safety is to be built into the roadways, the
designer must provide sight distance of sufficient length in which drivers
can control their vehicles so as to avoid striking an unexpected obstacle on
the traveled way.

Two sight distances are considered in design of bi-directional carriageway
for rural intermediate and village access roads: Stopping Sight Distance
and Intermediate Sight Distance.

3.2.1 Stopping Sight Distance

Stopping sight distance is the minimum sight distance to be provided at all
points on roads. Stopping sight distance also is to be provided for all
elements of intersections including private road connections. It is the
distance required by the driver of a vehicle traveling at a given speed, to
bring his vehicle to a stop after an object on the road becomes visible.

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Stopping sight distance is generally determined as the sum of two
distances:

(1) Reaction Distance, the distance traveled by the vehicle from the
instant the driver sights an object necessitating a stop to the instant
the driver actually applies the brakes. This distance depends on the
reaction time of the driver which varies according to the alertness of
the driver. AASHTO Policy on Geometric Design for Highways
and Streets uses a brake reaction time of 2.5s, while AASHTO
Guidelines for Geometric Design of Low-Volume Local Roads
(ADT s 400) recommends a reaction time of 2s for rural roads.

(2) Braking Distance, the distance required to stop the vehicle from
the instant the brakes are applied. This distance is a function of the
longitudinal friction factor, and thus deceleration of the vehicle.

The stopping sight distance in the AASHTO Policy is given by the
following formula which has two components corresponding to the two
distances mentioned above:
a
V
039 . 0 Vt 278 . 0 S
2
+ =

where,

S = stopping sight distance, m
t = brake reaction time, s
V = design speed, kph
a = driver deceleration, m/s
2

Table 3.1 shows a comparison between minimum sight distance standards
for AASHTO and TRL, for very low volume roads.

Table 3.1 Comparison of Minimum Stopping Sight Distance Standards
Design
Speed Kph
Minimum Stopping Sight Distance (m)
AASHTO
(1)
TRL Road Note 6
(2)
ADT < 250 ADT 250 400 f
L
S
min

20 15 15
__ __
30 25 30 0.6 25
40 35 40 0.55 35
50 45 55 0.50 50
60 60 70 0.47 65
70 75 90 0.43 85
80 95 110
85
__
0.40 120
90 120 130
100 140 155 0.37 160
120
__ __
0.35 230

(1)
AASHTO Guidelines for Geometric Design of Very Low-Volume Roads (ADT s 400)
- Brake reaction time 2s.
- Driver deceleration 4.1 m/s
2
.

(2)
TRL Road Note 6 A guide to geometric design
f
L
Longitudinal friction factor.
Reaction time = 2 sec.
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As discussed in Section 3.5.2, sight distance plays a key role in determining
the minimum lengths of crest vertical curves. Stopping sight distance is
measured from the drivers eyes (eye height, h
1
) to an object height (h
2
).
AASHTO policy uses h
1
= 1080 mm and h
2
= 150mm or h
2
= 600mm if the
object is a vehicle. With the increased use of SUVs, the average eye height
has increased, so that h
1
could be assumed to be 1.4m and h
2
15cm. This
sight distance criterion should be checked for all classes of roads irrelevant
of the number of lanes, traffic volume or pavement type. Measures to be
taken to correct any deficiency include removal of obstacles, excavation of
side slopes or trimming of sharp crest curves.

3.2.2 Intermediate Site Distance

The Intermediate sight distance is the distance needed for two drivers
traveling with design speed to stop before colliding. This criterion is valid
in the case of one-lane roads. For village access roads having a traffic load
of less than 50 vehicles/day the intermediate sight distance can be neglected
if the lane is widened up to at least 4.5m.

Table 3.2 shows the proposed minimum normal and relaxed standards for
sight distances related to design speeds for RAP roads.

Table 3.2: Minimum Standards for Sight Distances Related to Design Speeds
Design
Speed,
KPH
Minimum Sight Distance, m
Stopping Intermediate
Rural Intermediate Village Access Rural
Intermediate
Village
Access Normal Relaxed Normal Relaxed
20 20 15 15 15 50 30
30 35 30 30 25 80 50
40 50 40 40 35 110 70
50 65 55 - 45 150 -
60 85 70 - 200 -
80 130 110 - 300 -
100 160 155 - 380 -
120 230 540

Sight distance could also be related to type of terrain if the design speed for
each terrain is specified. It must however be recognized that in each terrain,
owing to local topographical changes, higher or lower speeds than
recommended may apply.

Sight distances are also affected by vertical grade and obstacles along the
side of the roadway on horizontal alignment.

3.3 SUPERELEVATION

A vehicle traveling on a horizontal curve exerts an outward force called
centrifugal force. To resist this force and maintain the desired design speed,
roadway curves need to be superelevated. Superelevation is particularly
important for roads upgraded from gravel or earth to paved surfaces,
because it seldom exists on the old surfaces.
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Superelevation may be defined as the rotation of the roadway cross section
in such a manner as to overcome the centrifugal force that acts on a motor
vehicle traversing a curve. On a superelevated carriageway, the centrifugal
force is resisted by:

1. The weight component of the vehicle parallel to the superelevated
surface and
2. The side friction between the tires and the pavement.

It is impossible to balance centrifugal force by superelevation alone,
because for any given curve radius, a certain superelevation rate is exactly
correct for only one operating speed around the curve. At all other speeds,
there will be a side thrust outward or inward relative to the center of the
curve, which must be offset by side friction.

The general formula to calculate superelevation for various curve radii is
the following:
e+f = V
2
/ 127R
where,

e = Superelevation rate, in meter per meter width of road.
f = side friction factor or coefficient of side friction between vehicle tires
and road pavement.
R = radius of curve, in meters.
V = design speed in kph.

The value of f shall be obtained from an expression which recognizes that
the value of the side friction varies with the speed of travel, the loss in the
rubber tread and the natural condition of road surface. The acceptable value
borne out by practice on similar roads is given by:

f = 0.19 0.0006V

where V is the same value above.

Superelevation should not be so excessive as to cause a stationary vehicle
to slide down the cross slope, regardless of the nature and condition of the
road surface. Superelevation rate shall not be less than the rate of crown
slope (Table 3.3), i.e. camber or crossfall.

Table 3.3: Horizontal Curve Design Data Maximum Superelevation
Superelevation, %
Rural Intermediate Roads
Flat/Rolling Mountainous Escarpment Village Access
8 6 4 6

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Superelevation slopes on curves shall extend the full width of the
shoulders, except that the shoulder slope on the low side shall not be less
than the minimum shoulder slope used on tangents.

For 2-lane roadways, different superelevation slopes for each half of the
road shall not be used; superelevation shall remain a plane for the full width
of roadbed, except on transitions.

The axis of rotation for superelevation is usually the centerline of the road.
However, in special cases such as desert roads where curves are preceded
by relatively long tangents, the plane of the superelevation may be rotated
about the inside edge of pavement to improve perception of the curve. In
level country, drainage pockets caused by superelevation may be avoided
by changing the axis of rotation from the centerline to the inside edge of the
pavement.

Superelevation transition is the general term denoting the length of
highway needed to accomplish the change in cross slope from a normal
crown section to the fully superelevated section, or vice versa. To meet the
requirements of comfort and safety the superelevation run-off should be
effected uniformly over a length adequate for the likely travel speed. The
superelevation transition can be divided into two sections defined as
follows:

- Tangent Run-off or Run-out: This is the distance in which the level
of the edge of pavement is raised to a horizontal plane with the
centerline grade through the axis of rotation.

- Superelevation Run-off: This is directly proportional to the total
Superelevation, which is the product of the lane width and the
superelevation rate.

Length of run-off on this basis is directly proportional to the total
superelevation, which is the product of the lane width and the
superelevation rate. Section 3.4.2 below shows how to calculate the
superelevation run-off distance using the rate of pavement rotation method.

Figure 3.1 shows typical details for superelevation runoff.

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Figure 3.1 Typical Details for Superelevation Runoff
Inside Edge of
Roadway (P.G.L)
Outside Edge of
Roadway
1 / 4 LA
or 10m Max
Tangent Run out
Length of Superelevation Runoff
Length of Application (as shown on the profile)
Total Length of Application
1 / 4 LA
or 10m Max
or 10m Max or 10m Max
Inside Edge of
Roadway (P.G.L)
Outside Edge of
Roadway 1 / 4 LA
or 10m Max
1 / 4 LA
or 10m Max
Outside Edge of
Roadway
Superelevation Application Details LA
+
e
+
eo
-e
o
-e
+e
+e
o
-e
o
-e
B
B
/
2
e
B
/
2
e
B
/
2
e
2
B
/
2
e
2
B
/
2
e
B
/
2
e
+
e
-e
o
-e
+e
+e
o
-e
P G L C/L
B
/
2
e
2
B
/
2
e
2
Sign Convention for Crossfall
Method of Attaining Superlevation of
Pavement Revolved about
Centerlines of Roadways
e
e
Inside Edge of
Roadway (P.G.L)
Outside Edge of
Roadway
1 / 4 LA
or 10m Max
Tangent Run out
Length of Superelevation Runoff
Length of Application (as shown on the profile)
1 / 4 LA
or 10m Max
or 10m Max or 10m Max
Inside Edge of
Roadway (P.G.L)
Outside Edge of
Roadway 1 / 4 LA
or 10m Max
1 / 4 LA
or 10m Max
Outside Edge of
Roadway
Superelevation Application Details LA
+
e
+
eo
-e
o
-e
+e
+e
o
-e
o
-e
B
B
/
2
e
B
/
2
e
B
/
2
e
2
B
/
2
e
2
B
/
2
e
B
/
2
e
+
e
-e
o
-e
+e
+e
o
-e
P G L C/L
B
/
2
e
2
B
/
2
e
2
Sign Convention for Crossfall
Method of Attaining Superlevation of
Pavement Revolved about
Centerlines of Roadways
e
e
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3.4 HORIZONTAL ALIGNMENT

3.4.1 Circular Curves

The natural terrain, as mentioned earlier, governs the horizontal alignments.
The roads that are located on escarpments are therefore characterized by the
multitude of hairpin curves that necessitate a back and forth maneuver in
order to make the turn. For these roads, no minimum curvature can be
specified, as speeds will drop to zero during the maneuver.

For the remaining cases, the minimum radii will have to correspond to the
design speeds as per the recommendations listed in Table 3.4, determined
using the superelevation equation defined above:

R =
f) (e 127
V
2
+

Table 3.4: Horizontal Curve Design Data Minimum Radii (m)
Design
Speed
kph
f
max

Rural Intermediate Roads Village
Access
Roads
e
max
= 6%
Flat/Rolling
e
max
= 8%
Mountainous
e
max
= 6%
Escarpment
e
max
=4% e
max
=6%

20 0.18 - 15
(1)
15
(1)
15
(1)
15
30 0.17 - 30 35 30 30
40 0.17 50 55 60 55 55
50 0.16 80 90 100 90 90
60 0.15 125 135 150 135 135
80 0.14 230 250 -
100 0.12 395 435 -
120
__
600 - -
(1) Not applicable for hairpin curves. Minimum radii to be 12-15m in mountainous and
escarpment areas. For hairpin curves a compound curve 15-10-15 may be used instead of
15m or 20m simple curve radius.

The minimum radius is a limiting value for a given design speed
determined from the maximum rate of superelevation and the maximum
side friction factor. Use of sharper curvature for that design speed would
call for superelevation beyond the limit considered practical or for
operation with tire friction beyond safe limits, or both.

The values of f
max
shown in Table 3.4 are used in AASHTO Policy are
intended to assure the comfort of drivers in traversing a curve on higher
volume roadways. It is noted that actual tire / pavement friction data
indicate that there is a substantial margin of safety against loss of control
due to skidding. This is corroborated by the values of the side friction
factor used in TRL Road Note 6:

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Design Speed, Kph 30 40 50 60 70 85 100 120
Side Friction Factor 0.33 0.30 0.25 0.23 0.20 0.18 0.15 0.15

The values for horizontal curve design shown in Table 3.4 should be used
for rural roads when practical. In constrained situations relaxed values
based on reduced design speed shown in Table (3.5) may be used.

In cases where the existing curve has a radius less than those listed, and
widening entails land acquisition, high excavations or high fills, signs shall
be posted to reduce the speed to correspond to the adopted radius.

Table (3.5) Horizontal Curve Design Data Minimum Radii (m)
for Reduced Design Speed
Design
Speed
kph
Reduced
Design
Speed
kph
f
max

Village
Access
Roads
Flat / Rolling Mountainous Escarpment
e
max
= 8%

e
max
= 6% e
max
= 4% e
max
= 6% e
max
= 6%
20 20 0.180
__
15
(1)
15
(1)
15
(1)
15
30 25 0.170
__
20 25 20 20
40 30 0.170 30 30 35 30 30
50 40 0.170 50 55 60 55 55
60 50 0.160 80 90 100 90 90
80 65 0.145 150 160
__ __ __
100 85 0.135 265 290
__ __ __
120 100 0.125 385
__ __ __ __
(1) Not applicable to hairpin curves. Minimum radii shall be 12-15m. in mountainous and escarpment areas. For
hairpin curves, a compound curve of 15-10-15m may be used instead of a 15m or 20m simple curve.

Note: The above data are for constrained situations based on reductions in design speed up to 15 kph. These are
applicable to roads with ADT 250-400 vpd with limited heavy vehicle traffic (see AASHTO Guidelines for
Geometric Design of Very Low-Volume Local Roads (ADT s 400)).

3.4.2 Transition Curves

Transition curves are not normally used in Yemen. This section, explains
how to design them if they are required.

Transition curves may be inserted between tangents and circular curves to
reduce the abrupt introduction of the lateral acceleration. They may also be
used to link straights or two circular curves.

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.
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Several methods exist for the calculation of transition curves and 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:

3.6n
V . e
L
s
=
where L
s
= Length of transition curve (meters)
e = Superelevation of the curve (meters per meter)
V = Design speed (km/h)
N = Rate of pavement rotation (meters per meter per second)

The same values of rate of change of pavement rotation should be used to
calculate the minimum length (L
c
) over which adverse camber should be
removed on a tangent section prior to the transition:

3.6n
V . e
L
n
c
=

where L
c
= Length of section over which adverse camber is removed
(meters)
e
n
= Normal crossfall of the pavement (meters per meter).

The length of transition curve (L
s
) is used to apply the superelevation, with
the adverse camber removed on the preceding section of tangent (L
c
). 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 L
s
and L
c
.

The resulting combination of horizontal alignment design and
superelevation for different design speeds is presented in Table 3.5 below:

Table 3.6: Horizontal Curve Design Data
Minimum Superelevation Transition Length
Design Speed,
Kph
Superelevation Transition Length, m
Village Access
Flat/Rolling Mountains Escarpment
20 - - 18 27
30 - 29 19 29
40 41 31 21 31
50 43 32 22 -
60 48 36 24 -
80 58 43 - -
100 65 49 - -
120 75 - - -
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3.4.3 Improving Horizontal Alignment

The major criteria for considering improvements to the horizontal
alignment are the following:

1. Safety
2. Grade profile
3. Type of Roadway
4. Design speed
5. Topography
6. Cost (Construction, Maintenance, Operation)

Of these considerations, safety comes first. Therefore, the stopping sight
distance shall be adequate at all points of the roadway.

The grade profile shall be considered next in mountainous and escarpment
section. Critical grades are commonly encountered on existing roads
located in these sections. The possible improvement of these grades by
adjusting the horizontal alignment should be investigated in the cases
where such an adjustment does not entail major earthworks or
encroachment into private property.

The road types that are considered in this Manual are the rural intermediate
roads and the village access roads. The standards for the horizontal
alignment will vary for each of these two road types.

The design speed in turn controls sight distance and hence safety.
Topography controls both curve radius and design speed to a large extent.

The economics of construction, maintenance and operation must be
balanced carefully against other factors in order to produce the safety
alignment consistent with the level of design.

3.4.4 Geometric Controls

The general geometric controls of horizontal alignments that could be
looked at in considering improvements for the rural intermediate roads are
the following:

Location of curves: Alignment shall be as direct as possible but consistent
with topography. A flowing alignment consistent with the contours is
aesthetically more pleasing than one with long tangents. Natural slopes and
plant growth can thus be preserved. In general, the number of curves shall
be kept to a minimum. Sudden reduction in standards introduce the element
of surprise to the driver and should be avoided. Where physical restrictions
on curve radius cannot be overcome and it becomes necessary to lower
standards, the design speed between two successive curves shall not change
more than 10 kph. Under no conditions shall a curve for a design speed
lower than the design speed for the project be introduced at the end of a
long tangent or at any locations conducive to a high approach speed.
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Curve Length and Central Angle: Winding alignment composed of short
curves shall be avoided since it results in erratic operation. In general, the
length of curve should be at least 100 m long for a central angle of 5
degrees. The minimum length shall be increased 30m for each 1 degree
decrease in the central angle. Sight distance or other safety considerations
shall not be sacrificed thereby. In general, the central angle of each curve
shall be as small as physical conditions permit, in order to achieve the
shortest possible route.

Tangents or Straights Affording Passing Opportunities: An 800m tangent
is considered adequate for the purpose of providing passing opportunities
on 2-lane roadways. Passing tangents shall be provided as frequently as
possible in keeping with the terrain. Shorter radii ensuring greater length of
intervening tangent shall be preferred to sweeping curves of large radii
which reduce the length of intervening tangents. However, sharp curves at
the end of passing tangents and especially long tangents shall not be used.

Compound Curves: These shall be avoided in general. On a compound
curve the shorter radius shall be least 2/3 of the longer radius. The total arc
length of a compound curve shall not be less than 100m.

Curvature on Fills: Other than flat curvature should be avoided on high,
long fills. In the absence of cut slopes, shrubs, trees, etc., above the
roadway, it is difficult for drivers to perceive the extent of curvature and
adjust their operation to the conditions.

These design controls should be checked for the existing roads under
consideration. Design solutions should be developed within the specific
budget constraint associated with every road.

3.4.5 Widening on Curves

Pavement widening is needed on certain open curves because:

a. A large vehicle or truck occupies a greater width, requiring allowance
for the swept path of the vehicle as it follows a curved path, and
b. The drivers have some difficulty in steering their vehicles to hold to
the center of the lane and to allow them to maneuver 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 centered in
lane and reduce the likelihood of either colliding with an oncoming vehicle
or driving onto the shoulder.

Widening should be attained gradually on the approaches to the curve to
ensure a reasonably smooth alignment on the edge of pavement and to fit
the paths of vehicles entering or leaving the curve. Widening should be
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applied on the inside edge of pavement only, and preferably attained over
superelevation runoff length. Widening values are given in Table 3.5.

Figure 3.2 shows how carriageway widening on curves is gradually
attained from the inside of the curve.

Table 3.7: Horizontal Curve Design Data
Widening on Curves for all Road Types
Radius Pavement Widths, m
4.0-4.9 5.0-5.9 6.0-6.9 7.0
<50m 2.9 2.3 1.4 1.2
50 - 100 m 2.3 1.9 1.2 1.0

Figure 3.2 Carriageway widening on curves gradually
attained from the inside of the curve.

3.5 VERTICAL ALIGNMENT

The vertical alignments on the rural roads in Yemen vary from flat to very
steep. Some sections have well designed alignments especially those that
had recent earthwork contracts executed. Other sections follow the shape of
the natural terrain with all its deformations and steep slopes. The vertical

>
1
5
m
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curvature design standards for such alignments are to be reduced to the
minimum in order to avoid land acquisition.

The major criteria for considering improvements to the vertical alignment
are the following:

1. The grade line is a reference line by which the elevation of the
pavement and other features of the highway are established. Though
controlled mainly by the topography, other factors such as horizontal
alignment, safety, sight distance, speed, construction costs and the
performance of heavy vehicles on a grade should be considered.

2. All portions of the grade line shall meet sight distance requirements for
the design speed classification of the road.

3. In level terrain, the elevation of the grade line is often controlled by
drainage considerations. In rolling terrain a reasonably undulating
grade line is desirable from the standpoint of operation and
construction economy.

4. Two vertical curves in the same direction separated by a short section
of tangent grade shall in general be avoided, particularly in valley
curves.

5. It is desirable to reduce the grades at intersections. Turns are
negotiated with reduced mechanical wear and fuel consumption, and
increased safety.

6. The standards listed in Tables 3.6 and 3.7 should be met in terms of
maximum gradient and minimum K-values.

7. In order to avoid drainage problems in flat and level grades on
uncurbed pavements, the pavement has to be adequately crowned to
drain the surface laterally.

3.5.1 Elements of Vertical Alignment

The two main components of vertical alignment are:

i. Vertical curvature, which is governed by sight distance and comfort
criteria, and

ii. Gradient which is related to vehicle performance and level of
service.

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:

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2
L
x
200
L . G
y
(
=

where y = vertical distance from the tangent to the curve (meters)
x = horizontal distance from the start of the vertical curve
(meters)
G = algebraic difference in gradients (%)
L = length of vertical curve (meters)

3.5.2 Crest Curves

The provision of ample sight distance for the road design speed represent
the main control for safe operation on crest curves.

The minimum lengths of crest curves are designed to provide sufficient
sight distance during daylight conditions. Conditions normally do not allow
full overtaking sight distance and the design should aim to reduce the
length of crest curves to provide minimum stopping sight distance in order
to allow for increasing overtaking opportunities on the gradients on either
side of the curve.

Two conditions exist when considering minimum sight distance criteria on
vertical curves. The first is 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:

For S < L:
( )
2
2 1
2
200
.
h h
S G
L
m
+
=

For S > L:
( )
G
h h
S L
m
2
2 1
200
2
+
=

Where L
m
= minimum length of vertical crest curve (meters)
S = required sight distance (meters)
G = algebraic difference in gradients (%)
h
1
= driver eye height (meters)
h
2
= object height (meters)

For S<L, the most common situation in practice, L = K.G where K, the rate
of vertical curvature, is a constant for a given design speed (minimum safe
stopping speed), eye and object heights.

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Tables 3.8 and 3.11 show the two vertical alignment design parameters for
various terrain types: minimum vertical curvature in terms of K-values, and
maximum gradient.

Table 3.8 shows the minimum K-values for the following conditions using
the equations above:

1. Stopping sight distance measured from eye height h
1
of 1.080m to a
stopped vehicle, i.e. object height h
2
= 0.6m. K-values are for
ADT<400 vpd (AASHTO) and they represent the most relaxed
values.

2. Stopping sight distance measured from eye height 1.050m to an
object height 0.2m.

3. Stopping sight distance measured from eye height of 1.05m to the
road surface, i.e. h
2
= 0 (TRL Road Note 6).

The need to see the road surface is only applicable in particular situations
such as a vertical curve on the approach to an Irish crossing where a driver
may have to stop due to the presence of surface water. These sight
distances have been derived for car drivers. For trucks, although breaking
distances are greater, they are usually slower and the eye height of truck
drivers is about one meter higher. A reaction time of 2 seconds has been
assumed, while reaction times normally vary from about 0.5 to 1.7 seconds.

The K-values shown in table 3.9 are to be used in cases where flattening the
curvature does not result in high cuts or high fills, in order to avoid
exceeding the right-of-way and the allocated budget. They are based on
stopping site distance measured from eye height of 1.4m to an object height
of 0.15m.

AASHTO Guidelines for Geometric Design of Very Low Volume Roads
specify K-values for stopping sight distance based on a height sight of
1080mm and object height 600 mm.

The formulas for crest curves become:

For S < L L =
658
2
GS

For S > L L = 2S
G
658

Higher risk locations are locations near intersections, narrow bridges, or in
advance of sharp grades or steep downgrades.

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Table 3.8 Minimum Vertical Curvature Values
for Very-Low Volume Roads

(1) K-values are for higher risk locations for ADT 100-250 vpd and all locations for
250-400 vpd. K-values are for H
1
= 1080 mm and h
2
= 600 mm representing a stopped
vehicle.
(2) K-values are based on stopping sight distance measured from eye height of 1.05m and
an object height of 0.2m.

Table 3.9: Vertical Alignment Design Data Minimum K-Value for Curves
Design
Speed
Kph
K- Value
Rural Intermediate Roads Village Access
Roads
Flat/Rolling Mountainous Escarpment
Crest Sag Crest Sag Crest Sag Crest Sag
20 - - - 1 2 1 2
30 - - 3 4 3 4 3 4
40 18 20 5 8 5 8 5 8
50 28 35 9 11 9 11 - -
60 55 55 14 15 14 15 - -
80 85 75 18 20 - - - -
100 160 105 22 22 - - - -
120 250 - - - - - - -
Note: Stopping sight distance is measured for h
1
= 1.40m, h
2
= 0.15m.

Stopping sight distance to be checked for vertical crest curves is similar to
the values presented in Table 3.2. Due to the uneconomically long vertical
curve associated with the design for passing sight distance, only stopping
sight distance should be considered for rural intermediate and village
Design
Speed
(Kph)
AASHTO ADT<400
(1)
TRL Road Note 6
(2)

Stopping
Sight
Distance
(m)
K-Value Stopping
Sight
Distance
(m)

Minimum K-Values
Crest K
to Object
on Road
Crest K to
Road
Surface
Sag K for
comfort
20 15 0.5
__
1 2 0.5
30 30 2 25 2 3 0.7
40 40 4 35 3 6 1.3
50 55 5 50 5 11 2.2
60 70 8 65 10 20 3.5
80 110 19 110 25 60 7.5
100 155 37 160 60 125 13.1
120 230 120 250 22.6
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access roads. No-passing signs should be erected where the available sight
distance does not allow overtaking.

3.5.3 Sag Curves

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:
For S < L:
( ) u tan . 200
.
1
2
S h
S G
L
m
+
=

For S > L:
( )
G
S h
L
m
u tan . 200
1
+
=

Where h
1
= headlight height (meters)
u = angle of upward divergence of headlight beam (degrees)

Appropriate values for h
1
and u are 0.6 meters and 1.0 degrees respectively.
The use of these equations can lead to requirements for unrealistically long
vertical curves as, especially at higher speeds, sight distances may be in
excess of the effective range of the headlamp beam, particularly when low
meeting beams are used. Thus, the only likely situation when the above
equations should be considered for use is on the approaches to fords and
drifts and other similar locations where flowing or 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.

It is recommended that, for most situations, sag curves are designed using
the driver comfort criterion of vertical acceleration (Table 3.10). The
K-values used are given in Table 3.8.

Table 3.10: Minimum Levels of Acceptable Vertical Acceleration
Design Speed km/h 120 100 85 70 60 50 40 30
Vertical acceleration
(Proportion of g in m/sec
2
)
0.05 0.06 0.07 0.08 0.08 0.09 0.10 0.10

3.5.4 Gradient

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.
Table 3.11 shows the recommended maximum gradients for various design
speeds.

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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 a 19 per cent gradient,
whilst two-wheel drive trucks can successfully tackle gradients of 15-16
per cent except when heavily laden.

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.

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 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.

Table 3.11: Vertical Alignment Data Maximum Gradient
Design Speed
Kph
Gradient, %
Village Access
Flat/Rolling Mountainous Escarpment
20 - 14
(1)
15
(2)
15
(3)
30 - 11 11 11
40 8 10 10 10
50 7 9 9 -
60 6 8 8 -
80 5 7 - -
100 5 5 - -
120 5 - - -
(1) Maximum gradient for new roads. For existing alignments may be relaxed to
18%.
(2) For Hairpin bends, the maximum gradient should not exceed 6% at centerline of
curve + 15m from each approach. For existing roads, it can be relaxed to 10%.
(3) May be relaxed for existing roads for sections where changes in alignment are
not cost-effective.
Note: The length of the maximum gradient in this case should not exceed 200m for new
roads otherwise the speed should be dropped below 20kph. Sections with a
gradient greater than 10% should be considered for paving. For existing roads
the length of the maximum gradient may be relaxed to 300m.

3.5.5 Climbing Lanes

A climbing lane may be introduced as a more cost effective alternative to
reducing a gradient.

Benefits from the provision of a climbing lane accrue because faster
vehicles are able to overtake more easily, resulting in shorter average
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journey times and reduced vehicle operating costs. Benefits will increase
with increases in gradient, length of gradient, traffic flow, the proportion of
trucks, and 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.

Experience has shown that climbing lanes are unlikely to be justified other
than on a small proportion of roads with heavy flows.

As climbing lanes will be used largely by trucks and buses, they must be a
minimum of 3.0 meters in width. They must be clearly marked and, where
possible, should end on level or downhill sections where speed differences
between different classes of vehicles are lowest to allow safe and efficient
merging manoeuvres.

3.6 CROSS SECTION

3.6.1 Rationale for Determining Road Widths

The cross section of a roadway is made up of:

- Number and width of lanes
- Shoulder width
- Cross slopes
- Pavement type
- Side slopes
- Drainage
- Right-of-way width

Lane and shoulder widths are be determined according to the traffic
volume, traffic composition and vehicle speed, and characteristics of the
terrain. The cross section may need to vary over a particular route because
the controlling factors are changing. The basic requirements are, however,
that changes in the cross section shall not be made unnecessarily, that the
cross section standards shall be uniform within each subsection of the route
and any changes of the cross section shall be effected gradually and
logically over a transition length.

In certain cases, however, it may be necessary to accept isolated reductions
in cross section standards, for example when an existing narrow bridge or
other structure has to be retained. In such cases a proper application of
traffic signs and road markings is required to warn motorists of the
discontinuity in the road.

The rationale for selecting road widths for various classes may be
summarized as follows. The traffic volume indicated refers to the average
volume over the life of the pavement.

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Road class D: Village Access Roads with low volume of traffic (<100 vpd)
A single lane of 3m is adequate due to the small probability of vehicles
meeting and a few passing maneuvers that could be done at very reduced
speeds using either passing places or shoulders, with a small loss in
efficiency.

Road classes B & C: Tertiary / District Roads / Village Access: medium
volume of traffic (100-1000 vpd), running surface widths of 5 6m are
adequate for allowing approaching vehicles to pass with acceptable
reduction in speed.

Road class A: Secondary / Governorate Roads with higher flows (>1000
vpd): a running surface width of 6 7m allows vehicles in opposing
directions to pass safely without the need to slow down or move laterally in
their lanes.

Economic considerations call for minimization of road width in order to
reduce construction and maintenance costs, whilst being sufficient to carry
the traffic flows efficiently and safely.

Table 3.12 shows the recommended values for carriageway, shoulder and
formation widths for various classes of roads.

Figure 3.1 shows typical road cross section with dimension ranges.

3.6.2 Carriageways and Shoulders

As the maximum width of a vehicle is 2.5m, the lane width should be 3.0
3.5 m. For the higher classes of roads a lane width of 3.5m is prescribed.
For low volume traffic of mostly light vehicles on rural local access roads,
a lane width of 2.75m and even 2.50m may be acceptable. For roads with
substantial commercial traffic, the paved width should exceed the lane
width in order to reduce the cost of shoulder maintenance and lessen the
wheel load concentration at the pavement edges.

One of the constraints in designing the cross sections, is to ensure that the
works are limited to the existing right-of-way. This limits the need for
expropriation. The cross section along the rural intermediate roads and the
village access roads will follow the existing platform width, varying
generally between 3m and 7m with variable shoulders on both sides. Figure
3.1 shows the typical cross sections along with the number of lanes varying
between one and two lanes per section.

Shoulders are an essential element of road design, and are intended to
perform the following main structural and traffic functions:

- To provide lateral support to the pavement layers.
- To provide additional maneuvering space on roads of lower
classification and traffic flows.
- To provide space for stopping vehicles which are broken down.
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Table 3.12 Summary of Standards for Various Cross Section Elements

Road Function
Approx
Range of
Traffic Flow
(ADT)
No. of Lanes
Lane width
(m)
C/W width
(m)
Shoulder width
(m)
Cross Slopes (% )
Pavement Shoulders Formation
Rural Intermediate
(Governorate)
400-3000 2 3.0-3.5 6-7 0.0-1.5 2.0% 2-3% 2-3%
Tertiary
(District)
100-1000 2 2.5-3.0 5-6 0.0-1.0 2.0% 2-3% 2-3%
Feeder
(Village Access)
<400 vpd 1 3.0-5.0 3.0-5.0 0.0-1.0 2.0% 2-3% 2-3%

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ROAD MARKING
2-3%
2-3% 2-3%
2-3%
2 %
2 %
FORMATION WIDTH
6 - 8
1 LANE 1 LANE
2.5 3.5 2.5 3.5 0.5 1.5 0.5 1.5
CARRIAGEWAY
GRAVEL
SHOULDER
GRAVEL
SHOULDER
C
L
M
i
n

0
.
5
1.0
ALL DIMENSIONS ARE IN METERS
Crossfall
Figure 3.3 Typical Cross Section Terminology and Dimensions
Slope normally
1V:2H for depth
of <2m, and
1V:1H for depths
>2m, or in
accordance with
type of soil and
depth
Slope
according to
type of soil and
depth of Cut.
For existing
alignments a
slope of 1:10
may be used
Drainage ditch
usually V-shaped.
Other shapes may
also be used.
Surfacing
Base
Subgrade
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The shoulder widths depend upon the availability of Right-of-Way, type of
terrain and the type of the road base (bound or unbound). These are
observed to fall in the range of 0 to 2 meters. No paving is generally needed
for shoulders except in locations where water is likely to penetrate at the
edge of the pavement which is an area particularly vulnerable to structural
damage. Shoulders should also be paved if the level of traffic flow
approaches the upper limit for a particular design class. In such cases a
surface dressing or other seal may be applied.

For 2-lane paved roads with carriageway width greater than 5 meters, full
shoulders may be omitted in mountainous and escarpment type terrain
where the costs of achieving desired cross sections are very high. In this
case the minimum paved width shall be 5.5 meters and side drains and edge
barriers should be given special considerations.

For single lane roads the carriageway width shall be 3.0m. Shoulders
widths may be 0-1.5m depending on traffic volume, mix and terrain.

Two lane roads should be delineated by continuous lines at least 10cm wide
situated on the shoulder immediately adjacent to the running surface.
Centerline markings are also recommended on roads of at least 5m width.

3.6.3 Cross Slope

Cross slope (crossfall) is needed on all roads to assist in the draining of
water into side drains. However it should not be so great as to be hazardous
by making steering difficult.

The normal cross slopes are a function of the type of pavement. For
bituminous pavements, the normal cross slope is generally taken as 2.0%.
The normal crossfall should be designed as shown in Figure 3.1.

In the case of rural roads the shoulders are generally not paved. Their
normal cross fall should be 2 - 3% to ensure faster drainage rate. In case the
carriageway is superelevated the shoulder should follow the same
Superelevation rate. The cross slopes of the formation shall be 2-3%. For
unpaved roads, a cross slope of 3% shall be used.

Applying steeper crossfalls to the formation not only improve drainage
performance of various pavement layers, but also provide a slightly greater
thickness of base material at the edge of the pavement where the bearing
capacity is the smallest due to the least confinement, and thus where the
structure is most vulnerable to damage. The design thickness should be that
at the centerline of the pavement.

Figure 3.3 shows the elements of a typical cross section and their ranges of
dimensions for rural Intermediated Roads and Village Access Roads.

In cases of escarpment or steep mountainous terrain a crossfall with the
same direction of the slope as the escarpment may be used in order to avoid
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the excavation of ditches on tracks through steep sidelong ground. In such
cases drainage details should be provided. Figure 3.4 shows this concept
with is advantages and disadvantages. Drainage channel shape and slope of
cutting are determined according to soil and terrain types.

Side Slopes
V
1
V
2

Sound Rock Weathered Rock Sity Sand H<1.5 H-1.5 3.0 H=3.0-8.0
5 2 0.5 4 3 2

Cross Section Dimensions
Rural Intermediate Roads Village Access
Roads Flat/Rolling Mountainous Escarpment
a (m) 0-2 0-2 0- 0-2
b (m) 5-7 5-7 3-7 3-7
c (m) 0-2 0-2 0-2 0-2
e (%) 1.5-2 1.5-2 1.5-2 1.5-2

Figure 3.4 - Elements of a Typical Cross Section and their Ranges of Dimensions

3.6.4 Passing Places

Single lane roads without shoulders where the available platform is only
3m wide, will not allow passing and overtaking to occur, and the practice
would be to provide passing places.

The increased width at passing places should be such as to allow two trucks
to pass, i.e. a minimum of 5.0 meters total width, and vehicles would be
expected to stop or slow to a very low speed.

Normally, passing places should be located every 300 to 500 meters
depending on the terrain and geometric conditions. Account should be
taken of sight distances, the likelihood of vehicles meeting between passing
V
1
1
V
2
1
e
e
Ditch
(a)
Carriageway
(b)
Verge
(c)
H
Typical 2-Lane Cross Section
V
1
1
V
2
1
e
e
Ditch
(a)
Carriageway
(b)
Verge
(c)
H
V
1
1
V
2
1
e
e
Ditch
(a)
Carriageway
(b)
Verge
(c)
H
Typical 2-Lane Cross Section
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3-25
places and the potential difficulty of reversing. In general, passing places
should be constructed at the most economic locations as determined by
terrain and ground condition, such as at transitions from cut to fill, rather
than at precise intervals.

The length of individual passing places will vary with local conditions and
the sizes of vehicles in common use but, generally, a length of 20 meters
including tapers will cater for most commercial vehicles on roads of this
type.

A clear distinction should be drawn between, passing places and lay-bys.
Lay-bys may be provided for specific purposes, such as parking or bus
stops, and allow vehicles to stop safety without impeding through traffic
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Cross-Section with Cross-fall to Valley Side Cross-Section with Cross-fall to Mountain Side

Advantages Disadvantages Advantages Disadvantages
- no side drains required, resulting in
substantial reduction in earthworks.
- less cross-drainage structures required
- evenly spread surface water runoff along
road edge reduces erosion problems.

- potentially dangerous for vehicles sliding
when surface slippery
- careful maintenance of surface required to
ensure water drains evenly over shoulders
- when gradient exceeds 8 percent, cross-fall
must be changed to mountain side.
- safer for vehicles in wet and slippery
conditions
- wider formation improves sight distance
- critical outside edge of road less prone to
damage
- controlled surface drainage outlets
- more earthworks because of the increased
width to accommodate drainage.
- higher back slopes requiring protection.
- frequent cross-drainage structures required
- more expensive
Source: WB Technical Paper 496.
Figure 3.5 Alternative Cross Sections in Mountainous Terrain

Shoulder
50 - 100
C
L
Carriageway
200-250
Catch water drains where
required; masonry lined
channel and/or polythene
sheet to avoid water from
seeping into slope material
Drain
60 - 80
3% - 5%
In situ soil or
optional gravel
Bio-engineering
slope protection on
slopes below and
above road
Side drain: in weak
material to be
masonry lined
Note: cut and fill to balance, avoid
spoil as much as possible
Construction steps: to allow for careful
excavation with minimal disturbance of
natural slope and regular, well compacted
fill layers on stable ground

SECTION 4

EARTHWORKS AND PAVEMENT

Section
4
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SECTION 4

TABLE OF CONTENTS

Page

4.1 General Definitions 1
4.1.1 Subgrade 1
4.1.2 Base 1
4.1.3 Surfacing 1
4.1.4 Pavement Section 2

4.2 Earthworks 4
4.2.1 Geotechnical Surveys 4
4.2.2 Borrow Pits & Dump Sites Location 4
4.2.3 Sand Dune Areas 7
4.2.4 Excavation 8
4.2.5 Embankments 9

4.3 Subgrade 10
4.3.1 General 10
4.3.2 Classes of Subgrade Bearing Strength 10
4.3.3 Improved Subgrade 11

4.4 Pavement Materials 11
4.4.1 General 11
4.4.2 Base Materials 12
4.4.3 Surfacing 12

4.5 Pavement Design 19
4.5.1 Structural Classification of Pavements 19
4.5.2 Flexible Pavement Design 20
4.5.3 Rigid Pavements 25

4.6 Mix Design for AC Surfacing 29
4.6.1 Basic Definitions 29
4.6.2 Aggregate Particle Size Distribution for AC Wearing Courses 30
4.6.3 AC Mix Design Guidelines 31
4.6.4 Performance Under Traffic 35

4.7 Design Procedure for Surface Dressings 35
4.7.1 Determine Type of Surface 35
4.7.2 Assess Traffic Category 36
4.7.3 Determine Maximum Chipping Size 36
4.7.4 Determine Chipping Application Rate 36
4.7.5 Determine the Rate of Application of Binder 37
4.7.6 Design Example 40

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SECTION 4

4.1 GENERAL DEFINITIONS

4.1.1 Subgrade

- Subgrade is all the material below the pavement and may include
in-situ material, fill and improved subgrade. For assessing any
section of subgrade the average CBR should be at least equal to the
median for the category selected, and no CBR value should fall
below the lowest value in the range. When subgrade CBR is below
30% it is to be replaced by suitable material with CBR more than
30% for a thickness of 20cm.

- Improved Subgrade is a granular capping layer of selected fill
material, the top of which is at formation level, placed where the
natural in-situ or fill material is unsuitable for the direct support of
the pavement.

- Formation is the surface of the ground, in its final shape, upon
which the pavement structure, consisting of base and surfacing is
constructed.

4.1.2 Base

- Granular Base Materials include a wide range of materials from
quarried rock or naturally occurring granular materials conforming
to specified properties suitable for base course layers used in
surface dressing pavement sections.

- Crushed Aggregate Base Materials (seldom used in Yemen) are
produced from crushed quarried rock, mechanically stabilized and
conforming to specified properties suitable for base course layers
used in flexible asphaltic concrete pavement sections.

4.1.3 Surfacing

- Surfacing is the uppermost pavement layer, which provides the
riding surface for vehicles. It will normally consist of either surface
dressing or flexible asphalt concrete.
- Surface Dressing is a method of providing a running surface to a
pavement and consists of applications of bituminous binder and
single sized or graded stone chippings depending on the type of
surface dressing used.
- Asphalt Concrete Surfacing is a flexible layer of bitumen-bound
materials used as pavement surfacing.
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- Bituminous Binders are petroleum-derived adhesives used to stick
chippings on to a road surface, in surface dressings or to bind
together a layer of asphalt concrete wearing course.
- Cutback Bitumen is a bitumen whose viscosity has been reduced by
the addition of a volatile diluent.
- Bitumen Emulsion is a binder in which petroleum bitumen, in finely
divided droplets, is dispersed in water by means of an emulsifying
agent to form a stable mixture.
- Prime Coat is an application of low viscosity bituminous binder to
an absorbent surface, usually the top of the base. Its purposes are to
waterproof the surface being sprayed and to help bind it to the
overlaying bituminous course.
- Tack Coat is a light application of bituminous binder to a
bituminous or concrete surface to provide a bond between this
surface and the overlaying bituminous course.

4.1.4 Pavement Section

There are four types of pavement that can be used for rural intermediate
roads and village access roads:

1a. Flexible Asphalt Concrete Pavement Section comprises a 40mm
thick layer of asphaltic concrete on top of high quality crushed
aggregate base course layer or crushed natural granular material. Its
use is economically justified only for the high traffic categories and
high gradients in mountainous terrain as indicated in this manual.

1b. Surface Dressing Pavement Section comprises a surface-dressing
layer of granular base course. This type of pavement is proposed for
low volume roads and for flat/rolling terrain.

2. Concrete Rigid Pavement,10-15 cm thick, with light reinforcement
(usually 8mm mesh in the middle) over subgrade with CBR 30%.
This is typically used for road sections of high gradients, for hairpin
curves, and for Irish crossings.

3. Stone Pavement 25cm thick over subgrade for village access roads
with high gradient, in mountainous terrain, and for Irish crossings.

4. Cyclopean Concrete Pavement 20cm thick over subgrade, without
reinforcement, for high gradients and for Irish crossings.

Figure 4.1 gives the terminology of these pavement types.

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Figure 4 1 Pavement Terminology for Various Types of Pavements

20cm
If subgrade strength (CBR) is <30% it should be
replaced by selected fill of CBR > 30% for 20cm.
Bituminous Surface
Dressing
Fractured rock granular
Base Course
In-situ Material or
Selected Fill
Formation
S
u
b
g
r
a
d
e
P
a
v
e
m
e
n
t
Asphalt Concrete
Surfacing
<
<
<
<
1 - Asphalt Concrete or Dressing Over Base Course
15 cm
3.5- 4 cm
20cm
If subgrade strength (CBR) is <30% it should be
replaced by selected fill of CBR > 30% for 20cm.
Bituminous Surface
Dressing
Fractured rock granular
Base Course
In-situ Material or
Selected Fill
Formation
S
u
b
g
r
a
d
e
P
a
v
e
m
e
n
t
Asphalt Concrete
Surfacing
<
<
<
<
<
<
<
<
1 - Asphalt Concrete or Dressing Over Base Course
15 cm
3.5- 4 cm
Pavement
Subgrade
Cyclopean
Concrete
4 - Cyclopean Concerte over Subgrade
for High Slopes and for Irish Crossings
In-situ Material or
Selected Fill
Formation
20 cm Pavement
Subgrade
Cyclopean
Concrete
4 - Cyclopean Concerte over Subgrade
for High Slopes and for Irish Crossings
In-situ Material or
Selected Fill
Formation
20 cm
Pavement
Subgrade
Stone
3 - Stone Pavement over Subgrade
in Mountainous Terrain, High Slopes and for Irish
Crossings
Formation
In-situ Material or
Selected Fill
25 cm
With or without mortar
Pavement
Subgrade
Stone
3 - Stone Pavement over Subgrade
in Mountainous Terrain, High Slopes and for Irish
Crossings
Formation
In-situ Material or
Selected Fill
25 cm
With or without mortar
2 - Concrete Rigid Pavement with Light Reinforcement over Subgrade
for High Slopes, Hairpin Curves and for Irish Crossings
Formation
Pavement
Subgrade
If Subgrade strength (CBR) is <30% it should be replaced by
selected fill of CBR > 30% for 20cm.
20cm
In-situ Material or
Selected Fill
-
Reinforced Concrete
Pavement
10 -15 cm
8 mm steel mesh
2 - Concrete Rigid Pavement with Light Reinforcement over Subgrade
for High Slopes, Hairpin Curves and for Irish Crossings
Formation
Pavement
Subgrade
If Subgrade strength (CBR) is <30% it should be replaced by
selected fill of CBR > 30% for 20cm.
20cm
In-situ Material or
Selected Fill
-
Reinforced Concrete
Pavement
10 -15 cm
8 mm steel mesh
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4.2 EARTHWORKS

4.2.1 Geotechnical Surveys

Geotechnical surveys are carried out at three stages in the project
preparation process at increasing levels of detail: 1) identification, 2)
feasibility and 3) design.

For new roads geotechnical surveys are conducted to select and compare
alternative routes for the road. Information is obtained on the supporting
ground for the road, earthworks, bridge sites, drainage, materials and water
for construction.

For upgrading and reconstruction works, geotechnical information is
needed to determine the choice and properties of materials that are
available for use in pavement construction.

For route location, the principal terrain related factors include
(1)
:

- Subgrade strength, or present instability problems.
- Materials used in construction.
- Earthworks (cuttings and embankments).
- Surface and subsurface drainage.
- The need for structures.

For all projects, geotechnical information provides the basis for much of
the costing of the engineering works. Any factors that could have a major
impact on costs (construction and maintenance) should be identified at an
early stage. Changes to design that must be made during construction often
involve considerable disruption, delay and expense, and are normally the
result of insufficient preliminary survey work.

Table 4.1 shows the steps of the geotechnical survey work.

4.2.2 Borrow Pits & Dump Sites Location

The most important factors that affect the selection of borrow pits location
are the suitability, availability and workability of the excavated material,
and accessibility from and to the site. Before starting exploitation works, a
comprehensive geological and geotechnical study should be carried out to
recognize the nature and extent of the desired material with respect to the
site position.

(1)
In addition to terrain factors, route location involves demand factors which determine the areas to be
served and the road standard.
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TABLE 4.1 STEPS OF THE GEOTECHNICAL SURVEY PROCESS BY PROJECT PREPARATION STAGE
Project Preparation Stage Purpose and Means Information Sought
1. Identification

Reconnaissance Stage
To identify possible alternative routes in terms of corridors
using:
- maps
- satellite images 1:25,000 1:500,000 (if necessary)
- air photo mosaics 1:100,000
Boundaries between terrain types and changes in topography, geology,
drainage pattern, vegetation and land use, with consideration to:
- courses 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.
2. Feasibility To carry out an appraisal of the corridors in order to select the
best route using:
1. air photos: 1:20,000 1:60,000 supplemented, if necessary,
by color information from satellite images.
2. site investigations of alternative routes to note key physical
and geotechnical features.
3. selected lab tests.
4. cost comparison of alternative alignments.
Following items to 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.
3. Design for implementation Detailed field studies of the selected route with detailed air
photo interpretation to help plan a comprehensive site
investigation with full sampling and testing program.
Testing program should include:
- construction materials
- subgrade conditions
- cuttings and embankments
- areas of instability
- erosion and soft ground
- requirements for frequency and size of culverts
- bridge sites

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In addition, the selection of dumping sites depends on the type of dumped
material with respect to the site material. It should be kept in mind that if
the dumped material contains contaminated substances, it should be
dumped away from any ground water recharges areas and other
environmental factors should be accounted for. Furthermore, the effect of
the bulk volume and weight of the dumped stock pile should be studied in
such a way as not to impose failure of below strata due to gravity.

Due to the excavation works, an instability status may develop causing
local or global failures that influence the surroundings. These problems
may be avoided if a prior assessment of the existing ground conditions is
performed; this covers an assessment of the rock discontinuities and/or soil
parameters. Moreover, environmental impact assessment and hydro-
geological studies should be performed to avoid any damage to nature or
water recharge areas.

In line with the above, the following steps shall be carried out for
identifying borrow areas and dump sites:

1. Site topographical survey to determine the boundary limits of the
proposed site and the estimated quantities.

2. Visual inspection of in-place conditions to give the minimum
possible safe distance between the borrow area boundary and
surrounding sites, for example archeological site, natural resources,
landscape areas, etc

3. Environmental impact assessment of the area.

4. Detailed geological mapping and discontinuity surveying for
recognizing the extension of suitable material, and specifying of the
geometry of stable cut slopes.

5. Comprehensive geotechnical study including: test pit excavation for
sample collection and testing to determine material characteristics
and physical properties.

6. Final strategy presenting the scope of work as follows: excavation
method, direction and extension of excavation, estimated final
quantities and rehabilitation and site restoration.

7. This step is only relevant to dump sites: assessment of the ground
conditions at the possible dump site locations including the
determination of the bearing capacity of the underlying strata and
studying the stability of the area when filled with the dumped
material.

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4.2.3 Sand Dune Areas

All roads in sand dune areas require careful investigation to ensure that the
accumulation of sand is minimized and does not provide a hazard to the
road user. It is important that the alignment is selected after careful
consideration of the wind direction. If at all possible, roads should be
elevated on embankments above general dune crest height and cuts and all
features causing wind speed to drop and sand deposition to occur should be
avoided.

In areas of varying wind direction and where considerable dune movement
is occurring, extreme difficulty can be encountered in construction and
maintaining any type of road.

In dune areas, the availability of materials for road construction is usually
severely limited and the need to import material, often for considerable
distances should always be considered.

The following considerations should be used to select alignments in
transverse and longitudinal sand dune areas:

If the road is parallel or inclined to dune but perpendicular to the
prevailing wind direction, few problems are usually encountered. The
road should be constructed in the interdune spaces keeping away from
the leeward side of any dunes. If two transverse sand dunes are
located close by, the gently sloping windward side of the sand dune,
which is fairly well stabilized should be selected with balanced cut
and fill so as to avoid any chances of blockage of carriageway by the
active foredune.

If the alignment of the road runs perpendicular to dunes or parallel to
the prevailing wind direction, several sand dunes may have to be
crossed and cutting of dunes and filling of the space in between two
dunes may be necessary to maintain proper grade. Cuttings or
embankments are not likely to be adversely affected by strong winds
and dust storms if their direction is the same as that of road
alignment. Cuttings are on the contrary widened sometimes by wind
erosion since the velocity of wind is increased, due to fluming.
However, embankments near cuttings may sometimes be blown away
and deep trenches formed.
If an alignment makes an angle more than five degrees with the
direction of prevailing winds, embankments can be seriously affected.
Any fine soil in berms gets blown from the windward direction and is
accumulated on the other side or even on the carriageway and thus
creates a serious maintenance problem.

Experience shows that an alignment requiring cuttings and fillings of
more than three meters should be avoided at all costs. An alignment
involving minimum cuttings and fillings is considered to be the best
one.
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Another possibility in transversing transverse dunes is to join the
crests of the dunes rather than cutting dunes. Stable slopes of one in
six need to be provided.

Road alignment in the wind direction poses few problems and can
easily follow the line of interdune plain in the case of sand dunes.
However, in the case of several longitudinal sand dunes being located
adjacent to each other, the alignment should be located on the dune
lee slope since this requires minimum cut and fill.

Roads perpendicular to wind direction (or parallel to longitudinal
dunes) or inclined to it, pose serious problems, since the prevailing
wind direction is similar to that of the axes of the dunes. Cuttings and
embankments can be subjected to serious sand drift and erosion.

Valleys or saddles in a chain of longitudinal sand dunes can be safely
utilized for aligning the road. The alignment of the road will often
become circuitous by following the interdune spaces but will be the
best from construction and maintenance points of view.

4.2.4 Excavation

General
Wherever a cutting is required, consideration needs to be given to the
following factors that will affect its design and cost:

Type of material to be excavated
Volume and position of the different materials
Level and flow of water table and springs
Stability of slopes
Drainage and protection against erosion

Determination of the Angle of Slope
Roads that have already been excavated and it would be difficult and
expensive to change the side slopes of high cut sections, may be left as they
are.

For new roads that have new alignments, the design of the slope angle of a
cut is a compromise between the following requirements:

- Stability
- Other factors (Appearance and Visibility, Need of Fill Material,
Minimum Cost, and Erosion Control).

(i) Stability

Stable slope angles given below are those that have generally been found to
be satisfactory where there is no water seeping out of the cut face and no
external loads:

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- Clay 3V:1H
- Weathered rock 4V:1H
- Sound rock 6V:1H (in existing alignments it
can be relaxed to 10:1)

In the following situations, analytical slope stability appraisals shall be
performed based on parameters obtained through detailed site investigation
and associated laboratory testing:

- Jointed rock conditions
- Problematic material
- Water table situations
- Cutting depth exceeding 8 meters

(ii) Other Factors

Partly for aesthetic and safety reasons a low angle slope is normally
considered more desirable than a near vertical one, even if other factors will
allow this latter course. The need for, or the surplus of fill material, will
also have an influence on slope angles.

In deep cuttings, where the pavement is laid shortly after completion of the
cutting, consideration should be given to heave.

Guidance on satisfactory slope angles from the points of view of both
stability and erosion resistance can be obtained from a survey of other
cuttings and natural steep slopes in the vicinity.

4.2.5 Embankments

General

Wherever an embankment is required, consideration needs to be given to
the following factors that will affect is design and cost:

Foundation conditions
Acceptable fill material
Stability of slopes
Settlement
Method and rate of construction

Foundation Conditions and Settlement

The foundation conditions beneath embankments require special attention
to avoid shear failures and excessive settlements. Wherever an
embankment is to be built on a wet, compressible soil such as mud, soft
clay, etc., detailed investigations are necessary to determine the most
suitable construction method, the rate of construction and any special
precautions required.

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Fill Material

Fill material will generally be obtained from cuttings. If the material
obtained from this source is insufficient or does not conform to
specifications (i.e. unsuitable), extra material shall be obtained from borrow
areas.

All material with a swell of more than 3% or contain more than 5% by
weight of organic matter, such as topsoil, material from swamps, mud, logs,
stumps, and perishable material are generally unsuitable for the
construction of fills.

Rockfill can be used provided that boulders greater than 0.2m
3
in volume
(600mm size) are not used and that this material is not placed within
600mm of formation level. Rockfill of 400 mm can be used below
formation level.

The best materials, conforming to class S6 (Table 4.2), either from cuttings
or from borrow areas, should be reserved for the upper layers of fill.

Stability of Slopes

Embankments up to 8m in height and resting on non-saturated soils shall
have a side slope of 1V:2H.

4.3 SUBGRADE

4.3.1 General

For a rational approach to pavement design, the most important
characteristic of the subgrade is its elastic modulus. However, the
measurement of this modulus requires fairly complicated and time-
consuming tests. It has been proven that there is good correlation between
the California Bearing Ratio and the elastic modulus of soils. Since the
CBR test is a fairly easy and widely used test, it has been decided to retain
it as the quantitative means of evaluating the subgrade bearing strength.

4.3.2 Classes of Subgrade Bearing Strength

Subgrade soils can be grouped into the followings bearing strength classes
based on soaked CBR values (Table 4.2):

TABLE 4.2 SUBGRADE STRENGTH CLASSES
Subgrade Soil Class Range (CBR %)
S1 < 2
S2 3 4
S3 5 7
S4 8 14
S5 15 29
S6 > 30
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The above CBR ranges correspond to the results actually obtained on
materials of the same type along sections of road considered homogeneous.
They reflect both the variations of the characteristics of the soil, which
inevitably occur, even at small intervals, and the normal scatter of test
results. As a first step the compaction properties of the subgrade soil are
obtained by conducting standard lab compaction tests. Samples of the
subgrade soil at the design subgrade water content are then compacted in
CBR moulds to the specified density and tested to determine the CBR
values. For each nominally uniform section, there may be considerable
variability in the results of various samples. For design purposes the lower
ten percentile value (value exceeded by 90% of the readings) is used.

It should be noted that the use of soil Classes S1 and S2 (CBR < 5%) as
direct support for the pavement should be avoided as much as possible.
Wherever practicable, such poor quality soils should be excavated and
replaced, or covered with an improved subgrade.

The subgrade strength shall be 30% CBR value, otherwise the top layer
should be replaced to a depth of 20cm.

4.3.3 Improved Subgrade

Where the above bearing strength requirements are not fulfilled, an
improved subgrade is necessary to increase the bearing strength of the
direct support of the pavement. Wherever subgrade strength (CBR) is
below 30%, it shall be replaced by selected fill of CBR greater than 30%
for a depth of 200mm. Improved subgrade will also achieve the following
objectives:

Protect the upper layers of earthworks against adverse weather
conditions (protection against soaking and shrinkage),
Facilitate the movement of construction traffic,
Permit proper compaction of the pavement layers,
Reduce the variation in the subgrade bearing strength, and
Prevent pollution of open-textured subbases by plastic fines from the
natural subgrade.

4.4 PAVEMENT MATERIALS

4.4.1 General

The choice of the pavement materials and, hence, of the pavement
structure, will largely depend on the types and the respective costs of the
natural materials locally available. A thorough assessment of the local
resources in road-making materials is essential to enable the design
engineer to select the most economical pavement.

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4.4.2 Base Materials

Granular Base Course

Granular base materials shall have a CBR of at least 80%, at 100% MDD
(Modified AASHTO) and after 4 days soak. The materials can be obtained
from naturally occurring gravels or from crushed stone sources.

Natural gravels in Yemen are generally suitable for roadbase, except where
they have poor hardness and high plasticity. Weathered rocks are even
poorer.

Compaction should be at minimum dry density 100% MDD (Modified
AASHTO), and maximum thickness compacted in one layer should be
200mm.

Crushed Aggregate Base Course

Crushed aggregate base course shall be obtained from high-quality crushed
stone quarries, although some natural gravels are suitable. The materials
should be a mechanically stable mixture of angular particles of different
sizes ranging from about 50mm in diameter down to dust, with a gradation
conforming to RAP specifications (AASHTO). The material shall acquire a
minimum CBR value of 80% at 95% MDD (Modified AASHTO) and after
4 days soak. The crushed aggregates shall be sufficiently durable with a
minimum 10% Fines Value of 110 kN. The fines percentage shall be
limited to 12% and the Plasticity Index of the fine material to 4%.

Compaction should be at minimum dry density 100% MDD (Modified
AASHTO), and maximum thickness compacted in one layer should be
200mm.

4.4.3 Surfacing

Prime Coat and Tack Coat

(i) Prime Coat
A prime coat is an application of low viscosity bituminous binder to an
absorbent surface. Its purposes are to water proof the surface being sprayed,
to bind the finer particles together in the road base, and to help bind it to the
overlying bituminous course.

All non-bituminous roadbases shall be primed. The most appropriate
binders for priming are medium curing fluid cut-backs MC 30 and MC 70.
MC 30 is suitable for practically all types of materials. MC 70 is suitable
only for open textured materials, such as graded crushed aggregates. The
depth of penetration should be in the range of 3-10 mm. The rate of
application will depend on the texture and density of the material to be
primed. It is usually between 0.8 and 1.2 /m
2
. The quantity sprayed should
allow for a dry surface within two days.
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(ii) Tack coat

A tack coat is a light application of bituminous binder to a bituminous, a
previously primed surface, or previously built basecourse. Its purpose is to
provide a bond between the surface being sprayed and the overlying
bituminous course.
The following types of binders may be used:

- Rapid curing cut-backs (RC 250, 800 or 3000),
- Quick breaking emulsions

The rate of spray will depend on the surface texture. It is usually between
0.3 /m
2
and 0.8 /m
2
.

For very thin applications, emulsion would normally be preferred, as it can
be diluted with water, permitting a thin film of bitumen to be achieved at a
convenient rate of spray from the distributor. All tack coats should be
applied to a cleaned surface shortly before laying the next bituminous layer
but allowing sufficient time for evaporation of cutter or run-off of emulsion
water.

Surface Dressing

Surface dressing can be used in flat / rolling terrain as a surfacing under
light and medium traffic or as an economical first surfacing under heavy
traffic. Furthermore, surface dressing can be applied as a maintenance
process. Periodic resealing extends the service life of all forms of
bituminous surfacing. The use of surface dressing in Yemen, however,
needs more experience, well trained labor and proper equipment to be able
to implement successfully.

(i) Double Surface Seals

Double Surface Seals consist of two applications of aggregate (13.2mm for
the bottom layer and 6.6mm for the top layer) and two applications of
binder, i.e. a tack and penetration spray plus, in some cases, a fog spray.
Double Surface Seals are particularly advantageous when:

- The available chippings are particularly poorly shaped (e.g. with an
average least dimension of less than about 0.5 of the nominal size).
- The available chippings are particularly weak and will tend to crush
or abrade quickly.

(ii) Slurry Seals

Slurry Seals are used as maintenance treatments or pre-treatments for
existing bituminous surfaces as well as for new surfacing on roads and
airfields. They are also used to provide a homogeneous texture to the
existing surface prior to resealing. The slurry seal mixture is easily applied
by hand by rubber squeegees or by mechanical spreaders.
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(iii) Cape Seals

Cape Seals consist of a single seal (13.2mm) plus a slurry, and are mainly
used for new surfaces. Cape seals hence provide adequate skid resistance
through the tops of the chippings that penetrate through the slurry seal. The
binder used is an emulsion for both the tack coat and penetration sprays.
The grading of the slurry aggregate for a Cape Seal may be either
medium or coarse depending on the surface texture of the 13mm seal.

(iv) Graded Gravel Seals

Graded Gravel Seals: this type of seals is well known as Otta seal in
Botswana and in Zimbabwe. The use of graded gravel seals is particularly
attractive where crushed single-sized chippings are unavailable or incur
large transport expenses. Gravel seals exhibit equal or superior quality
performance compared to single-sized chipping surfacing on low volume
roads and yet their specifications are less stringent than those for
conventional seals. Gravel seals have a wide grading compared to the
single-sized aggregate used in conventional seals with lower strength
aggregates and softer binders. Hence, marginal quality aggregates can be
tolerated and yet the seal can still perform adequately due to the mechanical
interlock between the graded particles and the bitumen binding effect.

Table 4.3 represents the relative advantages and disadvantages of each type
of surface dressings with respect to each other, for easy selection.

Table 4.3 Relative Merits of Various Types of Surface Dressings
Double
Surface
Seals
Slurry
Seals
Cape
Seals
Graded
Gravel
Seals
Asphalt
Concrete
Quality of aggregates
(A)
3 4 2 5 1
Suitability for labor intensive construction x x x x
Suitability as a rehabilitation / maintenance
measure
(B)

3 1 4 2 5
Skid resistance
(C)
3 5 2 4 1
Life expectancy for new construction
(D)
3 4 2 5 1
Routine maintenance requirements
(E)
2 1 4 3 5
Cost of construction
(F)
3 5 2 4 1
Applicable traffic classes
(G)
T1-T6 T1-T3 T1-T6 T1-T5 > T4
Gradient <6% <6% <6% <6% For all grades
Climate, represented by Precipitation (in mm) (H) <500 (H) (H) (H)
Notes:
(A) 1 represents the most stringent requirements compared to the other options,
(B) 1 represents the most suitable measure compared to the other options,
(C) 1 represents the highest skid resistance compared to the other options,
(D) 1 represents the highest life expectancy compared to the other options,
(E) 1 represents the most demanding routine maintenance requirements compared to the other options,
(F) 1 represents the highest construction cost compared to the other options.
(G) For traffic classes, refer to Tables 4.5 and 4.6.Except for the Asphalt Concrete surfacing, which can be
designed for a 20 year design life, all other surfacings have a limited design period that ranges between
7 and 14 years, depending on the applicable traffic class indicated in the above table. Should the
applicable traffic class for a specific surfacing type be exceeded for any reason, then such action will
be commensurate with a corresponding reduction in design life of that specific surfacing type thus
necessitating resurfacing works at shorter intervals.
(H) For all climates.
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Asphalt Concrete Wearing Course

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)).

Asphalt Concrete Wearing Course layer can be used as an alternative to
Surface Dressing. Its use, however, is usually only economically justified
for heavy traffic classes T5 and T6, or for road sections having longitudinal
grades higher than 8%.

Components of AC Mixes

1. Aggregates

The coarse aggregates used for making premix should be produced by
crushing sound, unweathered rock or natural gravel. The aggregate should
have the following characteristics:

be clean and free of clay and organic material; be angular and not
excessively flaky, to provide good mechanical interlock;
be strong enough to resist crushing during mixing and laying as
well as in service;
be resistant to abrasion and polishing when exposed to traffic;
be non absorptive - highly absorptive aggregates are wasteful of
bitumen and also give rise to problems in mix design; and
have good affinity with bitumen hydrophilic aggregates may be
acceptable only where protection from water can be guaranteed, or a
suitable adhesion agent is used.

Filler (material finer than 0.075 mm) 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 improve the adhesion
of the bitumen to the aggregate.

Filler has an important effect on voids content and the stiffness of the
bitumen-fines matrix. The SG of the filler must be taken into account
because, for instance, equal masses of Portland cement and fresh hydrated
lime will have very different bulk volumes and, therefore, different effects
on mix properties.

The required properties for aggregates are given in Table 4.4, and aggregate
grading is given in Table 4.4A (TRL Road Note 31). An alternative
gradation is shown in Table 4.8 based on Asphalt Institute mix design.

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TABLE 4.4 REQUIRED PROPERTIES FOR AGGREGATES
Property Test
Properties
Wearing course Binder course
Cleanliness Sand equivalent: for < 4.75mm
< 1.5 x 10
6
esa >35
> 1.5 x 10
6
esa >40
(Material passing 0.425mm sieve)
Plasticity index
2
<4
Linear shrinkage % <2
Particle shape Flakiness index
3
<35
Strength Aggregate Crushing Value (ACV)
4
<25
Aggregate Impact Value (AIV)
4
<25
10% FACT (dry) kN
4
>160
Los Angeles Abrasion (LAA)
5
<30 <35
Abrasion Aggregate Abrasion Value (AAV)
4

250-1000 cv/lane/day <16 -
1000-2500 cv/lane/day <14 -
>2500 cv/lane/day <12 -
Polishing Polished Stone Value
4
(see Table 4.2) -
Water absorption Water absorption
6
<2
Soundness
7
Sodium Sulphate Test: Coarse <10
(5 cycles, %loss) Fine <16

Magnesium Sulphate Test: Coarse <15
Fine <20
Bitumen affinity Immersion Mechanical Test: Index of
8
>75
retained Marshall stability
Static Immersion Test
9
>95% coating retained
Retained Indirect Tensile strength
10
>79% (at 7% VIM)
1
AASHTO T176
6
British Standard 812, Part 2
2
British Standard 1377: Part 2
7
AASHTO T104
3
British Standard 812, Part 105
8
D Whiteoak (1990)
4
British Standard 812, Parts 110 to 114
9
AASHTO T182
5
ASTM C131 and C535
10
AASHTO T283

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Table 4.4A Aggregate Gradation for Asphaltic Concrete Surfacings
Mix designation
WC1 WC2 BC1
Wearing Course Basecourse
BS test sieve (mm) Percentage by mass of total aggregate passing test sieve
28 - - 100
20 100 - 80 100
14 80 100 100 60 80
5 54 72 62 80 36 56
2.36 42 58 44 60 28 44
1.18 34 48 36 50 20 34
0.6 26 38 28 40 15 27
0.3 18 28 20 30 10 20
0.15 12 20 12 20 5 13
0.075 6 12 6 12 2 6
Bitumen content (per cent by
mass of total mix)
(1)
5.0 7.0 5.5 7.4 4.8 6.1
Bitumen grade (pen) 60/70 or 80/100 60/70 or 80/100 60/70 or 80/100
Thickness (mm)
(2)
40 50 30 40 50 65
Notes: 1. Determined by Marshall design method
2. In practice the upper limit has been exceeded by 20 per cent with no adverse effect.

2. Bitumen for AC Mixes

There are three important properties or characteristics of paving grade
bitumens. These are consistency (usually called viscosity), purity and
safety.

Traditionally, paving grade bitumens have been specified in term of their
penetration, but the measurement of viscosity provides a more accurate
method of specifying binder consistency and a more effective method of
determining the temperature susceptibility of the bitumen.

Bitumens derived from different sources of crude oil can have varying
resistance to oxidation. Their characteristics can be further affected by the
type of refining plant in which they are produced.

Depending upon the properties of the crude oil and the processing, bitumen
produced in the propane precipitation method can be more durable.

Characteristics of AC for Good Performance

To perform satisfactorily as road surfacing, bitumen aggregate mixes need
to possess the following characteristics:

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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. 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 oxidize 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 channeled, will be unsuitable for flat, open terrain
where traffic moves more rapidly.

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. 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 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.

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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, bitumen should be selected which has a
low temperature sensitivity and good resistance to hardening as indicated
by the standard and extended forms of the Rolling Thin Film Oven Test
(ASTM, D2872, Dickinson (1982)).

4.5 PAVEMENT DESIGN

4.5.1 Structural Classification of Pavements

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:
Roads incorporating bituminous materials or 'flexible' pavements.
Roads incorporating pavement quality concrete or 'rigid' pavements

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. (Figure 4.1 illustrates the terminology for various types of
pavements).

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.

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. In Yemen, there is a potential
for major cost savings to be made by adopting a gravel road standard for
village access roads with low traffic flows, whereby upgrading to paved
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standard would follow if justified by growth in traffic. This strategy is more
in line with the use of flexible type pavements.

4.5.2 Flexible Pavement Design

Typical pavement design sections are proposed herein for various subgrade
categories and traffic levels. The following guidelines are adapted from
TRRL Road Note 31, 1993.

A. Factors Affecting Flexible Pavement Design

The structural design of road pavements depends primarily on the
following factors:

strength of the subgrade
traffic loading
materials
variability and uncertainty in the above three items and in the
quality control of the construction process.

In addition, the structural performance of the road will depend on the
adequacy of drainage measures within the road structure, the design of the
shoulders and the level of maintenance.

1. Subgrade Strength

The most important factor which controls the pavement thickness is the
strength of the subgrade soil. This, in turn, depends on the type of soil, its
moisture content and 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 when the subgrade is
weak, but insensitive to subgrade strength when the subgrade is very
strong. The strength of the subgrade can change with time as a result of
moisture changes in the soil. Such changes are often associated with poor
maintenance and are therefore unpredictable. Designers often include
substantial safety factors at this stage of the design process. It is important
to estimate the strength of the subgrade under the most likely adverse
conditions (see section 4.3 above).

2. Traffic Loading

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 tons)
axles, referred to as standard axles.

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One of the most common causes of premature pavement failure in many
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.

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.

3. Materials

The third factor which influences thickness is the choice of materials for
the construction of the pavement layers themselves. No pavement structure
can be designed independently of the characteristics of the pavement
materials. Indeed, every material has a different behavior, which is largely
influenced by the characteristics of the other pavement layers. 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.

4. Variability and uncertainty

The design must take account of inherent variability in the materials,
variability in the quality control, uncertainties associated with climate, in
4.5
Figure 4.2 Axle Load - Pavement Damage Relationship
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particular rainfall and depth of water table and uncertainties in future
maintenance, future vehicle axle loadings and traffic flow levels.

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.

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.
It is not possible to compensate adequately for such effects by means of
more conservative designs.

Materials. Additional problems of variability arise with the aggregates
chosen for road 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.

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, particularly on more lightly trafficked roads.

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 prernixed 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
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in thickness should ensure that the road carries the traffic satisfactorily
despite large uncertainties in traffic forecasts providing that the natural
variations in thickness arising from the construction process are properly
accounted for in the design.

5. Shoulders

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 are normally one to two meters wide. For
RAP roads shoulders are 0.5 1.0 m wide.

6. Drainage of pavement layers

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,
or by including a permeable layer within the shoulder.

B. Preparation of Flexible Pavement Design

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.

1. Design Life

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.

2. Traffic and Axle Loading

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
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contain different types of pavement construction and should reflect the
uncertainties in traffic forecasts.

3. Choice of design method

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 for the purpose of
improving roads and reducing their costs.

4. Typical Pavement Design Sections

This manual has made use of TRRL Road Note 31 which provides design
guidelines for bituminous surfaced roads and emphasizes good engineering
practice.

Typical pavement design sections with surface dressings and with asphalt
concrete are shown in Tables 4.5 and 4.6 For respectively

TABLE 4.5 TYPICAL PAVEMENT DESIGN SECTIONS WITH SURFACE DRESSING
Pavement Components
Traffic Class
T
1
T
2
T
3
T
4
T
5
T
6
Double Surface Dressing

Thickness of Granular Base
Course (mm)
150 150 150 200 200 200

TABLE 4.6 TYPICAL PAVEMENT DESIGN SECTIONS WITH ASPHALT CONCRETE
SURFACING
Pavement Components
Traffic Class
T
1
T
2
T
3
T
4
T
5
T
6
Thickness of Asphalt
Concrete Surfacing (mm)
35 35 35 40 40 40
Thickness of Granular Base
Course (mm)
150 150 150 150 150 150
Notes for Tables 4.5 and 4.6:
- Thicknesses of granular base course are for subgrade strength class S6.
- For soil classes S3-S5 the upper layer should be replaced by selected fill of CBR > 30% for a
depth of 200 mm.
- Soil classes S
1
and S
2
should be avoided, or excavated and replaced by selected fill.
- A base course of 15cm thickness shall be used for subgrade strength > 30% CBR. In cases where
difficult soil conditions are encountered, a separate pavement design shall be carried out to
select various layers that produce the most economical design.

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C. Strengthening Flexible Pavements

Each of the pavement structures proposed has been designed to carry a
certain cumulative traffic. When the pavement has carried the expected
traffic, it will need to be strengthened so that it can continue to carry traffic
for a further period. In this respect, it is necessary that paved roads be
continuously surveyed, so that strengthening can be planned and
constructed in time, that is to say before extensive deterioration has
occurred.

It is assumed that, during the design period, only ordinary maintenance will
be carried out; this will comprise shoulder and drainage system
maintenance, erosion and vegetation control, localized patching and
periodic resealing. This maintenance is, however, essential, and its neglect
will seriously affect the pavement performance.

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. 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.

Rebuilding. Problems arise if the road is in poor condition. Under these
circumstances, the decision to strengthen the existing road or to rebuild the
whole or parts of the road can be difficult. No easy guidelines exist.
Conditions along the road will vary so much from place to place that the
quantity of pavement layer testing required to assess the structural
condition, and the degree of risk attached to overlaying under these
circumstances, often mitigates against strengthening in favour of
reconstruction. In this situation, engineering judgment plays a major role
and risk analysis may be used to help quantify the likely consequences of
error. When assessments are made of roads requiring rehabilitation, it is
important that sufficient testing is done to enable statistically meaningful
results to be obtained. The results will need to be assessed by an
experienced road engineer to determine the best remedies.

4.5.3 Rigid Pavements

Feasibility studies for paved roads should normally consider the potential
for building in concrete. 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
areas experiencing difficulties maintaining their road network to an
economic standard. It is also probable that the riding quality of concrete,
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although initially rougher than on bituminous roads, will deteriorate much
less, so that future vehicle operating costs will not increase so rapidly.

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
help to develop local skills and offers scope for the fostering of local
contracting industries.

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 lifetime costs of bituminous
and concrete roads.

Design methods for concrete roads may be based on either the ASSHTO
(1974), CPCA (1984) or the TRRL (Mayhew and Harding 1987) methods.

Table 4.7 shows a summary of the characteristics of alternative paving
options for the following types of pavements:

- Bituminous Surface Dressing.

- Asphalt Concrete Surfacing.

- Concrete Rigid Pavement.

- Stone Paving.

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TABLE 4.7 - ALTERNATIVE PAVEMENT OPTIONS

Bituminous Surface Dressing
Description A thin film of bitumen applied mechanically or by hand onto the road
surface and covered with a layer of stone chipping, then lightly rolled.
Uses Surface for low-traffic roads and for flat or rolling terrain.
Surface for urban roads
(Multiple coats may be applied if circumstances warrant)
Characteristics Permits labor-based construction method
Provides durable dust-free running surface
Provides waterproof pavement seal and arrests surface deterioration
Allows for ease of maintenance
Traffic Can be used for all traffic categories (up to T6)
Cost Inexpensive: typically 25% of the cost of an asphalt concrete surfacing.
Life Typically five to 15 years in a tropical environment

Asphalt Concrete Surfacing
Description Asphalt concrete layer 40-50 mm thick applied mechanically or by hand on
granular base course, then rolled to achieve required density.
Uses Surface for high-traffic roads, for long sections and for high gradients
in mountainous terrain.
Surface for urban roads
Characteristics High riding quality and skid resistance
Permits both mechanized and labor-based construction methods
Provides durable dust free running surface
Provides waterproof pavement seal
Allows for ease of maintenance
Traffic Can be used for all traffic categories especially for the higher
categories.
Cost Higher cost than surface dressing.
Life Typically 10-20 years depending on environment and levels of
maintenance.

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Rigid Pavement
Description Lightly reinforced concrete 150mm thick applied on subgrade.
Uses Pavement for high traffic volume and for high traffic loads.
Advantageous on steep slopes.
Advantageous for road sections requiring high stability pavement and
for Irish crossings.
Characteristics Permits labor-based construction method
Provides high quality running surface
Provides durable pavement and is less amenable to deterioration than
bituminous roads.
Less demanding on maintenance.
Traffic Pavement for high traffic roads
Advantageous on sections of heavy and slow vehicular flow.
Cost Initial cost may be higher than bituminous pavements, but could be more
economic over the life cycle of the pavement due to reduced maintenance
requirements and less deterioration of riding quality.
Life Typically 20 years

Stone Paving
Description Natural stones measuring no more than 20 to 30 cm are laid on a 5cm
sand/gravel bed with the top surface set to the final cross-fall. The large
stones are set with the wider face to the bottom. Empty spaces are filled
with smaller stones and firmly wedged into place. Compaction is carried
out with a vibrating pedestrian roller. The surface may or may not be sealed
with a gravel-sand-clay mixture and the finished paving is compacted again
Uses Surface for low-traffic roads, for mountainous terrain and for Irish
crossings.
Base for urban roads
Base for low-traffic roads which would require upgrading to asphalt
standard if the traffic level is likely to increase beyond the economical
threshold of gravel and stone-paved roads.
Characteristics Labor-based construction method
Use of locally occurring materials
Ease of maintenance
Traffic For low-volume roads as surface
All traffic categories as a base
Cost Comparable with gravel surfacing if stones occur in road locality
Life Stone paving can have a very long life if maintained properly. Resealing
should be done an average of every three years. Stones broken out of the
pavement or damaged edges should be replaced immediately in order to
avoid costly repairs.
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4.6 MIX DESIGN FOR AC SURFACING

Mix design for AC surfacing materials is commonly based on the
recommendations given in the Asphalt Institute Manual Series, MS-2
(1994) and is carried out using the Marshall test procedure. This method
employs impact compaction with the Marshall hammer to produce
briquettes of different compositions. The briquettes are then tested to
ensure that the mix criteria are appropriate for the design traffic.
Another procedure recently developed by the Asphalt Institute, the
Superpave procedure involves careful selection and detailed testing of
bitumen (Asphalt Institute Superpave Series No.1, 1997) and the use of a
gyratory compactor for mix design (Asphalt Institute Superpave Series
No.2, Third Edition, 2001). Mix design requires that volumetric
requirements are met and that the design mix will have compaction
characteristics that are related to the expected traffic loading. The following
AC mix design guidelines are adopted from TRL Road Note 19, 2002.

For convenience, mix components are blended in proportion by mass and
expressed as percentages of the complete mix. However, the controlling
factor in the design of mixes for all traffic levels is the volume of each mix
component.

The volumetric design of a compacted (hot mix asphalt) HMA is affected
by:

i. The proportions of the different aggregates and filler;
ii. The specific gravity of the different materials;
iii. Where porous aggregate is present, the amount of bitumen
absorbed; and
iv. The amount of non-absorbed bitumen.

4.6.1 Basic Definitions

The basic definitions used in volumetric design pertaining to various types
of voids in the mix include:

Air Voids (VIM) the total volume of air, expressed as a percentage of the
bulk volume of the compacted mixture, which is distributed throughout a
compacted paving mixture and is located between the coated aggregate
particles.

Effective Bitumen Content (Pbe) this governs the performance of the mix.
It is the portion of bitumen that remains as a coating on the outside of the
aggregate particles. Any bitumen that is absorbed into the aggregate
particles does not play a part in the performance characteristics of the mix,
but has the effect of changing the specific gravity of the aggregate.

Voids in the Mineral Aggregate (VMA) the volume of void space between
the aggregate particles of a compacted paving mixture. It is the sum of VIM
and Pbe expressed as a percent of the total volume of the sample.
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Voids Filled with Bitumen (VFB) the portion of the volume of void space
between the aggregate particles (VMA) that is occupied by the effective
bitumen.

The representation of volumes in a compacted bituminous mixture are
shown in Figure 4.3.

4.6.2 Aggregate Particle Size Distribution for AC Wearing Courses

Irrespective of the particle size distribution that is chosen, a blend of
aggregate particles suitable for dense AC surfacings must produce a mix
which will:

i. Have sufficient VMA to accommodate enough bitumen to make it
workable during construction;
ii. Be durable in service; and
iii. Retain a minimum of 3 per cent VIM after secondary compaction
by traffic.

Particle size distributions recommended by the Asphalt Institute for
wearing course layers are shown in Table 4.8.

Table 4.8 Particle Size Distributions for AC wearing
courses (Asphalt Institute, 1994)
Nominal maximum stone size (mm)
Percentage passing sieve size
Sieve size (mm) 19 12.5 9.5
25 100
19 90-100 100
12.5 - 90-100 100
9.5 56-80 90-100
4.75 35-65 44-74 55-85
2.36 23-49 28-58 32-67
1.18 - - -
0.600 - - -
0.300 5-19 5-21 7-23
0.075 2-8 2-10 2-10
Note: This is an alternative gradation to that shown in Table 4.4A.
VMA = Volume of voids in mineral aggregate
Vmb = Bulk volume of compacted mix
Vmm = Voidless volume of HMA mix
VFB = Volume of voids filled with bitumen
VIM = Volume of air voids
Vb = Volume of bitumen
Vba = Volume of absorbed bitumen
Vsb = Volume mineral aggregate
(by bulk specific gravity)
Vse = Volume of mineral aggregate
(by effective specific gravity)
Figure 5.2 Representation of volumes in a compacted HMA specimen (Asphalt Institute, MS-2, 1994)
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A compacted blend of crushed aggregates will give a maximum density if
the particle size distribution follows the Fuller curve. However, this
minimises VMA and produces a mix which will be very sensitive to
proportioning errors. It is best practice to modify the distribution away
from the maximum density line.

The Superpave mix design procedure addresses the need for sufficient
VMA by specifying control points within which the particle size
distribution must fit and a restricted zone. VMA is increased both by
displacing the particle size distribution away from the maximum density
line and by avoiding the restricted zone.

The combined effect of VMA selection and particle size distribution
becomes more sensitive as traffic loading increases, particularly under the
severe conditions which apply in many developing countries. Particle size
distributions which pass below the restricted zone will normally provide the
most effective material for roads carrying very heavy traffic and for severe
sites, but this must be confirmed by adequate laboratory testing. It is
possible that adjustment of the proportions of larger sized aggregates will
produce an equivalent increase in VMA as adjusting the particle size
distribution to pass outside the restricted zone.

4.6.3 AC Mix Design Guidelines

Air Voids

AC wearing courses tend to be sensitive to variations in composition. A high level
of quality control is essential during laboratory design, manufacture, compliance
testing and construction. The small range of VIM values shown in Table 4.9 and
the effect they have on mix performance illustrates this sensitivity.

Table 4.9 Critical Values of VIM in Wearing Course

In order to achieve a balance of mix properties it is important that the aggregate
structure of the mix has sufficient VMA. The minimum VMA required is related
to the nominal stone size as shown in Table 4.10.

VIM
(per cent)
Effect
> 5 Increasingly permeable to air and
prone to oxidation of bitumen.
4 or 5 Target for design.
3-5 For a durable and stable mix.
< 3 Prone to plastic deformation under
heavy loading.
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Table 4.10 Minimum VMA specified for AC mixes
Minimum VMA (per cent)
@ Design VIM (per cent)
Nominal maximum
stone size (mm)
4.0 5.0
37.5 11.0 12.0
25 12.0 13.0
19 13.0 14.0
12.5 14.0 15.0
9.5 15.0 16.0

VMA and Bitumen Film Thickness

Whilst VMA is crucial to the correct volumetric design of HMA it is
important to be aware of the possible limitations in rigidly specifying
values and also of the difficulties in accurately measuring VMA.

It is recommended that bitumen film thickness (i.e. the nominal thickness
of non-absorbed bitumen coating the aggregate particles) be a minimum of
7 microns. If the bitumen film thickness is less than 7 microns it is
recommended that the determination of VMA be reviewed. Evidence from
field compaction trials, including the volumetric properties of cores cut
from the trials, will help to confirm that the mix is sufficiently workable
and that specified properties are obtained.

It is recommended that AC mix design using the Marshall method be based
on three categories of design traffic:

i. < 5 million esa;

ii. > 5 million esa; and

iii. severe sites - defined as climbing lanes and junctions that are subject to
slow moving heavy traffic.

Design Traffic <5 million esa

In principle, any of the wearing course gradings given in Table 4.11 can be
used as a running surface for traffic loading up to 5 million esa. The larger
stone mixes have to be placed in thicker layers and the surface finish of
such mixes would have a coarser texture. All mixes should be designed to
the Asphalt Institute (MS-2, 1994) Marshall criteria for wearing courses
shown in Table 4.10. It will be noted that a single value of 4 per cent VIM
at the optimum bitumen content is recommended.

Some variation in mix composition is to be expected during plant
manufacture and MS-2 recommends that variations in bitumen content
should be restricted to produce a variation in VIM of only 4 0.5 per cent
at the design level of Marshall compaction.

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Table 4.11 AC wearing course specification for up to 5 million esa
Category and
design traffic
(million esa)
Number of
blows of
Marshall
Compaction
Hammer
Minimum
Stability
(N)
Flow
(mm)
VFB
(%)
VIM at
optimum
bitumen
content
(%)
Heavy (1 5) 75 8000 2-3.5 65-75 4
Medium (0.4 1) 50 5300 2-4.0 65-78 4
Light (< 0.4) 35 3300 2-4.5 70-80 4

Design Traffic >5 million esa

Local experience may justify the use of similar design criteria to those
shown in Table 4.11 for design traffic greater than 5 million esa. However,
such increases must be based on sound data. In particular:

i. aggregate sources which are known to produce very stable mixes
should be used; and
ii. where applicable, care must be taken to classify correctly lengths of
road as severe sites and to design a suitable mix for these
locations.

Where there is no extensive local experience of the performance of HMA
then the Marshall requirements for mixes designed for traffic greater than 5
million esa are summarized in Table 4.12.

Table 4.12 AC wearing course specification for more than 5 million esa

Category and
design traffic
(million esa)
Number of
blows of
Marshall
Compaction
Hammer
Minimum
Stability
(N)
Flow
(mm)
VFB
(%)
VIM at
optimum
bitumen
content
(%)
Very heavy 75 9000 2-3.5 65-73 5

Other Considerations for Mix Design

When a given aggregate blend is compacted in the Marshall test, VMA
decreases as the bitumen content is increased until a minimum value of
VMA is obtained. Thereafter, more bitumen causes an increase in VMA,
indicating that the aggregate structure is becoming overfilled with bitumen,
and will result in the mix being susceptible to plastic deformation. It is
important therefore, that the design bitumen content is slightly less than
that which gives the minimum VMA at the selected compaction level, as
shown in Figure 4.4.

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Note: the minimum VMA values must satisfy the requirements given in Table 4.10
Source: TRL Road Note 19

Figure 4.4 Effect of Marshall Compactive Effect on VMA and VI M
(Asphalt I nstitute, 1994)

In the refusal density test VMA tends to remain constant until the structure
starts to become overfilled.

Mix Design for Severe Sites

Without sufficient knowledge of the degree of secondary compaction that
will occur on severe sites any selection of a level of Marshall compaction
becomes arbitrary. In comparison, compaction to refusal provides a
reference density because the aggregate structure cannot be compacted
any further. Particle size distributions can, therefore, be selected to give
VMA that will accommodate sufficient bitumen to ensure good workability
during construction and retain a minimum of 3 per cent VIM at refusal
density. However, it is important that a compromise is reached between
high VMA to accommodate enough bitumen to make the mix workable and
sufficient fines to provide a strong mix. It is also important that the coarse
aggregate is strong enough to withstand vibratory compaction without
significant breakdown of the particles.

Selection of Grade of Bitumen

60/70 penetration grade bitumen is generally recommended for use in
HMA in hot climates. For severe sites the additional mix stiffness that
should result from use of 40/50 penetration grade bitumen may be justified.
Typically an increase in mixing temperature of up to 10
o
C will be
necessary if the harder bitumen is used.

OK
Not OK (wet side of minimum)
75 Blow
50 Blow
35 Blow
V
M
A
%
Bitumen Content %
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4.6.4 Performance Under Traffic

AC mixes designed by the Marshall method

Control of compaction during construction is achieved by expressing in situ
core densities relative to the density of plant mixed material compacted in
the laboratory. The same number of blows of the Marshall hammer are
applied to the plant mix as were used for the original laboratory mix design.
Typically, the minimum level of relative compaction specified is 96 per
cent.

Because an AC surfacing mix is designed to have 4 per cent VIM at the
appropriate level of laboratory compaction, a relative density of 96 per cent
will give in situ VIM of approximately 8 per cent (or 9 per cent if the
design VIM is 5 per cent).

With VIM of more than 8 per cent the surfacing will be vulnerable to
premature deterioration through ageing of the bitumen. Improved durability
would be obtained by specifying a higher level of compaction, however, it
is often difficult to consistently achieve relative compaction as high as 98
per cent and it is therefore recommended that the specified level of field
compaction should be 97 per cent of laboratory density.

Where traffic is channeled only limited compaction will take place on areas
outside the wheelpaths. This may result in the need for early maintenance if
damage resulting from top-down cracking is to be prevented. In any event
the surface should be sealed when cracking develops and well before cracks
penetrate to the full depth of the surfacing.

4.7 DESIGN PROCEDURE FOR SURFACE DRESSINGS

The use of double seal surface dressings as an alternative to asphaltic
concrete could result in substantial cost savings on roads with low levels of
traffic. Upgrading to paved standard could follow if justified by growth in
traffic. The cost, difficulty of repairing potholes and problems associated
with mix design and quality control of asphaltic concrete make surface
dressing an important alternative. In addition, improving access need not
required upgrading the full length of a road: localized improvements and
spot improvement techniques may be used for village access roads with
low traffic levels.

The design procedure for surface dressings involve the following steps
according to TRL Road Note 31:

4.7.1 Determine Type of Surface

A surface dressing should be well embedded in the surface of the layer to
which it is applied. Embedment of the chippings of the surface dressing
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depends upon the hardness of the layer to be sealed and the size of the
chipping.

Layer hardness may be assessed based on descriptive definitions shown in
Table 4.13.

Table 4.13 Categories of Road Surface Hardness
Surface Category Definition
Very Hard Surface such as concrete or chemically stabilized roadbases into
which negligible penetration of chippings will occur under
heavy traffic

Hard Granular roadbases into which chippings will penetrate only
slightly under heavy traffic

Normal Bituminous roadbases or basecourses into which chippings will
penetrate moderately under medium and heavy traffic

Soft Bitumen rich asphalts into which chippings will penetrate
considerably under medium and heavy traffic

4.7.2 Assess Traffic Category

Traffic categories are defined as follows:

Category
Approx. No. of vehicles per day with unladen
weight > 1.5 tons
1 > 2000
2 1000 2000
3 200 1000
4 20 200
5 < 20

4.7.3 Determine Maximum Chipping Size

The size of the chipping for the first layer of a double surface dressing is
determined based on the traffic category and the hardness of the surface as
shown in Table 4.14. The nominal size of chipping for the second layer
should be half that of the first layer.

Table 4.14 Recommended Maximum Chipping Size (mm)
Surface Category
Traffic Category
1 2 3 4 5
Very hard 10 10 6 6 6
Hard 14 14 10 6 6
Normal 20 14 14 10 6
Soft * 20 14 14 10
* Not suitable for surface dressing.
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4.7.4 Determine Chipping Application Rate

The rate at which chippings should be spread depends on their size, shape
and specific gravity.

First, the Average Least Dimension (ALD) of the chippings is determined
by measuring the least dimension of at least 200 chippings. The ALD is
used in Figure 4.5 together with line AB to obtain the approximate
chipping application rate in liter/m
2
. This rate is used as a guide for supply
purposes. The actual rate of spread should be adjusted on site as appropriate
when the spreading characteristic of the chippings have actually been
observed.

4.7.5 Determine the Rate of Application of Binder

For road temperatures ranging between 10
o
to 60
o
C, such as in Yemen, the
most appropriate binders are MC3000 or the penetration grades up to
80/100.

To determine the rate of application of the binder, the following steps are
used:

i. Determine the weighting factor as the sum of the individual
Condition Factors 1, 2, 3 and 4 in table 4.15.

ii. Enter the average least dimension of the chippings in Figure 4.1 and
move horizontally to meet the factor line corresponding to the
weighting factor obtained above. Move vertically to obtain the rate
of application of binder. Use the adjustment factors for road
gradient and traffic speed indicated in the figure.

iii. The rate of spread of the binder is modified to allow for different
proportions of residual bitumen in different binders:

- No adjustment for MC 3000.
- Reduce spray rate by 10% for 80/100 penetration grade and
5% for 300 penetration grade.
- For emulsions, increase rate by the factor (90/bitumen
content of the emulsion in %).

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Figure 4.5 - Surface dressing design chart

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Table 4.15 Condition Factors for Determining the Rate
of Application of Binder
Traffic Vehicles/day* Factor 1 Type of Chippings Factor 2
Very Light 0 50 +3 Round / dusty +2
Light 50 250 +1
Medium 250 500 0 Cubical 0
Medium Heavy 500 1500 -1
Heavy 1500 3000 -3 Flaky -2
Very Heavy 3000+ -5
Pre-coated -2
Existing Surface Factor 3 Climatic conditions Factor 4
Untreated/primed roadbase +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
* All vehicles in one direction.

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4.7.6 Design Example

Design Example for Surface Dressing

A surface dressing is to be applied to a 10 km road section consisting of a
granular roadbase in flat terrain. The road is currently used by 200 vehicles
per day with unladen weight > 1.5 tons, and this traffic and is expected to
double in 10 years. Determine the chipping application rate and the MC
3000 binder application rate for the surface dressing.

Solution:

1. Determine surface category from Table 4.13. For granular roadbases
the category is Hard.

2. The traffic category from section 4.7.2 is category 3.

3. From table 4.14 the recommended maximum chipping size is 10 mm.

4. Chipping application rate
The Average Least Dimension (ALD) of chippings was found to be
7mm. Using Figure 4.5, the approximate chipping application rate is
determined as 7 liters/m entering ALD = 7 and moving
horizontally to line AB.

5. Rate of application of binder
First determine the Weighting Factor as the sum of the individual
condition factors 1, 2, 3 and 4 from Table 4.15.

Factor 1 = 0 for medium traffic
Factor 2 = -2 for flaky chips
Factor 3 = +6 for untreated roadbase
Factor 4 = -1 for semi arid climate.

Thus the Weighting Factor = 0 2 + 6 1 = +3

Second, using Figure 4.5 enter ALD = 7mm and move horizontally to the
mid point of Factor Lines +2 and +4. The rate of spread of the binder is
read vertically at the bottom scale to be 0.98 Kg/m. The adjustment factor
for MC 3000 is zero.

SECTION 5

HYDROLOGY

Section
5
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SECTION 5
HYDROLOGY

TABLE OF CONTENTS

Page

5.1 Introduction 1

5.2 Design Life 2

5.3 Rainfall 2

5.4 Hydrologic Data Collection 4

5.5 Hydrologic Data Analysis 5

5.6 Calculation of the Time of Concentration 5

5.7 Estimation of Runoff 6
5.7.1 The Rational Method 6
5.7.2 The SCS Unit Hydrograph Method 11
5.7.3 Talbot Formula 12
5.7.4 Gumbel Distribution 15

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SECTION 5

HYDROLOGY

5.1 INTRODUCTION

A major factor in road design and maintenance is drainage. Roads with
poor drainage facilities generally experience excess moisture conditions
that could lead to weakening of the layer materials in the pavement,
pumping of fine particles from beneath the pavement, and asphalt stripping.
Poor drainage can also cause operational problems such as splash and spray
causing limited visibility, water films that could cause hydroplaning and
flooded areas that become impassable to vehicle traffic. Rural roads in
Yemen are subjected, in general, to light traffic. Most of the damage
observed is associated with climatic effects, particularly poor drainage. The
sources of moisture in this case are: 1) Water infiltration through the
surface of the pavement following a rain storm or surface runoff, and 2)
Ground water resulting from a rise in water table conditions or subsurface
flow. The direct effects of water infiltration through the surface of the
pavement become very apparent on pavement distress (potholes, surface
depression, and alligator cracking). The main effects of subsurface flow are
longitudinal cracks parallel to the edge of the pavement and surface
depression. Ground water flow could also induce slope stability problems
of fill section of the road. Slope stability problems are very common in
rural roads.

Hydrological analysis of rainfall and runoff data are required to establish
relationships to establish relationships between flood flow and flood
frequency for hydraulic design, and to:

- Identify the different road drainage structures (road side ditches,
culverts, bridges, etc.)
- Allocate a design life for each structure.
- Calculate discharge corresponding to this return period.

In most remote areas, the data needed to carry out these calculations are
often extremely limited in terms of geographical spread and length of
record. Rainfall and flood frequency analyses must be combined and
corroborated with field evidence, where possible, before the results can be
confidently used for hydraulic design.

The Purpose of this manual is to present the procedure, which allows the
Ministry of Public works and Urban Developments to design or check the
design of common cross drainage and protective structures along rural
roads in Yemen. The manual also briefly describes water harvesting
techniques some of which were implemented in the proposals used for the
Rural Road Standards Project. The material is divided into two main
sections:
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- Hydrology and discharge computation (this Section).
- Hydraulic design, covered in Section 6.

This Section covers the rainfall analysis, evaluation of basin characteristics
and computation of runoff. The hydraulics section use the runoff calculated
in the hydrology section to calculate the parameters/sizes of the drainage
structures. Examples for calculation of these parameters are included.

5.2 DESIGN LIFE

The design discharge of a drainage structure is usually estimated on a
preselected recurrence interval and the structure is designed to operate in a
manner that is in acceptable limits of risk at design flow rate. Investment in
construction design, maintenance and reconstruction is to be apportioned in
the most cost-effective manner. In the case of side drains, culverts and
short sections of road in wadi bed, this usually comprises the following:

- 1-10 year events are accommodated in design.
- 10-20 years events that are accommodated in design and
maintenance.
- 20-50 year events that are usually accommodated by reconstruction.
- 50-100 year events and greater are only accommodated in design by
major structures (bridges).

5.3 RAINFALL

a. Daily Rainfall

The distribution of rain gauging in mountain areas is often grossly
inadequate to record anything other than the regional pattern in rainfall
variation. Even so, a rain gauge spacing of as little as 1 Km 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.

In most of the remote mountain areas rain gauges are operated manually
with rainfall recorded daily or monthly. Daily or 24 hour rainfall depth may
indicate any of the following:

- Low intensity long duration.
- High intensity short duration.
- A portion of a total storm rainfall that was still in progress when the
rain gauge was read.

Thus, 24 hour data provide little indication of rainfall intensity or the
duration-frequency characteristics of intense rain that are most important
for hydraulic design. However, this problem can be partially overcome by
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using rainfall ratios or by comparing 24 hours rainfall data with the
intensity and duration relationships obtained from continuously recording
rain gauges nearby or in similar hydrological region.

In the absence of short record duration, the United States Weather Bureau
Studies revealed the following rainfall depth-duration rainfall which are
independent of the return period with average errors ranging between 5%
and 8%:

Duration 5-min

10-min

15-min

30-min

60-min

120-min

Ratio to one hour 0.29 0.45 0.57 0.79 1.0 1.25

Return Period (Years)

2

5

10

25

50

100

Ratio of 2 years, 1-hour rainfall 1.00 1.35. 1.60 1.87 2.10 2.32

This study also reveals that the ratio of 1-hour rainfall to the 24-hours
rainfall is between 0.35-0.45 with a recommended value of 0.43.

b. Annual Rainfall

Maximum annual rainfall zones are evidently controlled by orography,
which is particularly striking in the western part of the country. Moist air
masses coming from the Red Sea and the Gulf of Aden pass over the
coastal plains without producing much rain at low elevations. The steep
western and southern slopes force the air upwards, which results in cooling
and consequently in rainfall. On the western slopes the zone of maximum
rainfall is systematically shifted with respect to the zone of maximum
elevation; the air masses lose most of their moisture at the first major
mountain ridge they meet, and generally become much drier when they
move more eastward. Most of the project roads fall within this category of
description.

c. Seasonal Rainfall Patterns

Seasonal rainfall patterns differ form zone to zone and from year to year,
but a general characteristic can be given. Most zones in Yemen have a
well-defined seasonal rainfall regime, with a first rainy season in spring
(March-May) and a second one in late summer (July-September). Long
periods of dry weather with few or no clouds are common from October to
March, although occasional storms do occur, especially on the western and
southern slopes. Around the beginning of spring, however, the heated land
surface triggers inland winds, which during a few subsequent months leads
to occasional connective rainstorms, especially along the mountain slopes.
Rainfall decreases significantly in June, which marks a short dry period.
The second rainy season usually starts in July. Warm dry air from the north
converges with very moist air originating from the Indian Ocean region.
Rains become sporadic around the beginning of autumn; then a new
prolonged dry season starts. The general seasonal pattern can be most
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easily recognized in the zones of relatively high rainfall. Erratic rains may
occur during any month of the year. In low precipitation zones they may
obscure the seasonal pattern described.

d. Rainfall Amounts and Intensities

No studies have been encountered that have processed extensive historic
records for the analysis of rainfall in Yemen for periods of less than one
day. Therefore, rainfall intensities cannot be gauged. Given that most rain
storms are rather short and that two or more storms a day at a single
location are rare, it is likely that the distribution of rainfall for anytime-
interval less than 24 hours and greater than 4 hours are only slightly
different from those of daily rainfalls.

Based on the records of 10 stations varying from 6-15 years, the number of
rainy days is strongly correlated with the average annual rainfall suggesting
the following regression equation: (Technical Secretariat of the High Water
Council-1992c).

Expected number of rainy days/year = 0.0552 mean annual rainfall
(mm).

5.4 HYDROLOGIC DATA COLLECTION

Hydrologic data for the project area (major wadis and minor catchments)
should be collected and analyzed. In brief, this data should cover the
following:

a. Topographic maps
Alignment of proposed road should be superimposed on a
topographic map to show the crossings of the individual watersheds.
A typical map scale ranging from 1:25,000-50,000 for rural areas
and 1:2,000 for urban areas is sufficient to read soil classifications,
vegetation & drainage areas of the individual watersheds.

b. Photographs
Upstream and downstream photographs of the major crossings shall
be taken to assist the engineer in identifying the extent of vegetation
cover, roughness coefficient, landuse and other hydrologic features.

c. Landuse
Types of landuse, nature of vegetation, soil classifications, and
extent of anticipated changes within a catchment area are important
factors to be considered.

d. Wateruse
Existing reservoirs and their volumes, wadi diversions, anticipated
water use changes within a catchment are also important factors to
be considered.
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e. Rainfall Data
All available rainfall data within the study area should be collected
and analyzed. Length of record, accuracy, and source are the main
factors to decide the reliability of this data.

f. Gauging Station Data
Gauge stations data within the study area shall be gathered. Data
should include length of record, source, dates of occurrences and
accuracy. In case of data absence, gauging station data from
neighboring gauging stations should be collected.

g. Highwater Marks
Where Possible, data such as flood date of occurrences and
highwater marks elevations of wadi should be collected.

5.5 HYDROLOGIC DATA ANALYSIS

a. Drainage Area
Drainage areas are usually determined from topographic maps.
However, field inspection is much desirable to identify any natural
or manmade features intercepting runoff such as existing
culverts/bridges, dikes, agricultural terraces and detention
structures.

b. Watershed parameters
These shall be determined in field or from available maps. The list
of parameters below shall be incorporated in various hydrological
models directly or used in comparing watersheds for data transfer
purposes.

- Basin Length.
- Basin Slope.
- Percent Imperviousness.
- Infiltration.
- Detention-Depression Storage.
- Drainage Basin Roughness Coefficient.
- Channel or conduit Slope.
- Channel or conduit x-section.
- Channel or conduit roughness.

5.6 CALCULATION OF THE TIME OF CONCENTRATION

The Time of Concentration is used for the design storm duration and it
affects the shape of the flood hydrograph. It is also directly used in some
runoff estimation methods such as the rational method and the SCS
method. Other methods do not require the calculation of the time of
concentration.

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The Time of Concentration (Tc) of the watershed is defined as the time
needed for a drop of water to travel from the hydraulically most distant
point of the watershed to the design point downstream. It can be estimated
using the Kirpich formula stated as:

Tc =
52
1

385 . 0
155 . 1
H
L

Where,

Tc = Time of concentration, min.
L = Horizontally projected length of drainage basin along the main
water course, m.
H = Difference in elevation between the farthest point on the
drainage area and the point of collection, m.

5.7 ESTIMATION OF RUNOFF

Several methods, each with its own assumptions and constraints, are
available to estimate watershed runoff. Four methods will be adopted for
estimating runoff from the drainage areas crossed by the project. The
application of each method depends on the availability and type of rainfall
data, flow records, and the catchment size. Methods considered in this
analysis are:

- The Rational Method
- The SCS Unity Hydrograph Method
- Talbot
- Gumbel distribution

Table 5.1 below describes the application for the different procedures

Table 5.1 - Application of Estimation of Runoff Procedures
Method Basin Description
Rational Equation Areas < 500 ha
Gumbel Distribution Areas > 500 ha with gauging station data available
SCS Unit Hydrograph Method Areas > 500 ha with rainfall data available
Talbot Areas > 500 ha
Note: Where Possible both SCS and Talbot should be calculated and the average
peak discharge should be adopted

5.7.1 The Rational Method

This method is based on the assumption that a steady uniform rainfall rate
in time and space will produce maximum runoff when all parts of the
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watershed are contributing to outflow. This condition is met when the
storm duration is equal to, or exceeds the time of concentration. It is used
to calculate surface runoff discharges generated from a design storm with a
specific return period and a duration time equal to the time of concentration
of the catchment areas. The method relates rainfall to runoff using the
following formula:
Q =
360
CIA

Where,

Q = Maximum rate of runoff, m
3
/s; corresponding to the peak discharge
of water that will accumulate at a particular location for a given
storm. This water runs over the surface and is not absorbed by soil
or vegetation. This water needs to be drained through a culvert or a
drainage ditch.
A = Catchment area, hectare; corresponding to the total area from
which runoff is expected.
I = Rainfall intensity, millimeters per hour.
C = Runoff coefficient.

Generally, the Rational Formula is applicable for watersheds smaller than
500 hectares. Nevertheless, it can be applied to catchments with an area up
to 1000 hectares for comparison purposes with other methods.

5.7.1.1 Runoff Coefficient

The runoff coefficient should be determined taking into consideration the
following factors:

- Catchment slope.

- 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.

Table 5.2 gives the typical runoff coefficients for rural areas.

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Table 5.2 Typical Runoff Coefficients Values ( C ) For Rural Areas
A
Relief
B
Soil Infiltration
C
Vegetal Cover
D
Surface Storage
0.40
Steep rugged terrain:
Average Slopes greater
than 30%
0.20
No effective soil
cover; either rock or
thin mantle negligible
infiltration capacity
0.20
No effective Plant
cover; bare or very
sparse soil cover
0.20
Negligible: Surface
depression few shallow;
drainage ways steep and
small, no ponds or
marshes 30%
0.30
Hilly with average
slopes of 5 to 30%
0.15
Slow to take up water;
clay; or other soil of
low infiltration
capacity such as
heavy gumbo
0.15
Poor to fair; clean
cultivated crops or poor
natural cover; less than
10% of area under good
cover.
0.15
Low; well defined
system of small
drainage ways, no ponds
of marshes.
0.20
Rolling with average
slopes of 5 to 10%
0.10
Normal, deep loam
0.10
Fair to good, about 50%
of area in good grass
land woodland or
equivalent cover
0.10
Normal; considerable
surface depression
storage; typical of
prairie lands, lakes
ponds, and marshes less
than 20% of area
0.10
Relatively flat land
average slopes 0 to 5%
0.05
High, deep sand or
other soil that takes
up water readily and
rapidly
0.05
Good to excellent;
about 50% of area in
good grass land;
woodland or equivalent
0.05
High, surface depression
storage high; drainage
system not sharply
defined, large flood
plain storage; large
number of ponds and
marshes
Note: Runoff Coefficient is equal to the sum of coefficients form the appropriate block in rows
A,B,C, and D. These runoff coefficients shall be proportioned to the percentage of area
covered.

The following ranges for the composite Runoff Coefficient are used for
various types of surfaces and areas:

Table 5.3 Ranges of Runoff Coefficients for the Rational Formula
Type of Drainage Surface Coefficient of Runoff, C
Pavement, Portland cement or asphalt cement 0.75-0.95
Pavement, surface treatment 0.65-0.80
Pavement, gravel surface 0.25-0.60
Sandy soil, cultivated, brush or woods 0.15-0.30
Clay soil, cultivated, brush or woods 0.30-0.75
Urban business area 0.60-0.80
Urban residential area 0.50-0.70
Rural residential area 0.35-0.60
Parks and grassy meadow 0.15-0.30

5.7.1.2 Rainfall I ntensity

In order to determine the peak discharge of water, information about the
rainfall intensity is needed. Some storms provide light rainfall for only a
few minutes whereas others provide heavy rain for extended periods of
time. In drainage design, the quantity of water depends on the intensity of
the rainfall and the probability of storm occurrence. In this case, the return
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period for a given storm (i.e. storm frequency) accounts for the probability
of storm occurrence. The return period and storm probability are
reciprocals. For example, a 50 year return period has a probability of storm
occurrence equal to 0.02 or 2%. This means that this storm has a 2%
chance of being equaled or exceeded in any given year. A return period of
10 years is used for culvert design for rural and village access roads.

The rainfall intensity value used in the rational equation is based on
essentially three items:

- The amount of rainfall that occurs.
- The time it takes for this amount of rainfall to occur.
- The recurrence interval.

These three factors are brought together in an intensity-duration-frequency
curve IDF. At least 10 years of rainfall record is generally required for
annual series analysis. The highest 24-hour rainfall, or portions these of
recorded in every 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= I-q
N

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 24-hour rainfalls calculated for each rain gauge with
2 year, 2.33 year (approximate average annual rainfall), 5 year, 10 yeas, 20
year, 50 year, 100 year recurrence intervals. The mean and standard
deviation between rain gauges will assist in defining hydrological regions
within the study area.

Once the 24 hours value is obtained, short duration values for different
return periods are calculated using the conversion ratios discussed earlier.
The storm frequency is selected for the type of highway facility in
conjunction with the duration of the storm, which is selected to provide
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maximum surface runoff. The storm or rainfall duration used is equal to
time of concentration. The time of concentration used with the rational
formula is defined as the time it takes for water to flow from the most
remote location in the drainage areas to a specified location. The time of
concentration is a function of terrain type and the slope of the drainage
area. If there are different surface types, then the time of flow can be added
for each surface. This will require knowledge of the speed of water and
distance of flow. Average water speeds over different surfaces are
summarized in Table 5.4.

Table 5.4 Average Runoff Water Speed (in meters per second) over Surface
Conditions for Time of Concentration Computation
Surface
Type
Slope %
0-3 4-7 8-10 11-15 16-20 21-25 26-30
Wooded 0.15 0.30 0.45 0.50 0.60 0.80 1.10
Pastures 0.25 0.45 0.65 0.80 0.90 1.25 1.35
Cultivated 0.30 0.30 0.60 0.90 1.20 1.35 1.50
Pavement 1.50 3.65 4.70 5.50 - - -

Accurate estimates of the duration, frequency, and intensity of storms are
needed for analysis of the peak flow discharge. Standard design curves
need to be obtained for different locations. At typical design curve is
illustrated in Figure 5.1. Similar curves should be developed for various
locations in Yemen for appropriate design of highway drainage facilities in
rural Yemen.

Figure 5.1 Rainfall Duration Typical Curves (Mannering and Kilareski)
*

(*)
Mannering and Kilareski, F.L., and Kilareski, W.P Principle of Highway Engineering and Traffic
Analysis, John Wiley and Sons, Inc., Second Edition, 1998.
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5.7.2 The SCS Unit Hydrograph Method

The United States Soil Conservation Service (SCS now the Natural
Resource Conservation Service) method estimates runoff using in addition
to rainfall, catchment characteristics such as antecedent soil moisture
conditions, types of soil, initial abstraction of rainfall, slope, length of the
longest channel, surface treatment and land cover. These characteristics are
reflected by a Curve Number (CN) value. In the SCS CN method of
runoff prediction, a curve number is chosen to represent the land use, land
cover, and soil type complexes. This number typically ranges from 25 (for
low runoff depressions) to 98 (for paved impervious areas). An initial
abstraction factor (Ia) can be specified. The SCS CN method typically
uses an initial abstraction of 0.25, however the user may specify other
values. The value of S is a maximum soil storage depth (in inches) and is
calculated form the equation:

S = 10
1000
CN

Where,
CN = Curve Number
S = Maximum storage depth, inches

Soils are classified, into four hydrologic groups: A, B, C, and D based on
their runoff potential. Soil A has a low runoff potential, it has a high
infiltration rate and high rate of water transmission. This group covers soils
such as deep sand, deep loess, and aggregated silt. Soil B has moderate
infiltration and water transmission rates. This group includes shallow loess
and sandy loam. Soil C has slow infiltration and water transmission rates
even if thoroughly wetted. This group includes layered soils with high fine
textures such as clay loam, shallow sandy loam, soils low in organic
contents, and soils of high clay contents. Finally, soil D has a very high
runoff potential due to low infiltration and water transmission rates. This
group includes most of clay soils and soils of high swelling potentials.
Table 5.3 below gives typical CN values for different land use/cover/soil
complexes.

Table 5.5 - Runoff Curve Numbers for Previous Areas (CN)*
Hydrologic Soil Class
Land Use/Cover A B C D
Bare Ground 77 86 91 94
Natural Desert Landscape 63 77 85 88
Range land-poor Grass Cover (50-75%) 68 79 86 89
Residential Areas (about 500 m
2
lots) 77 85 90 92
Streets, Parking Lots and Roads (Paved) 98 98 98 98
* Adopted from USDA-SCS, 1986 and 1975.

Judgment on the type of land use has to be made and a conservative
estimate (higher CN values) is prudent when doubt exists. It shall be noted
that all units of runoff analysis in the SCS method are in inches (unless
otherwise stated), conversion to metric units is possible at the end of
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analysis. The SCS-CN method calculates the volume of runoff given the
input rainfall depth and the CN value. The relation is given by
Q =
S P
S P
8 . 0
) 5 . 0 (
2
+

Where,
Q = the accumulated depth of runoff (inches);
P = the accumulated depth of storm rainfall (inches); and
S = Maximum storage depth (inches), a function of the CN value as
given earlier.

Hydrologic soil groups C and D may be chosen to represent the
hydrological condition of the soil in general. The Curve Number (CN)
associated with normal (average) Antecedent Moisture Conditions (AMC
II) for desert soils with poor vegetation cover ranges form 80 to 85. This
value is a very conservative estimate of the curve number and yields a
larger value of peak flow. CN for residential areas may be taken as 91, for
mountainous areas 85, for semi mountainous areas 80, and for low lands
77.

The shape of the SCS flood hydrograph is standard and depends on the
watershed area and the lag time of the basin. The lag time is about 0.6 time
of concentration. The peak flow for one unit of rainfall excess is given by:

Q
peak
=
R
T
A 08 . 2

Where,
Q
peak
= the peak discharge in (m
3
/s);
A = the drainage area in (km
2
); and
T
R
= the time of rise of the flood hydrograph which equals the lag
time plus one-half of the storm duration in (hours).

5.7.3 Talbot Formula

The Talbot formula:
Q
25
= C. A
n

Where,

Q
25
= the 25-year return period flood flow.
A = drainage area in hectares
n = an exponent (see Table 5.6 below).
C = composite coefficient of run-off = C
1
+ C
2
+ C
3

Values of C
1
, C
2
and C
3
are derived from the following guidelines based on
the watershed characteristics.

C
1
: Terrain conditions

Mountains = 0.30
Semi = 0.20
Low lands = 0.10
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C
2
: Slope of drainage area

Slope above 15% = 0.50
Slope 10% - 15% = 0.40
Slope 5% - 10% = 0.30
Slope 2% - 5% = 0.25
Slope 1% - 2% = 0.20
Slope 0.5% - 1% = 0.15
Slope below 0.5% = 0.10

C
3
: Shape of drainage area

When width equals length = 0.30
When width equals 0.4 of length = 0.20
When width equals 0.2 of length = 0.10

- C = C1+C2+C3
- Values of C above fall between 1.0 (as maximum) and 0.30 (as
minimum).

Table 5.6 - Talbot Equations Parameters
Drainage Area (Hectares) 25-Year Frequency Flood Flow
0 to 400 (small catchment area) Q
basic
S. F.
400 to 1258 0.837 C A
3/4

1258 to 35944 4.985 C A
1/2

Over 35944 14.232 C A
2/5

Also, this formula estimates the 50-year and 100-year events, as

Q
50
= 1.2 Q
25

Q
100
= 1.4 Q
25

If the catchment area is less than 400 hectares, the 25 year discharge is given by Q
basic

S.F, where,
Q
basic
= Basic peak flow derived from Figure 5.1
A = Drainage area in hectares;
S.F. = Slope Factor for drainage area shown in Table 5.7; and
C = Coefficient of run-off the sum of C
1
+ C
2
+ C
3
.

The general Form of Talbot Formula is as follows:

Q
T
= K. C. A
n

Where,
T = Return Period
K = Frequency Coefficient of the desired return period as shown in table below

Return Period (years) T 2 5 10 25 50 100
Frequency Coefficient (K) 0.4 0.6 0.8 1.0 1.2 1.4

The Talbot formula has the advantage of determining the value of C for different
drainage basins with great ease and is fairly reliable for areas where rainfall intensity
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varies from 20 mm/hour to 70 mm/hour. However, it should be noted that this formula
is not truly representative of basins/regions with relatively high or low rainfall.

Table 5.7 - Slope Factor for Drainage Area Less than 405 Hectares

Open Area
(Average Slope
Percent)
Areas Containing Mountains
0-0.20 0.2-2 >2 <5 6-15 16-25 26-35 36-45 46-55 56-65 66-75 76-85 86-95 96-100
Slope
Factor
0.6 1.2 1.8 1.8 1.92 2.04 2.16 2.28 2.40 2.52 2.64 2.76 2.88 3.00

Figure 5.1 Peak Rate of Runoff Drainage Areas Up to 400 Hectares (Talbot Method).
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5.7.4 Gumbel Distribution

Flood events are successions of natural events that as far as can be
determined do not fit any one specific statistical distribution. However,
studies have shown that the Gumbel Distribution closely approximates a
natural series of flood events.

The recommended method for fitting the Gumbel Distribution to observed
peaks is to compute the mean and standard deviation of the data and
substitute into the following equation:
_
Q = X K
T,N
S

The mean and standard deviation of the data may be computed by using the
following equations:

=
N
X
X
i

S =
1
) (
2
N
X Xi

K
T,N
=
t
6
(
|
|
.
|
\
|
)
`
+
1
5772 . 0
T
T
n n

Where,

Xi = Annual peak flows
N = Number of items in data set
X = Mean
S = Standard deviation
K
T,N
= Coefficient dependent on T and N
T = Recurrence interval

SECTION 6

HYDRAULIC DESIGN

Section
6
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SECTION 6
HYDRAULIC DESIGN

TABLE OF CONTENTS
Page

6.1 Introduction 1

6.2 Summary of Design Criteria 2
6.2.1 Bridges 2
6.2.2 Culverts 2
6.2.3 Roadway Drainage 2
6.2.4 Irish crossings 3

6.3 Design of Bridges 3
6.3.1 Frequency 3
6.3.2 Estimation of Linear Waterway 3
6.3.3 Hydraulic Characteristics of Flow 3
6.3.4 Backwater Calculations (afflux) 4
6.3.5 Clearance 5
6.3.6 Scour Calculations 5

6.4 Design of Culverts 11
6.4.1 Frequency 12
6.4.2 Headwater 12
6.4.3 Tailwater 12
6.4.4 Velocity Limitation 12
6.4.5 Culvert Hydraulics 13
6.4.6 Construction Materials 15
6.5 Roadway Drainage 21
6.5.1 General 21
6.5.2 Frequency 22
6.5.3 Hydraulic Design Roadside ditches 22
6.5.4 Design Examples 26
6.5.5 General Comments and Recommendations 28

6.6 Water Harvesting Techniques, Groundwater Recharging 29
6.6.1 Water Harvesting 29
6.6.2 Groundwater Recharge 30

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SECTION 6
HYDRAULIC DESIGN

6.1 INTRODUCTION

The hydraulic design aims to provide a drainage structure of adequate
capacity that can safely convey the design flow without significant
damages or inconveniences. The hydraulic design process consists of
establishing design criteria, developing alternatives, and selecting the
alternative that best satisfies the design criteria.

During the planning and design phase of the project, floodwater drainage
problems should be carefully considered. Every possible effort should be
made to define the natural watercourses, to preserve their integrity, and to
maintain the natural drainage paths. Therefore, crossing structures such as
Irish crossings, culverts or bridges must be placed at locations where
watercourses intersect the expressway. At deep excavation and cut sections,
it is necessary to provide drainage side ditches or barriers in order to
intercept hillside runoff.

In cases where wadis are wide and it is not economical to bridge the entire
waterway. The road profile is designed to allow for Irish crossings drainage
structures or to give adequate freeboard above the high water level in case
of bridges / culverts. The embankment is protected by grouted stone riprap
or concrete lining on both sides of the drainage structure.

Flood protection works are provided to prevent scour of the road
embankment at crossing structures and side ditches according to the
velocity of flows.

Drainage structures include the following:

- Bridges
- Culverts
- Irish crossings
- Roadway drainage
- Chutes, spillways & stilling basins
-

In the following section, a summary of the criteria for hydraulic design of
these structures is presented.

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6.2 SUMMARY OF DESIGN CRITERIA

6.2.1 Bridges
ITEM CRITERIA
Design frequency 50 100 year flood
Backwater (afflux) Generally recommended not to exceed 0.5m
Freeboard 1.0-2.0 m is applied for all flows
Length of bridge waterway Hydraulic modeling for different lengths constraint to keep afflux
below 0.5 meters (Length / Head Curve is prepared for every bridge)
Scour depth Will be estimated based on several methods are specified later.

6.2.2 Culverts
ITEM CRITERIA
Design frequency 10-year flood
Percent Flowing Full (barrel) 50-75%
Allowable velocity Max. 4.5 m/s for the 25-year return period flow.
Protection Embankment (approach velocity)
-1.08 m/s < V < 4.5 m/s Loose/Grouted
Riprap protection
-V > 4.5m/s concrete slope protection
Excavation at culvert inlets Max. 0.25 meters in flat areas.
Culverts in drop inlets Drop inlets at culverts may be used in case of small flows (up to 3m
3
/s)
provided that the outlet conditions allow excavation at the inlet.
Skewness Preferable 45
o
, 60
o
, 90
o

Sizes Multiple cells of standard size 1.0 x 1.0m is recommended. In case of
large flows larger sizes can be used.

6.2.3 Roadway Drainage
ITEM CRITERIA
Side Ditches
- Design frequency
- Free board
- Design frequency for protection
works
- Absolute min. slope
- Max. permissible velocities
Earth (unlined channels)
Grouted riprap
Concrete
- Manning roughness coefficient (n)
Earth (unlined channels)
Grouted riprap
Concrete/smooth Asphalt
- Runoff coefficient
Asphalt
Earth

2 years
0.10m
2 years
0.10%
Provide velocity > 0.6 m/s

< 1.0 m/s
1.0 5.0 m/s
5.0 7.0 m/s

0.025
0.022
0.015

0.90
See Table 5.2
Diversion channels
- Design frequency
- Free board
- Design frequency of protection works

10 years
0.10m
10 years
Protection of embankment At steep longitudinal or cross slopes in fill sections
adjacent to the toe of embankment, the velocity and depth
of flow should be estimated taking different cross
sections for the flow channel at the toe of embankment.
The need for protection is decided accordingly.

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6.2.4 Irish crossings
ITEM CRITERIA
Design frequency
- Irish crossings
- Irish crossing structures

2 years
25 years

6.3 DESIGN OF BRIDGES

6.3.1 Frequency

The design of bridges is based on the following storm frequencies:
- Expressways 100-year
- Link Roads 50-year

6.3.2 Estimation of Linear Waterway

For wide wadis in alluvial plains with undefined banks, the initial length of
bridges is determined by Lacys Equation:

W = 4.84 Q

where,

W = Linear waterway of bridges, m
Q = Design discharge, m
3
/s

The length obtained from this formula is then multiplied by a factor (f)
depending on the discharge value according to the following guidelines:

For Q up to 100m
3
/s f = 0.80
For Q up to 300m
3
/s f = 0.90
For Q up to 1200m
3
/s f = 1.00
For Q up to 1600m
3
/s f = 1.10
For Q up to 3000m
3
/s f = 1.20
For Q up to 5000m
3
/s f = 1.30

6.3.3 Hydraulic Characteristics of Flow

A preliminary estimate of the depth of flow is computed applying the
Manning Formula:

V =
3
2 1
R
n

2
1
S
And Q = A.V

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where,

A = Area of wetted cross section under the bridge, m
2

R = Hydraulic radius (A/P), m
P = Wetted perimeter, m
S = Longitudinal slope of the wadi bed, m/m
n = Manning roughness coefficient.

The values of Manning roughness coefficient are estimated from table in
section 6.2.3. and Table 6.7.

Flood channels on alluvial fans can be characterized by three different
zones: a channelized zone, a braided zone, and a sheet-flow zone. Sheet
flow occurs when the proposed alignment lies within an alluvial plain
formed by the deposition of water-transported sediments, and with no well
defined wadis.

Another method based on alluvial fan theory is adopted in the estimation of
the flow characteristics. The method assumes that the alluvial fan stabilizes
at a point where the decrease in depth would result in a two hundred fold
increase in width. Applying this observation in conjunction with the
Manning Equation for wide rectangular channels. The following two
equations were developed:

y =
8
3
120
(
S
nQ

and

4
3
4
1
8
3
n
Q S 0.30
= V

where,

y = Depth of flow, m
n = Manning roughness coefficient.

However, for the final design stage, a simulation of the flow is performed at
each wadi bridge. A water surface profile is modeled, the afflux due to the
bridge construction not raise the water level more than 0.5m above the pre-
bridge conditions, and the lower chord level of the bridge is determined by
taking the high water level plus adequate free board of 1.0m as minimum.

6.3.4 Backwater Calculations (afflux)

Afflux is the rise of water over the flood level on the upstream side of a
bridge. This results mainly from the constriction of the waterway under the
bridge. Bridge piers also contribute to this afflux. The length of the
waterway and the length of the bridge itself affect the afflux.

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6.3.5 Clearance

Clearance is the vertical distance between the designed high flood level
(H.F.L) and the lowest part of the bridge superstructure. The minimum
clearance under the bridge including the afflux should not be less than the
values shown in Table 6.1. However, for flat areas, a free board of 1.0 m
can sometimes be accepted to minimize the fill encountered in long
reaches.

Table 6.1: Vertical Clearance for Bridges
Discharge (m
3
/S) Vertical Clearance (m)
Up to 400 1.0
400 2000 1.2
2000 4000 1.4
Over 4000 1.5

6.3.6 Scour Calculations

Bridges are designed to withstand the effects of scour from extreme flood
events. Total scour depth in considered in the final design of the bridge
footings and foundations. At the detailed design stage and after obtaining
the geotechnical investigation results, scour is estimated as described
hereafter.

The maximum depth of scour during the flood is a function of the channel
geometry, obstruction of the flow created by the structure, the flow
velocity, and the size of bed material depth. Depending on flow conditions,
the depth of scour is calculated using one or more of the formulae described
in the following sections. The results are compared and a safe estimate is
considered in the bridge design.

Different formulae are used to estimate the expected scour corresponding to
a 50-100 year return period flood. Two types of scour are calculated,
general scour and local scour around piers. Scour calculation methods are
presented for uncontrolled and controlled waterway openings.

The total scour is calculated from the water surface level such that total
scour is equal to the sum of the general scour, the local scour, and the water
depth above the bed level. Therefore, the depth to foundation from bed
level is estimated as the sum of the general scour plus a safety factor.

When rock is encountered then the foundations of piers are to be embedded
into rock by one meter. When rock or non-erodible material is found at an
elevation which is only a little below the safe foundation depth, then the
foundations should be lowered so as to be embedded into the rock or the
hard strata.

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6.3.6.1 General Scour Calculations

Methods of general scour calculations consider whether the waterway is
uncontrolled or controlled as described below.

6.3.6.1.1 Uncontrolled (Unrestricted) Waterways

Laceys Equation
Sources: Computing Degradation and Local Scour (U.S. Department of the
Interior Bureau of Reclamation)

3
1
2
473 . 0
|
|
.
|
\
|
=
F
Q
d
m

where,

d
m
= Scour depth, m
Q = Design discharge, m
3
/s
F= Silt Factor estimated from Table 6.2:

Table 6.2: Laceys Silt Factor F
Material Size of grain (mm) F (Silt Factor)
Silt
Fine 0.12 0.60
Medium 0.233 0.85
Standard 0.323 0.100
Sand
Medium 0.505 1.25
Standard 0.725 1.50
Bajri
Fine 0.988 1.75
Medium 1.29 2.00
Heavy 2.422 2.75
Gravel
Medium 7.28 4.75
Heavy 26.1 9.00
Boulders
Small 50.10 12.00
Medium 72.50 15.00
Large 188.80 24.00

6.3.6.1.2 Controlled (Restricted) Waterways

a. Blench Equation

Source: Computing Degradation and Local Scour (U.S. Department of the
Interior Bureau of Reclamation)

3
1
0
3
2
0
b
f
f
F
q
d =
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where,

=
0
f
d Scour depth below design floodwater level, m
q
f
= Design flood discharge per unit width, m
3
/s per m
0
b
F = Blenchs zero bed factor in m/s
2
which is a function of bed material
size.

The maximum scour depth can be estimated by the following multiplying
factors

Lacey Equation: d
s
= Z d
m

Blench Equation: d
s
= Z
0
f
d

where,

d
s
= the depth of scour below stream bed.
Z = maximum scour depth adjustment factor given in Table 6.3.

Table 6.3: Scour Adjustment Factor
Nature of Location
Value of Z
Lacey
d
s
=Zd
m

Blench
d
s
=Z
0
f
d
Straight Reach
Moderate Bend
Severe Bend
Right Angle Bends
Vertical rock bank or wall
0.25
0.50
0.75
1.0
1.25
0.6
0.6
0.6
1.25

b. Laursens Live-bed Contraction Scour

Source: US Department of transportation, Federal Highway
Administration Hydraulic Engineering Circular No. 18 (HEC 18)

1
7
6
2
1
1
2
1
2
k
W
W
Q
Q
y
y
|
|
.
|
\
|
|
|
.
|
\
|
=

where,

y
1
= Average depth in the upstream main channel, ft
y
2
= Average depth in the contracted section, ft
W
1
= Bottom width of the upstream main channel, ft
W
2
= Bottom width of the main channel in the contracted section, ft
Q
1
= Flow in the upstream channel transporting sediment, cfs
Q
2
= Flow in the contracted channel, cfs
K
1
= Laursens exponent given in Table 6.4 which is a function of the
shear velocity V
*
to the fall velocity w ratio.
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Table 6.4: Values of Laursens Exponent (k
1
)
V
*
/w Laursens k
1

Mode of Bed Material
Transport
< 0.50 0.59 Mostly contact bed
material discharge
0.50 to 2.0 0.64 Some suspended bed
material discharge
> 2.0 0.69 Mostly suspended bed
material discharge

The fall velocity (w) of bed material is based on the D
50
as shown in Figure
6.1. The shear velocity (V
*
) in the upstream section of depth (y
1
) is given
by

V
*
= (/t)
1/2
= (gy
1
S
1
)
1/2

where,

g = acceleration of gravity (32.2 ft/s
2
);
S
1
= slope of energy grade line of main channel, ft/ft;
t = shear stress on the bed, lb/ft
2
; and
= density of water (1.94 slugs/ft
3
).

c. Laursens Clear-Water Contraction Scour

Source: US Department of transportation, federal (Highway
Administration Hydraulic Engineering Circular No. 18 (HFC 18).
1
W y D
Q
13 . 0
7
6
7/6
1
1/3
m
1

(
(
=
y
y
S

where,

y
1
= Depth of flow in the channel or on the flood plain prior to scour, ft
y
2
= Depth of flow in the bridge opening or on the overbank at the
bridge, ft
y
S
= Depth of scour, ft
Q = Discharge through the bridge or-on the overbank at the bridge, cfs
D
m
= Effective mean diameter (feet) of the bed material (1.25 D
50
) in the
bridge opening or on the flood plain, ft
D
50
= Median diameter (feet) of the bed material (1.25 D
50
) in the bridge
opening, or on the flood pain, ft
W = Bottom width of the bridge less pier width, or overbank width (set
back distance), ft

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Figure 6.1 - Chart of Estimating F (After Blench, 1969)

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6.3.6.2 Local Scour Around Bridge Piers

Colorado State University (CSU) Equation

Source: MOC Highway Design Manual / US Department of transportation
Federal Highway Administration Hydraulic Engineering Circular No. 18
(HEC 18)

The CSU equation is given by

3 2 1
1
s
k k 2k
Y
Y
=
0.43
1
0.65
1
Fr
Y
a
|
|
.
|
\
|

where,

k
1
= Correction factor for the pier nose shape given in Table 6.5;
k
2
= Correction factor for the skewness given in Table 6.6;
k
3
= Correction factor for bed conditions taken as 1.1 for this project;
Y
s
= The estimated scour depth, m
Y
1
= The flow depth on the upstream side of the pier directly, m
Fr
1
= The upstream Froude number
a = Width of pier, m

Table 6.5: Scour Correction Factor (k
1
) for Different Pier Shapes.
Type of Pier Reduction Factor
Square Nose 1.1
Cylinder 1.0
Round Nose 1.0
Sharpe Nose 0.9
Group of Cylinders 1.0

Table 6.6: Scour Adjustment Factor for Skewness
Angle of Skewness (Grads) /a = 4 /a = 8 /a = 12
0 1.0 1.0 1.0
16 1.5 2.0 2.5
33 2.0 2.5 3.5
50 2.3 3.3 4.3
100 2.5 3.9 5.0

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6.4 DESIGN OF CULVERTS

The hydraulic function of a culvert is to convey surface water across or
away from the road embankment. Culverts may be either pipe or box
culverts. They may consist of a single or multiple barrels.

The water flow in the culvert is a function of the energy between the inlet
and the outlet of the culvert. The capacity of the culvert is controlled by the
water at the inlet or outlet with respect to whether the culvert is flowing full
or only partially full of water. An inlet controlled culvert has water ponded
before it enters the culvert. An outlet controlled culvert has water ponded at
the end of the culvert.

The hydraulic design consists of an analysis of the performance of the
culvert in conveying flow from one side of the roadway to the other. The
design frequency is first selected and design discharge for that frequency is
estimated. Culvert design process includes determination of the following:

- Upstream and downstream ground levels.
- Length and slope of culvert barrel.
- Headwater elevation.
- Tailwater elevation.
- Exit velocity.

Although the analysis of water flow in culverts is relatively complex, few
basic principles need to be emphasized:

- The slope of the culvert is significant in determining whether the
culvert is inlet or outlet controlled.
- A culvert on steep slope is usually inlet controlled.
- A culvert on flat slope is outlet controlled.
- Regardless of the control characteristics, the culvert should be steep
enough to provide scour velocity and ensure that sedimentation
does not occur in the culvert and block water flow. On the other
hand, if the water flows too fast, it can cause damage to the walls of
the culvert.
- A 2% slope is usually sufficient to provide enough velocity to keep
the culvert clean without damage to the culvert walls.
- The recommended water speed should be in the range of 1.5m/sec
to 3.0 m/sec.

For these ranges of velocities, the following equation could be used to
estimate the size of the culvert needed for peak discharge:

Q = V x A

where Q is the discharge in cubic meters per sec, V is the velocity in meters
per second, and A is the cross sectional area in square meters.

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A trial cross section and type is assumed for the culvert and a check is
made to determine if the headwater and the outlet velocity are within the
allowable limits. Modifications of the trial section may be needed to meet
the design criteria. These modifications may address the type or dimensions
of culverts.

6.4.1 Frequency

Design discharge used in the culvert design is estimated on the basis of a
pre-selected recurrence interval. The choice of the recurrence interval is
dependent on the class of road and the acceptable limits of risk. When
dealing with low cost roads the design frequency is usually from 5 to 10
years. For the rural access project roads a recurrence period of 10 years is
used.

6.4.2 Headwater

Culverts generally constrict the natural stream flow which results in a rise
of the water surface in the upstream side. The headwater elevation of the
design discharge should be at least 0.50m below the edge of the road
shoulder elevation. However, for low cost roads in mountainous areas
culverts are typically to run 75-90% full under inlet control to cater for
storms of between 5-10 years recurrence interval in order to avoid road
overtopping or debris blockage.

6.4.3 Tailwater

Tailwater depth is the flow depth at the downstream channel measured
from the invert level at the culvert outlet. It can be determined from the
flow conditions in the downstream channel or wadi. If the culvert outlet is
operating in free fall conditions, the critical depth of the flow is considered
as the tailwater depth. Similarly, for culverts discharging to open channels,
the normal depth of the flow in the channel is assumed to be the tailwater
depth. In some cases where outlet operating conditions are not well defined,
the tailwater depth is taken between the critical and normal depth of the
flow.

6.4.4 Velocity Limitation

The outlet velocity may cause stream bed scour and bank erosion for a
limited distance in the downstream side of the culvert. As outlet velocities
increase, the need for channel stabilization increases. Therefore, the
maximum allowable velocity should be consistent with the stream stability
requirements at the culvert outlet. Concrete lining, grouted/loose riprap or
chutes are used for the protection of wadi beds and embankments at culvert
outlets.

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6.4.5 Culvert Hydraulics

There are two major types of culvert flow: (i) flow with inlet control and
(ii) flow with outlet control. The culvert is designed for the control
condition which gives the higher headwater.

(i) I nlet Control

A culvert operates with inlet control when the capacity is controlled by the
entrance conditions. The roughness and length of culvert barrel and outlet
condition do not affect the culvert hydraulic performance. Headwater depth
and the inlet edge configuration determine the culvert capacity. The culvert
barrel usually flows partially full.

(ii) Outlet Control

In outlet control, the culvert barrel flows full and its hydraulic performance
is determined by the following factors:

- Depth of headwater
- Culvert cross sectional area
- Barrel shape
- Barrel length
- Barrel roughness
- Tailwater depth

Figures 6.2 to 6.4 present the design monographs of pipe and box culverts
with inlet and outlet control.

(iii) Design Procedure

Culverts are generally designed using inlet control procedures which
allows reducing the size of barrel.
In this procedure the designer will select the size of culvert based on
allowing water to pond at the inlet and thus produce an orifice
configuration at inlet. This generally allows reducing the size of barrel and
hence the culvert cost.

A. Inlet Control:

The inlet control calculations determine the headwater elevation required to
convey the design flow through the selected culvert inlet and barrel.
Figures 6.2 and 6.3 are used in the design process:

a- As a start select culvert area based on velocity of 1.5m/s.
b- Select culvert size from the following:

Pipes: 900mm dia, 1000mm dia, 1200mm dia, 1500 mm dia.

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Boxes : 1x1, 1.5x1, 2x1, 2x1.5, 1.5x1.5, 2x2 or multiples thereof.
Intermediate sizes may also be used.

c- From b above select height of box or pipe diameter (point 1).
d- Calculate approximate ratio of discharge to width Q/nB (point 2).
n is the number of cells.
e- Locate the selected culvert size (point 1) and flow rate (point 2) on
the appropriate scales of the inlet control monograph.
f- Using a straightedge, carefully extend a straight line from the culvert
size (point 1) through the flow rate (point2) and mark a point on the
first headwater/culvert height (H
w
/D) scale (point3). Check H
w
/D and
increase B if H
w
is higher than adjacent ground or proposed road
level.
g- If another H
w
/D scale is required, extend a horizontal line from the
first H
w
/D scale to the desired scale and read the result.
h- Multiply H
w
/D by the culvert height, D, to obtain the required
headwater H
w
from the invert of the control section to the energy
grade line.

B. Outlet Control:

The outlet control calculations result in the headwater elevation required to
convey the design discharge through the selected culvert in outlet control.
This situation arises when the culverts are very long or when the depth of
water downstream of the culvert is higher than the depth of water in the
barrel.

Figures 6.3 and 6.4 are used in this process:

a- Determine the tail water (TW) depth above the outlet invert at the
design flow rate.

b- Calculate the critical depth:
For box culverts critical depth is calculated using the following
formula:
Dc =
3
2
g
q

For pipe culverts critical depth is given in figure 6.6.

c. Calculate (Dc + D)/2

d. Determine the depth from the culvert outlet invert to the hydraulic
grade line (h
0
):

h
0
= Max(TW; (Dc + D)/2)

e. Determine the losses through the culvert barrel using figure 6.4 or 6.5.
Using a straightedge connect the culvert size (point 1) with the culvert
length on the appropriate Ke scale (point 2). This defines a point on the
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turning line (point 3). Again using the straightedge, extend a line from
the discharge (point 4) through the point on the turning line (point 3) to
the head loss (H) scale. Read H. H is the energy loss through the
culvert, including entrance, friction, and outlet losses.

f. Calculate the required outlet control headwater elevation.

ELh
0
= EL
0
+ H + h
0

Where EL
0
is the invert elevation at the outlet.

g. If the outlet control headwater elevation exceeds the maximum
allowable headwater elevation (which is generally the elevation of the
road less at least 60cm), a new culvert configuration must be selected
and the process repeated. Generally an enlarged barrel will be
necessary since inlet improvements are of limited benefit in outlet
control.

C. Evaluation of results:

Compare the headwater elevations calculated for inlet and outlet control.
The higher of the two is designated as the controlling headwater elevation.

6.4.6 Construction Materials

The choice of a culvert type depends upon the local topography, sediment
load, access to the site, and the availability of materials and local masonry
skills. Recommended choices are as follows:

- Masonry culverts are economical where vehicle loads are comparatively
low, and where adequate stone is available.

- Concrete pipes are cheap and preferable when sediment loads are not
excessive. Maximum pipe diameter is 1200 mm.

- Corrugated metal pipes are suitable in areas where stone for masonry
work is in limited supply. Pipe diameter is effectively unlimited.
Although these are portable, easy and quick to install, they tend to be a
more expensive from of construction.

- Concrete box culverts are necessary when the required opening exceeds
4m
2
and where the sediment load is large and abrasive.

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Figure 6.2 Headwater Depth for Box Culverts with I nlet Control

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Figure 6.3 Head of Concrete Pipe Culverts Flowing Full, n =0.012

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Figure 6.4 - Head of Concrete Box Culverts Flowing Full, n =0.012

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Figure 6.5 - Head of Concrete Pipe Culverts Flowing Full, n =0.012

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Figure 6.6 - Critical Depth Circular Pipe

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6.5 ROADWAY DRAINAGE

6.5.1 General

The drainage works designed to serve the highway are as follows:

- Roadside ditches: With a trapezoidal shape at the toe of the cut
sections to drain the platform and/or embankment water.
- Roadside barriers: These serve the same purpose as ditches but are
used where mountains are steep with no houses, terraces or crossing
roads anticipated.
- Chutes: To collect platform runoff in high fill.
- Pipe culverts: Placed across and under the road to evacuate side
ditches wherever necessary or in few cases used for crossing a wadi
flow from one side of the road to the other.
- Irish Crossings: Provided to convey flow on the road from one side of
the road to the other. Flow can be wadi flow or side ditches.
- Bumps: Placed across the surface of the road to direct water to
agricultural lands for water harvesting purposes. These typically range
between 5-15cm in height.

The Mannings equation will be used for sizing ditches, barriers and open
channels.

w
w
w
A S
P
A
n
Q
2
1
3
2
1
|
|
.
|
\
|
=
where,

Q = Flow in m
3
/s
n = Mannings roughness coefficient (see table 6.7 for typical values)
A
w
= Wetted area, m
2
.
P
w
= Wetted perimeter, m.
S = Longitudinal slope (slope of the channel) m/m.

and bumps capacities will be calculated using the Mannings gutter
formula:

x
nS
D S
Q
3
8
2
1
11 . 378 =

Q = Side flow in l/s
D = Water height
S
x
= Cross slope

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Table 6.7 Roughness Coefficient, n, Used in Manning Formula
Channel Lining Value of n
Smooth Concrete 0.012
Smooth Asphalt 0.015
Earth 0.025
Rock 0.035
Grass and Brush 0.050
Ductile Iron Pipe 0.013
Corrugated Steel Pipe 0.024
Corrugated Plastic Pipe 0.024

6.5.2 Frequency

Generally the drainage works of the roadway body shall be designed for the
following frequencies:

- Roadside ditches / barriers 2 years
- Diversion ditches / barriers 2 years
- Chutes (to discharge ditches / barriers) 2 years
- Culverts 10 years
- Irish crossings (to discharge ditches/barriers) 2 years
- Irish crossings (for wadi crossings) 10 years

6.5.3 Hydraulic Design Roadside ditches

Roadside ditches collect runoff from the road surface and the frontage
areas. These channels generally follow the longitudinal road slope.

Two types of roadside ditches may be considered, lined and unlined
ditches:

Lined ditches are used when velocity exceed 1.0 m/s. Velocity can be
checked using Manning equation. The following table provides the
maximum allowable length and earth ditch (formation range from sand to
silty clay). Side ditches may be triangular, trapezoidal or a combination of
both.

Longitudinal Slope % Earth Ditch Allowable Length (m)
0.50 215
1.00 80
1.50 55
2.00 40
2.50 35
3.00 25
3.50 25
4.00 20
> 4.50 15

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Sections of ditch beyond the allowable length shall be protected from
erosion by lining either using stone pitching or concreting. Design of lined
side ditches can be made using Manning equation. Roughness coefficient
n can be obtained from section (6.2.3) and Table 6.7.

(i) Rational Method Formula:

This formula is used to calculate discharge from contributing area. The
formula states:

360
CIA
Q = ;
where,

Q = maximum rate of runoff (m
3
/s);
C = runoff coefficient;
I = rainfall intensity (mm/hr);
A = contributing area (ha.)

(ii) Hydraulic Design

The following section describes the hydraulic of roadside ditches.

The road ditches parameters are calculated using Manning formula, which
states:

2
1
3
2
S A R
n
1
q
w w
= (Manning Formula)
where,

q = Flow carried by the ditch (m
3
/s)
V = Water velocity (m/s) =
2
1
3
2
S R
n
1
A
q
w
w
=
n = Surface roughness
R
w
= Hydraulic Radius which is equal to the area of flow (A
w
) divided by
wetted perimeter (P
w
); R
w
=
w
w
P
A

S = Longitudinal slope (m/m)

The hydraulic properties of various cross sections are illustrated in Table
6.8.

Figure 6.7 shows flow diagrams for various aspects of hydraulic design.

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Given: Type and size of drainage area
A in ha, Average slope, max distance of
flow water flow speed in culvert,
flowing full.
1. Determine Time of Concentration T
c
:
1.1 Determine average runoff water speed,
(m/s) for given slope and type of surface
from Table 5.4.
1.2 T
c
= = = time in minutes
Distance (m)
Speed (m/s)
Time in seconds
60
2. Determine Peak Discharge
2.1 Using Tc as rainfall duration in
minutes, the rainfall intensity is obtained
from Figure 5.1.
and c from Table 5.3. The maximum
discharge is obtained in m
3
/s.
CIA
360
2.2 Using the rational formula
3. Determine approximate diameter of
culvert
3.1 Determine cross sectional area of
culvert from Q = VA
3.2 Diameter = 2 A/t
Given: Shape lining, slope and cross
section of drainage ditch. Determine
max flow
1. Determine area of flow Aw and
welted perimeter P
w
2. Calculate hydraulic radius
R
w
= A
w
/P
w
3. Calculate V from manning formula
V = , n from Table 6.7 2
1
3
2
w
S R
n
1
4. Calculate flow rate Q = VA
Given:
- Cross section of ditch, type of lining and
longitudinal slope.
- Contributing area length and width
- Rainfall intensity
- IDF curve
- Nature of catchment area
1. Calculate max discharge m
3
/s of
contributing area from
360
CIA
Qmax =
2. Calculate the flow the ditch can carry
from:
Calculate speed of flow and check if it
is within acceptable limits.
V = Q/A
2
1
w
3
2
w d S A R
n
1
Q =
3. Compare the maximum discharge of
the contributing area with the flow the
ditch can carry:
If Q
max
< Q
d
then the cross section of
the ditch is adequate.
If Q
max
> Q
d
change the cross section
and recalculate flow.
Determination of Peak Discharge and Diameter of Culvert Drainage Ditch Design Determination of Peak Discharge and Drainage Ditch Design

Figure 6.7 Flow Diagrams for Hydraulic Design
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Table 6.8 Hydraulic Elements of Various Cross Sections (Mannering and Kilareski)
Cross Section Area
Wetted
Perimeter
Hydraulic Radius

bd + zd
2

b+ 2d 1
2
+ x
1 2
2
2
+ +
+
x d b
zd bd

bd b + 2d
d b
bd
2 +

zd
2

2d 1
2
+ x
1 2
2
+ x
zd

3
2
dT
T +
T
d
3
8
2

2 2
2
8 3
2
d T
dT
+

|
.
|
\
|
u
tu
sin
180 8
2
D

360
u tD
|
.
|
\
|
u
tu
tu
sin
180
45D

|
.
|
\
|
+ u
tu
t sin
180
2
8
2
D

360
) 360 ( u t D

|
.
|
\
|
+
u
tu
t
u t
sin
180
2
) 360 (
45D

1. Satisfactory approximation for the interval 0 <
T
d
s 0.25 2. u = 4sin
-1
D d /
When
T
d
> 0.25, use p =
T
d
d
T
T d
4 1
sinh
8
2
2 2
16
2
1
+ + 3. u = 4cos
-1
D d /
Insert u in degrees in equations
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6.5.4 Design Examples

Example 1: Determination of Peak Discharge
Problem:
A culvert is to be installed under a collector type highway in order to reduce flooding in the area. The
drainage area is 9 hectares of grassy land in a rural area. Water in the drainage area flows on an
approximate 5% slope for 1215m before reaching the culvert. Estimate the discharge in the culvert.

Solution:
From Table 5.4 the speed of water for a 5% slope on grassy (pastureland) is 0.45 m/s. The
corresponding time of concentration is 1215/0.45 = 2,700 or 45 min.

Using the time of concentration as the required rainfall duration and the fact that a collector roadway
requires a 10 year return period (Section 5.7.1.2), Figure 5.1 can be used to find the rainfall intensity of
47mm/h. From Table 5.3, a maximum runoff coefficient of 0.60 is chosen. The corresponding peak
discharge is calculated from the Rational Formula as Q = s m / 705 . 0
360
) 9 )( 47 )( 60 . 0 (
3
= .

Example 2: Calculation of Maximum Diameter of a Circular Culvert
Problem:
Using Example 1, determine the approximate diameter of the culvert for a water flow speed of 1.5m/s.
Assume that the culvert is flowing full.
Solution:
From the Equation Q = V x A, the cross sectional area of the culvert needed is
Ac = 0.705/1.5 = 0.47 m
2

The diameter of the culvert will be
D = 2(0.47 / 3.1416)
0.5
= 0.774 m

Because culvert pipe is available in even increments, a 0.8m diameter pipe is recommended.

Example 3: Drainage Ditch Design

Problem:
It is proposed to build a drainage ditch next to an existing highway. The ditch runs parallel to the
highway and has a rectangular shape and rock lining. The ditch has a 1.0m width and 0.5m depth. The
slope of the drainage ditch is 3%. Determine the speed of water and the maximum amount of flow that
the ditch can carry.

Solution:
Area of flow = 0.5 x 1.0 = 0.5 sq.m
Wetted perimeter, P
w
= 1.0 + 2 x 0.5 = 2.0m
Hydraulic radius, R
w
= 0.5/2 = 0.25m
Speed V =
2
1
3
2
S * R
n
1
w
, n = 0.035 from table 6.7.
V =
035 .
1
(0.25)
2/3
(0.03)
1/2
= 1.98 m/s
Flow rate: Q = V * A
Flow rate = 1.98 x 0.5 = 0.99 m
3
/s

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Example 4: Determination of Peak Discharge and Drainage Ditch Design
Problem:
Assume the cross section of the ditch is as follows:
Width = 0.50m
Right side slope = 0
Left side slope = 1/1 (45
o
)

Solution:
Assuming from the topographical maps that the contributing area (A) on the ditch have 50m of width
therefore for a ditch of 150m of length A = 50 x 150 = 7500m
2
= 0.75 ha. A < 500 ha therefore
Rational Method will be used for the flow calculation (see table 5.1).

- Suppose the 10min 2 years rainfall intensity is 50mm/hr; a copy of an IDF curve is included for
guidance (see fig. 6.7).
- Nature of catchments Hilly with average slopes of 10 to 30%.
- Grouted riprap lining
360
CIA
Q = ;
C = 0.75 (from table 5.2)
I = from chart assumed = 50 mm/hr
/s 0.078m
360
0.75 x 50 x 0.75
360
CIA
/s) (m Q
3 3
= = = = .
V =
2
1
3
2
S R
n
1
w

Manning coefficient n = 0.022; see paragraph (6.2.3) and Table 6.7.
V =
2
1
3
2
S R
n
1
A
Q
w
w
p
=
A
w
= ;
2
d d) (1 +
P
w
= 2.414d + 0.5: (d = water depth in the ditch, see fig. 1)
So R
w
=
0.5) 2(2.414d
d) d(1
P
A
w
w
+
+
= ;
Assume ditch longitudinal slope = 0.50% ; S = 0.50% = 0.005 m/m;
And ditch free board = 10cm.
Try d = 0.40m
A
w
= 0.40 (1 + 0.40) = 0.56m
2

R
w
= 0.191m
0.5) 0.40 x 2(2.414
0.40) 0.40(1
P
A
w
w
=
+
+
=
Q =
3
2 1
w
R
n
x
w
A x
2
1
S (Manning Formula)
=
5 . 0
005 . 0 x 56 . 0 x 191 . 0 x
022 . 0
1
3
2
= 0.597m
3
/s
So the flow that the ditch can carry = 0.453m
3
/s is greater than the flow of the contributing area = 0.078
m
3
/s and no overtopping will occur.
V =
3
2
1
w
R
n
2
1
S (Manning Formula)
=
022 . 0
1
x
3
2
191 . 0 x
5 . 0
005 . 0 = 1.067 m/s

d = water depth
0.50 m
1
1
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Figure 6.7 - I ntensity Frequency Duration Curves I DF Curves

6.5.5 General Comments and Recommendations

- Water is the main cause of poor performance and failure of the
majority of roads and highways in rural areas.
- Water entrapped in the pavement structure not only weakens
pavements and subgrades, but also experiences high dynamic
pressures under moving loads that will cause pumping of water and
fines and loss of pavement support.
- The detrimental effects of water could be addressed by draining it
out of the pavement, or designing the pavement to account for
excess water conditions.
- Proper drainage is a cost-effective measure that promotes the
longevity of pavement structures. This is particularly significant to
the rural roads, since traffic is low and most damage is climate
related.
- For a given location, both drainage of surface runoff and subsurface
drainage layers need to be seriously considered.
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- The largest quantity of water that requires drainage is surface
runoff. Therefore, proper design and maintenance of culverts and
drainage ditches is extremely important.
- Most culverts and drainage ditches observed in rural areas are
poorly maintained and are therefore not effective in draining surface
runoff.
- Cracking of the concrete lining of drainage ditches, and clogging of
culverts as a result of sedimentation are very common.
- Subsurface water flow is less than surface runoff but could have
significant long term effect on slope stability of roads on fill
sections. Slope stability failures and landslides are quite common in
a number of mountainous roads in Yemen.
- Surface infiltration is usually smaller than surface runoff but
exceeds in general subsurface water flow and could cause surface
cracking and surface depression of the pavement.
- The use of dense-graded base will minimize the effects of surface
infiltration. However, in locations where subsurface water flow
occurs from the cut area of the road, a drainage layer (with side
drains) is highly recommended to intercept the subsurface water
flow and minimize pavement distress and/or slope stability failure.
In this case, it is recommended that the permeability of the open-
graded drainage layer should be greater than 1,000 ft per day (about
300m per day). The drainage layer should be protected by an
appropriate aggregate filter or geotextile filter in order to prevent
clogging by the adjacent soil.

6.6 WATER HARVESTING TECHNIQUES, GROUNDWATER
RECHARGING

6.6.1 Water Harvesting

Water harvesting involves the diversion and collection of water to surface
impoundment for storage or immediate utilization.

The techniques practiced along the roads are as follows:

- Collection:
- Side ditches
- Concrete Edges
Side ditches and side barriers are used to collect storm water from adjacent
hills. This will control scour and limit the extent of sediments encroaching
on the road.

- Interception / Diversion Structures:
- Bumps across road to divert water to either side
- Culverts
- Irish crossings
- Road embankment
- Interception Dikes
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Single cell masonry culverts and small Irish crossings are used for
ditch/barrier discharge. Bumps are used at ditch/barrier discharge points to
control the flow direction from one side to the other. Irish crossings are
placed at all wadi crossings to control road washouts.

- Discharge Structures:
- Chutes
- Cascades
- Channels
Chutes are used at culvert outlets and at ditches discharge points to control
and prevent embankment erosion.

- Discharge Points:
- Earth or concrete ponds for storage / recharge.
- Direct discharge to agricultural lands for immediate utilization by
farmers.

- Protection Requirements:
- Road surface protection at bumps to resist scour / erosion.
- Embankment protection using grouted riprap or gabions.

- Within the farm, terraces or agricultural land the following may be
practiced:
- Create depressions around trees and line them with rocks or mulch to
retain moisture.
- Arrange brick or flagstone paving to direct water to plants
- Dig furrows and channels to direct water to crops.

6.6.2 Groundwater Recharge

Groundwater recharge is produced either by direct infiltration of rainfall in
excess of the water-holding capacity of the soils (direct recharge), or by the
infiltration of water that has passed through one or more other phases of the
hydrological cycle after it reached the surface in the form of precipitation
(indirect recharge). Some recharge processes are mainly controlled by
natural factors. They are often combined under the name natural recharge,
as opposed to induced recharge that is related to human activities.

The main form of natural groundwater recharge in Yemen is by infiltration
of surface water from wadis. The wadis tend to collect excess water in the
steep and relatively impermeable catchments (runoff producing zones) and
lose part or all of their flows as soon as they traverse flat and permeable
terrain (runoff absorbing zones).

Like recharge, groundwater discharge can also be divided into natural
and induced or manmade components. In Yemen the latter category
entails groundwater abstraction only; the former one includes discharge by
springs, by outflow into streams (base flow), by evaporation and
evapotranspiration, and by submarine outflow.

SECTION 7

ROAD SAFETY

Section
7
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SECTION 7
ROAD SAFETY

TABLE OF CONTENTS

Page

7. SAFETY ITEMS 1
7.1 Safety Barriers 1
7.2 Typical Junction Signage 5
7.3 Mandatory and Other Signs 6
7.4 Pavement Markings 10
7.5 Irish Crossing Markers 11
7.6 Delineators at Horizontal Curves 13
7.7 Signage at Construction Sites 13
7.7 Signage at Construction Sites 14

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SECTION 7
ROAD SAFETY

7. SAFETY ITEMS

7.1 Safety Barriers

Safety is a major issue to be considered in the road improvements
especially along mountainous road sections and steep escarpments. The
normal approach in dealing with such conditions is the provision of heavy-
duty barriers. Among the different types considered for the case of the
Yemeni rural roads, the stone barriers have been found to be the most
suitable in terms of both material availability and workmanship.

7.1.1 Type of Barriers

Stone Barriers are to be used in mountainous areas in order to get a rustic
appearance and where their material is readily available. Their impact
performance could not be directly predicted as is the case with concrete and
steel barriers, however past observations have shown that it could match
that of concrete barriers. Stone barriers may be constructed in several
shapes and dimensions. These may consist of large boulders, sculptured to
a cubical shape (H60xW40\D40) and implanted near the edge of the
carriageway (Figure 7.1). The low speeds and relatively small vehicle size
makes these barriers the most adequate barrier to use especially in
mountainous regions. Specifications for materials and workmanship are
provided here below. For flat and desert terrain, the decision has to be
based on the guidelines presented by the AASHTO Roadside Design
Guide.

Figure 7.1: Typical Stone Barriers

Stone Barrier with Dowel
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Criteria for Installing Barriers

The criteria that are most relevant for the Yemeni case are:
(a) Height of embankment
(b) Alignment
(c) Roadbed width
(d) Accident history
(e) Speed and Volume of traffic
(f) Visibility
(g) Climatic conditions
(h) Material availability
(i) Ease of construction

Factors e, f, and g are difficult to evaluate and should be considered
primarily where factors a, b, c, and d indicate a borderline case. Where the
need for barriers is debatable, the installation should be made if the traffic
speeds and volumes are high, or if unusually high embankments or steep
terrain give motorists a feeling of insecurity. In areas subject to mist
conditions, barriers are justified where their installation would be
questionable under less adverse conditions.

An obstruction or sudden constriction in width may require the installation
of barriers.

On all roads, any one of the following conditions indicate that
consideration should be given to the installation of barriers on the outside
of the curve:

1. Height of embankment more than 5 m.
2. Side slope steeper than 4V: 1H.

These rules are general and each individual location should be carefully
studied to determine the need for a barrier and the length required.

Specifications for Stone Barriers

Material

1. Stones shall be hard, sound, durable, and highly resistant to
weathering.
2. Samples of the stone material proposed for use in the works shall be
submitted to the PM for approval, prior to its use in the work.
3. The minimum apparent specific gravity shall be 2.3 and the
maximum absorption shall be 6% when tested in accordance with
AASHTO T85-85. The stone shall have abrasion loss not greater
than 45% when tested in accordance with AASHTO T96.
4. Natural stone to be either lime stone or granite (depending on
availability at site) or equal approved with min. compressive
strength of 150 & 200 MPA respectively according to ASTMC170.

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7.1.2 Construction & Workmanship:

1. Mortar shall be thoroughly machine mixed for a period of 3 to 5
minutes after all materials are in the mixer designed for this
purpose.
2. Mortar shall be used and placed in final position within 1-1/2 hours
after mixing when air temperature is less than 27 degrees C. No
mortar shall be placed when air temperature is 4 degrees c and
falling.
3. Mortar that has stiffened within the allowable time shall not be
used.
4. Mortar joints shall be 10 mm minimum thick. Full mortar coverage
of bed joints shall be provided at shells.
5. Blocks shall be laid dry and cut accurately to fit other construction.
All cutting of units shall be done with powerful and sharp tools.
6. Overlap between stone blocks should be at least 1/4 the width of
stone.
7. Contractor to submit method statement for the construction of work
to the PM's approval.

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- NEW JERSY BARRIER
Guard Rail Fixing Details

NEW JERSEY BARRIER
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7.2 Typical Junction Signage

Stop
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7.3 Mandatory and Other Signs

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SIGN DIMENSIONS

Note: All dimensions are in mm.

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7.4 Pavement Markings

NOTE: DETAILS OF BROKEN LINE
1. IN MOUNTAINOUS AND URBAN AREAS.3M SOLID LINE 6M GAP.
2. IN LEVEL RURAL AREAS5M SOLID LINE 8M GAP.
3. WIDTH OF LINES
(a) CENTER LINES AND EDGE LINES
10CM MINIMUM, 15CM MAXIMUM.
(b) STOP LINE 30CM MINIMUM, 60CM MAXIMUM.
4. MATERIAL
THERMOPLASTIC REFLECTIVE PAINT
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7.5 Irish Crossing Markers

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7.6 Delineators at Horizontal Curves
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7.7 Signage at Construction Sites

Model for Road blocks with warning and Guidance Signage

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SECTION 8

RETAINING WALLS

Section
8
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SECTION 8
RETAINING WALLS

TABLE OF CONTENTS

Page

8.1 Introduction 1

8.2 Lateral Earth Pressures 2

8.3 Type of Backfill and Estimation of Lateral Forces 5
8.3.1 Type of Backfill Materials 5
8.3.2 Estimation of Lateral Earth Pressures 9
8.3.3 Drainage Considerations 9

8.4 Stability Analysis 9

8.5 Structural Design 13

8.6 Mass Concrete and Masonry Retaining Walls 22

8.7 Factors of Safety 22

8.8 Wall Drainage 23

8.9 Gabion Walls and Masonry Walls 24

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SECTION 8
RETAINING WALLS

8.1 INTRODUCTION

Retaining structures are built for the purpose of retaining or holding back
soil. It is used in conjunction of highway construction to hold the
excavation or the highway fills. In rural Yemen, retaining walls are very
common due to the topography of the ground. Roads are built over steep
slopes so any it is not unusual for the highway section to be retained on the
excavation and the fill side simultaneously.

Most retaining walls in rural Yemen are reinforced are of two types: 1)
Reinforced concrete, and 2) Masonry. The majority of the problems
observed regarding the performance of these walls in rural Yemen is related
to the following:

- Poor drainage; either drainage is not accounted for in the design of the
wall or the installed drained are poorly maintained and clogged.

- Backfill is not a select material with good drainage properties, but
instead, a conventional fill obtained during construction excavation.
Fills of this nature do not conform to specifications in general, and
may end up having excessive fines.

- In many cases, when retaining walls are used to retain highway fills,
they are placed over superficial deposits that are moisture susceptible.
In the absence of poor drainage facilities, the fill will get heavier
during winter and spring, and the foundation under the wall becomes
weaker. This could cause slope stability failure or excessive lateral
movement.

In this Chapter, the basic principles for lateral earth pressure on retaining
walls will be introduced. Stability methods of analysis will be summarized,
and corresponding structural design protocols will be presented. Comments
and recommendations pertaining to use of retaining structures in rural areas
of Yemen will be addressed.

The general types of retaining structures used include the following (Figure
8.1):

1. Gravity walls; These could be stone masonry, or plain concrete.
2. Cantilever walls; These are made of reinforced concrete.
3. Counterfort walls; These are reinforced concrete structures
backfilled with granular soil.
4. Semi-gravity walls; These are made of concrete with small amount
of steel reinforcement.
5. Bridge abutment
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8.2 LATERAL EARTH PRESSURES

The determination of lateral earth pressure distribution imposed by the
retained soil on the retaining structure is important in evaluating the overall
stability of the wall and its structural design. There are two general theories
for determining lateral earth pressures:

1) Rankine theory, and 2) Coulomb theory. In both theories, if the wall
tends to "move away" from the retained soil, then active state of earth
pressures develop behind the wall. On the other hand, if the wall tends to
push into the surrounding soil, then a passive state of earth pressure will
occur.

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Rankine Theory

The primary assumption of the Rankine theory is that the wall is smooth
and there is no adhesion or friction between wall and soil. An example of
earth pressure distribution using this theory is shown in Figure 8.2. The
actual force per unit length of wall, for active earth pressure, is given by:

( )
a
2
a
K H
2
1
P = (8.1)

Where

| | |
| | |
|
2 2
2 2
a
cos cos cos
cos cos cos
cos K
+

= (8.2)

( )
p
2
p
K H
2
1
P = (8.3)

Where

| | |
| | |
|
2 2
2 2
p
cos cos cos
cos cos cos
cos K

+
= (8.4)

Where

P
a
= active earth pressure (active force per unit length of wall)
= unit weight of backfill soil
H = height of wall (Figure 8.2)
K
a
= coefficient of active earth pressure
K
p
= coefficient of passive earth pressure
P
p
= passive earth pressure (passive force per unit length of wall)
| = angle between backfill surface line and horizontal line (Figure 8.2)
| = angle of friction for cohesion less backfill (sand or gravel)

For horizontal backfill, the coefficients for active and passive pressure can
be expressed as follows:

( )
2
2
a
45 tan K
|
= (8.3)

( )
2
2
p
45 tan K
|
+ = (8.4)

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Coulomb Theory

The Coulomb theory for determining earth pressure assumes that the wall
surface is frictional and that the soil fails in the form of a wedge between
wall and soil (Figure 8.3). The basic equation for determining the
magnitude of the active or passive earth pressure is the same as equations
8.1 and 8.3. However, the active and passive earth pressure coefficients are
given by:

2
2
2
a
) sin( ) sin(
) sin( ) sin(
1 ) sin( sin
) ( sin
K
(
+
+
+
+
=
| o o o
| | o |
o o o
| o
(8.5)

2
2
2
p
) sin( ) sin(
) sin( ) sin(
1 ) sin( sin
) ( sin
K
(
+ +
+ +
+
=
| o o o
| | o |
o o o
| o
(8.6)

The parameters in these equations are the same as equations 8.2 and 8.4.
The two additional parameters are: o, which is the angle between the back
side of wall and a horizontal line (Figure 8.3), and , is the angle of friction
between wall material and the backfill.

8.3 TYPE OF BACKFILL AND ESTIMATION OF LATERAL FORCES

8.3.1 Type of Backfill Materials

The choice of a given type of backfill is essentially governed by the
availability of material. In most cases, economic considerations also play a
major role in backfill selection since material specifications and backfill
placement requirements could increase the cost of construction.
Justification of using good materials behind the wall could be justified
because it results in smaller and more economical retaining structures.

The preferred backfill materials behind retaining walls are granular soils.
These materials are generally easy to drain (i.e. have high permeability) so
they do not hold water. In addition, their shear strength is not sensitive to
changes in moisture content. However, the shear strength of backfill
materials that contain large amounts of fines will reduce dramatically with
increase in moisture content. A survey of retaining wall performance
conducted by Peck et al. indicates that the majority of retaining walls
exhibiting unsatisfactory performance had clay backfills.

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For the purpose of retaining wall design, the backfill may be divided into
the following five types:

Type 1: Cohesionless soils such as sands and gravels with little or no fines.
This would include soils GW, GP, SW, and SP of the United Classification
System. The important characteristic of these soils is their high
permeability. Therefore if adequate drainage is provided, there will be no
pore pressure in the soil.

Type 2: Cohesionless soils such as sands and gravels containing some silt.
This would include soils GM-GP, GM-GW, SM-SP, and SM-SW of the
Unified System. The permeability of such soils may be quite variable and
one cannot safely assume that the pore pressure will always remain zero.

Type 3: Sandy and gravelly soils with considerable percentage of silts and
clays. This includes soils like GM, GC, SM, and SC. Many residual soils
fall into this category. Such soils have low permeability and do not drain
rapidly. Hence, their water contents may increase substantially during
periods of rainfall.

Type 4: Silts and clays ML, MH, CL, and CH that are thoroughly broken
up into small pieces when placed in the backfill. Clays of high plasticity are
particularly undesirable. In general, a clay whose liquid limit exceeds 40
and whose plastic limit exceeds 20 should not be used as backfill because it
is capable of large volume changes when subjected to drying or wetting.
For example, when compacted to the dry side of optimum, a clay with a
plasticity index of 15 may develop a swelling pressure as large as 2000 psf
(95.6 kN/m2 or kPa) (5).

Type 5: Clays that are placed in the form of large chunks, such as stiff
clays. In this case, while the intact chunks may be rather stiff, the space
between the chunks may be filled with soft materials or may be occupied
by voids. Consequently, the strength of the backfill would depend on the
material filling the voids.

The Foundations Engineering Handbook (4) recommends placing the
backfill in layers of 15 cm to 30 cm and properly compacting by tamping.
If the earth pressure calculations are based on the properties of well-
compacted soils measured in the laboratory then similar field compaction
should be required. It is recommended that the backfill be properly
compacted and not placed by dumping. Compaction of the fill increases its
shear strength and could reduce the lateral earth pressure on the retaining
wall by about 20%.

In rural Yemen, although Type 1 backfill is generally recommended. Types
2 and 3, and sometimes Type 4, end up being used most of the time. In
addition, the backfill is generally dumped behind the wall without proper
compaction.

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8.3.2 Estimation of Lateral Earth Pressures

Lateral earth pressures on retaining structures could be determined using a
simple graphical chart solution presented in Figure 8.4 (6, 7). In this case,
the horizontal component and the vertical component of the lateral force
could be evaluated depending on the type of backfill used (i.e. Type 1 -
Type 5).

8.3.3 Drainage Considerations

Water should not be allowed to accumulate behind the retaining wall. The
accumulation of water will increase the weight of the backfill and in some
cases reduce its shear strength. This will result in increasing the lateral
forces acting on the wall. The use of proper drainage is therefore necessary
to enhance the stability of the retaining structure.

The use of a highly pervious soil will allow the water to move quickly from
the backfill material to the drainage outlet. However, if a drainage outlet is
not used or is clogged, then the water in the pervious fill could end up
forming a water table surface that would significantly increase the lateral
pressure against the wall. In other words, both, a highly pervious backfill
together with a proper drainage outlet are necessary to minimize the
adverse effects of water on the wall structure.

If a pervious backfill is used, then a longitudinal drain, such as a perforated
pipe, behind the retaining wall and weep holes, as shown in Figure 8.5, are
recommended. On the other hand, if the backfill is relatively impervious,
then a drainage blanket connected to a longitudinal drain that runs parallel
to the wall is recommended as illustrated in Figure 8.6.

8.4 STABILITY ANALYSIS

The lateral forces acting on a retaining structure could induce three modes
failure, specifically, sliding, overturning, and bearing capacity failure.

Sliding occurs when the lateral forces induced by the backfill become
greater than the resisting forces. The resisting forces are generated by the
friction on the base of the wall and any passive earth pressure acting on the
wall foundation. Passive earth pressure occurs when the wall tends to push
into the soil.

The forces acting on the wall could also generate an overturning tendency
about its toe. The overturning moment (i.e. sum of "overturning tendencies"
of all forces about the toe) are generally resisted by other forces, such as the
weight of the wall that will have "resisting tendencies" about the toe.
Overturning will occur if the total overturning moment is greater than the
total resisting moment.

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Bearing capacity failure could occur if the soil pressure under the
foundation of the wall exceeds the ultimate bearing pressure or bearing
capacity.

Proper design of retaining structures should ensure that the wall is stable
and has "sufficient" margin of safety (i.e. safety factor) against the above
modes of failure. In this case, the following are recommended factor of
safety (FS) values:

For sliding, FS is the ratio of the resisting forces to the sliding forces and
should be greater or equal to 1.5, if the resistive forces due to passive
pressure at toe of the wall are neglected. If the passive forces are not
neglected, then the FS should be greater or equal to 2.0.

For overturning, FS is the ratio of the resisting moments to the total
overturning moments and should be greater or equal to 1.5 for granular
backfill, and 2.0 for cohesive backfill.

For bearing capacity, FS is the ratio of ultimate bearing capacity to the
actual maximum base pressure and should be greater or equal to 3.0.

Example: Determination of Retaining Wall Stability

Problem:

Given the reinforced concrete cantilever retaining wall shown in Figure 8.7.
The backfill material is Type 1 soil. The unit weight and | angle of the
material are 120 lb/ft
3
(18.8 kN/m
3
) and 37
o
, respectively. The coefficient
of base friction is 0.45. The allowable soil pressure is 3 kips/ft
2
(143.6
kN/m
2
). The unit weight of concrete is 150 lb/ft
3
(23.6 kN/m
3
). It is
required to determine the factor of safety against sliding, overturning, and
bearing capacity failure.

Solution:

1) Calculation of Active Earth Pressure (Figure 8.4)

Form Figure 8.4, k
h
for Type 1 backfill is 30 lb/ft
2
/ft (4.71 kN/m
2
/m)
P
h
= (1/2)(30)(18) = 4860 lb/ft = 4.86 kips/ft (70.9 kN/m)
P
v
= (1/2)(k
v
)(H
2
), but since k
v
= 0, then P
v
= 0.

2) Calculation of Total Resisting Moment

Component Weight Moment Arm Resisting Moment about Toe
1 4.0 kips/ft 4.0 ft 19.2 ft-kips/ft

Total Resisting Moment = 107.8 ft-kips/ft (479.7 m-kN/m)

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3) Calculation of Overturning Moment

Overturning Moment = 4.86 x 6 = 29.16 ft-kips/ft (129.8 m-kN/m)

4) Factor of Safety against Sliding

a) Without Passive Earth Pressure at Toe
FS = 0.45 x 18.5/4.86 = 1.71 > 1.5 (O.K.)

b) With Passive Pressure at Toe
P
p
= (1/2)(0.12)(5)tan
2
(45+ 37/2) = 6.03 kips/ft (87.97 kN/m)
FS = (0.45 x 18.5 + 6.03)/4.86 = 2.95 > 2 (O.K)

5) Factor of Safety against Overturning
FS = 107.8/29.16 = 3.70/1.5

6) Calculation of Base Pressure

Location of resultant vertical force from the toe, x = (107.8 29.16)/18.5 =
4.25ft(1.3m)
Load eccentricity form center of footing, e = 5 4.25 ft < L/6 (i.e.1.67 ft)
(O.K)
Using the flexural formula, q
max
= (Q/A) + M
x
/ I
x
+ M
y
/I
y

Q
min
= (Q/A) M
x
/ I
x
M
y
/I
y

Q = 18.5 kips (82.3 kN)
A = 10 ft
2
(0.93 m
2
)
M
x
= 0
M
y
= Q x e = 18.5 x 0.75 = 13.9 ft-kips (18.8 kN-m)
I
y
= bh
3
/12 = 1 x 10
3
/12 = 83.33 ft
4
(0.72 m
4
)
q
max
= 18.5/10 + 13.9 x 5/83.33 = 2.68 kips/ft
2
(128.3 kN/m
2
)
q
min
= 18.5/10 13.9 x 5/83.33 = 1.02 kips/ft
2
(48.83 kN/m
2
)

Since the maximum base pressure of 2.68 kips/ft
2
(128.3 kN/m
2
) is less
than the allowable pressure of 3.0 kips/ft
2
(143.6 kN/m
2
), the wall is safe
against failure of the foundation soil.

8.5 STRUCTURAL DESIGN

The design of reinforced concrete retaining walls requires, in addition to
stability analysis, the determination of section thickness and steel
reinforcement needed to withstand the applied critical moment and shear. A
typical illustration of critical wall sections is presented in Figure 8.8.
Recommended dimensions for reinforced concrete wall are shown in Figure
8.9 and can be used as guidelines.

A simple design protocol was developed to determine the reinforcement
requirements for different wall geometries using the ACI method (8).
Details are summarized in Figures 8.10, 8.11, and Table 8.1.
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8.6 MASS CONCRETE AND MASONRY RETAINING WALLS

Mass concrete walls may be either plain concrete or a mixture of concrete
and rock rubble. The limiting height for the use of mass concrete walls
shall be 6 meters. Walls over 4m high may be more economical in
reinforced concrete.

In rock rubble concrete, the rubble shall be clean, sound rock cobbles and
boulders between 12 and 25 cm size and the volume of the rock rubble
shall be not more than 40% of the volume of the wall and the remaining
60% shall be concrete.

The face of concrete or masonry walls may be vertical or sloped to suit the
site situation and aesthetic appearance, and the relationship between the
slope of the front and back faces shall be as the following table, or the rear
(inner) face may be stepped.

Table 9.2.1 Slope of the facades
Slope of Front (outer) Face Slope of Back (inner) Face
Vertical
20%
30%
40%

between 30% & 40%
between 10% & 30%
between 10% & 20%
between vertical and 10%

Concrete for mass concrete walls shall be grade 200 as follows:-
Characteristic Compressive Strength 200 kg/cm2 at 28 days age
Cement Content 300 kg/cm3 minimum
Aggregate size 20mm nominal
Water / Cement Ratio 0.6 maximum

Horizontal construction joints shall have shear keys in the form of a
stepped joint, or may be projecting rock boulders in rubble mixture walls.
Vertical contraction joints shall be provided at 6m intervals, and expansion
joints at 12m intervals. Walls shall be cast in vertical sections of not more
than 1.2m height, and with weep holes.

8.7 FACTORS OF SAFETY

The stability of the structure shall be designed with the following minimum
factors of safety against failure:
Resistance to failure by deep slip in the surrounding earth 1.5
Resistance to overturning 2.0
In gravity walls the line of the resultant thrust should not act outside the
middle third of the width of the wall base. (see Fig. 8.12)
Resistance to sliding forward 2.0
The stresses in the wall structure shall not exceed the maximum specified
in the concrete design code.
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8.8 WALL DRAINAGE

A purpose designed drainage system shall be provided with a drainage and
filter layer against the back of the wall. Weep holes 100mm diameter shall
be provided through the wall at a spacing of one per 2 sq m of wall area, or
the drainage layer shall be connected to collector pipes and drained around
the ends of the wall. An impermeable layer shall be provided at the
foundation level behind the wall to protect the foundation strata from water
penetration.
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8.9 GABION WALLS AND MASONRY WALLS

Gabion retaining walls shall be considered where settlement or foundation
movement is probable of a magnitude greater than could be readily
accommodated by a rigid concrete wall without the risk of structural
cracking.

The gabions shall be purpose made proprietary baskets in galvanized or
plastic coated steel wire mesh, laid on a prepared foundation and filled by
hand with clean, sound rock cobbles and boulders between 10 and 25 cm
size. The baskets shall be tied with galvanized steel wire. The base width of
a gabion wall shall be at least half the total retained height and either the
front or back shall be stepped. The front face and the foundation may be
sloped back depending on the site conditions. (Figures 8.13 and 8.14)

The overall stability considerations and factors of safety for concrete walls
shall also apply to gabion walls. Gabions are free-draining and the
foundation strata shall be firm and non-susceptible to softening or erosion
from surface water.

Masonry walls are similar to Gabion walls in that they depend for stability
on their weight. Large dry blocks of stone are used for retaining walls up to
5m height, crown width of 1m and slope of face 3:1.

Granular stone filler 30 cm thickness behind the wall is recommended.
(Figure 8.15)

Figure 8.16 shows the dimensions of Masonry or Cyclopean Concrete
retaining Walls.

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FIGURE 8.13 TYPICAL SECTION THROUGH GABION RETAINING WALL
NOTE ALL DIMESIONS ARE IN METRES
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FIGURE 8.14 GABION WALLS - UNSURCHARGED
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Height (m) 2 3 4 5
Width (m) 1.0 1.5 2.0 2.5

FIGURE 8.15
TYPICAL SECTION THROUGH MASONRY RETAINING WALL

WIDTH
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Dimensions of Retaining Wall (mm)
Height (H) Width (W) Distance b(MIN)
min. max.
Rock
Subgrade
Granular Fill
Subgrade
Rock
Subgrade
Granular Fill
Subgrade
Up to 2000 800 1000 400 500
2000 3000 1200 1600 600 800
3000 4000 1600 2100 800 1100
4000 5000 2100 2700 1100 1400
5000 6000

FIGURE 8.16 MASONRY OR CYCLOPEAN CONCRETE WALL DETAILS

SECTION 9

ECONOMIC ANALYSIS

Section
9
Section 9 - Economic Analysis
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SECTION 9
ECONOMIC ANALYSIS

TABLE OF CONTENTS

Page

Internal Rate of Return Method .......................................................................................................... 1

9.1 Introduction ....................................................................................................................1

9.2 Definitions .......................................................................................................................2
9.2.1 Agency Costs ............................................................................................................................. 2
9.2.2 User Costs and Benefits ............................................................................................................. 2
9.2.3 The Net Present Value ............................................................................................................... 2
9.2.4 Benefit/Cost Ratio ...................................................................................................................... 3
9.2.5 Internal Rate of Return............................................................................................................... 3
9.2.6 Sensitivity Analysis ................................................................................................................... 4
9.2.7 Switching Value ......................................................................................................................... 4

9.3 The Roads Economic Decision Model (RED) ..............................................................4
9.3.1 RED Software Modules ............................................................................................................. 5
9.3.2 Main Economic Evaluation Module Input Worksheets ............................................................. 5
9.3.3 Main Economic Evaluation Module Output Worksheets .......................................................... 6

9.4 Economic Evaluation of Environmental Impacts ........................................................6
9.4.1 Alternative Institutional Approaches ......................................................................................... 6
9.4.2 Valuation Techniques ................................................................................................................ 7

9.5 Red Model Applications ...............................................................................................18
9.5.1 Case Study 1: ........................................................................................................................... 18
9.5.2 Case Study 2: Paving a Gravel Road ....................................................................................... 31
9.5.3 Case Study 3: Justifying Maintenance Expenditures ............................................................... 36

9.6 Conclusions ...................................................................................................................38

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SECTION 9
ECONOMIC ANALYSIS

Internal Rate of Return Method

9.1 INTRODUCTION

Economic analysis generally occurs at the management level to determine
the feasibility of a given project. If it is decided that the project is feasible
as a whole, then it is required to achieve maximum economy within the
project.

In this context the planner is confronted with three basic questions:

1. Is the proposed solution based on good understanding of the
transplantation problem, and is it worth pursuing?

2. If so, is the route selected the most beneficial taking into
consideration all its benefits, costs and impacts?

3. Is the design the most beneficial, taking into consideration all its
impacts?

Building new roads, rehabilitating existing roads and upgrading road
infrastructure all require economic resources.

It is important in the economic evaluation that all costs occurring during the
life of the facility be included. In pavements, life-cycle costs need to be
considered in economic studies. Life-cycle costs refer to all costs and
benefits that are related to a pavement during its complete life cycle. These
include construction costs, maintenance costs, rehabilitation costs and user
costs (or benefits). A complete and current economic analysis is needed if
alternatives are to be truly compared and evaluated.

Economic analysis for projects in rural areas should be an important factor
in selecting the type of road used, construction techniques, and
maintenance strategies.

Economic analysis could be one component in the prioritization of project
implementation. However, it is very important to realize that results of
economic analysis should NOT be the only factor for project prioritization.

This section covers the basic principles of economic analysis of road
projects and methods of determining the economic viability of these
projects. The Roads Economic Decision Model (RED) developed by the
World Bank for low volume roads (SSATP Working Paper No.78, World
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Bank, July 2004) is adopted herein. This model is in use by the Rural
Access Program.

9.2 DEFINITIONS

9.2.1 Agency Costs

These include the road agency costs consisting of the following
components:

Capital investment or expenditure
Maintenance and operation expenditures
Salvage value

9.2.2 User Costs and Benefits

User Costs

These include all costs encountered by the users. In road projects for
example, user costs consist could be divided into a number of components
as follows:

Accidents
Travel time
Vehicle operation (fuel and oil consumption, tire wear, maintenance
part and labor. crew, depreciation, overhead, cargo holding)

User costs associated with vehicle maintenance cost (parts consumption
and labor), are influenced by road roughness (i.e. PSI). In this case, the
average user costs value estimated for a reference condition and speed
should be adjusted based on road PSI.

User Benefits

A reduction of user costs associated with a given project could be
considered as user benefits. In many cases, non-user benefits and indirect
user benefits need to be included as part of the analysis. It is questionable
for pavements that non-user or indirect user benefits could be measured
adequately.

9.2.3 The Net Present Value

The net present value is a measure obtained by discounting the streams of
benefits and costs back to the beginning of a base year at a prescribed
discount rate.

In this measure, all costs are changed into their corresponding present
worth or value (PV). The total costs for a given project (x) can then be
expressed as,
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PVx = PV(AG)x + PV(U)x

where
PVx = present worth of total costs for project (x)
PV(AG)x = Present worth of Agency costs for project (x)
PV(U)x = Present worth of user costs for project (x)

PV(AG)x = PV(CI)x + PV(MO)x - PV(S)x

Where

PV(CI)x = present worth of capital investment costs for project (x)
PV(MO)x = present worth of maintenance and operations cost for project
(x)
PV(S)x = present salvage value, if any, for project (x) at the end of
design period
(if applicable)

The Net Present Value of project (x) is equal to the difference in total
present worth of costs between project (x) and a reference condition (r).
Usually, the reference condition (r ) refers to a "do nothing" scenario
assuming that project (x) is not done. In some cases, the reference condition
could be taken as another project alternative (x
l
). The Net present Value
(NPV) of project (x) could therefore be expressed as

NPVx = PVr - PVx

9.2.4 Benefit/Cost Ratio

The benefit cost ratio is a derivative of the net present value measure
comparing the discounted benefits with discounted costs.

The benefit/cost ratio for a given project is determined by comparing the
net present value of the user benefits (including the benefits of indirect
users if applicable) and the net present value of the project from the Agency
point of view. The benefit/cost ratio of project (x), (B/C)x is given by

(B/C)x = {PV(U)r - PV(U)x + PV(IUB)x}/{PV(AG)x - PV(AG)r}

where,

IUB = Indirect User Benefits

9.2.5 Internal Rate of Return

The Internal Rate of Return (IRR) is the discount rate which equates the
present value of benefits and the present value of costs. The IRR measure
calculates the rate of return based on the assumption that the PV of all costs
are equal to the PV of all the benefits of the project.
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If budgets are unconstrained the test of project acceptability is that the IRR
exceeds the cost of capital. If budgets are constrained, the test of
acceptability of a project is that the IRR exceeds a specific IRR
requirement for rural roads.

The minimum acceptable Economic Internal Rate of Return is 12%.

9.2.6 Sensitivity Analysis

Sensitivity analysis is used to evaluate the impact of changes due to
uncertainty of estimation of a main input parameter on the resulting
economic indicators that affect the feasibility of a project.

Sensitivity analysis for any road should be carried out under 3 scenarios:

- Increase cost by 25%.
- Decrease traffic by 25%
- Increase cost by 25% and decrease traffic by 25%.

9.2.7 Switching Value

The switching value of a main input parameter, as used in the Roads
Economic Decision model discussed below, is the value of the parameter
which would yield a net present value equal to zero. It is used to assess the
impact of an input parameter on the benefits of a project.

9.3 THE ROADS ECONOMIC DECISION MODEL (RED)

The Roads Economic Decision Model (RED) performs the economic
evaluation of road investment options including improvements and
maintenance of low-volume roads (50-300 vehicles/day). This model uses
the consumer surplus approach which measures the benefits of reduced
transport costs to road users and consumers. The following important
aspects are addressed by this model:

- It reduces input requirements for low-volume roads and takes into
account higher uncertainty of these inputs, including traffic and
road condition.
- Generated traffic is computed internally based on defined price
elasticity of demand.
- Allows for consideration of all costs and accrued benefits: safety
improvements, social service delivery, benefits related to non-
motorized traffic and environmental impacts.
- Allows for sensitivity and stochastic risk analyses.

In addition to addressing the traditional question of what is the economic
return of an investment, the model can also address the question of
maximum economically justified investment for a proposed change in
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level of service, with additional investments being justified by other social
impacts.

The main simplification of RED over other HDM models is that it
considers a constant level of service during the analysis period for the with
and without project cases.

RED computes benefits for normal, generated and diverted traffic and takes
into account changes in road length, condition, geometry, type, accidents
and days per year when the passage of vehicles is further disrupted by a
highly deteriorated road condition (wet season). Users can add other
benefits or costs to the analysis, such as non-motorized traffic, social
services and environmental impacts, if computed separately. The model
consists of several modules that collect all user inputs, present the results in
an efficient manner, and perform sensitivity, switching values, and
stochastic risk analyses. RED is available at the World Bank Road
Software Tools Internet site:

http://www.worldbank.org/html/fpd/transport/roads/tools.htm

9.3.1 RED Software Modules

The RED software is composed of a series of Excel 2000 workbooks that
contain a series of input worksheets, where all inputs are placed, output
worksheets, where results are presented and support worksheets, where
calculations are made. The main evaluation module workbook evaluates
one road at a time and compares three project-alternatives against a without
project case, yielding the economic indicators needed to select the more
desirable option and to quantify its economic benefits. There is also a
program evaluation module workbook that evaluates a network of roads.
The main project benefits are the reduction of vehicle operating costs and
time costs, which are computed from relationships relating vehicle
operating costs and speeds to road roughness customized for a particular
country. The model also performs a basic risk analysis based on user
defined triangular distributions for the main inputs. Table 9.1 lists the RED
modules and Figure 1 shows how these modules interact.

9.3.2 Main Economic Evaluation Module Input Worksheets

The Main Economic Evaluation Module is the main module and performs
the economic evaluation of up to three project-alternatives for a given road.
You define the current road characteristics and traffic and the features of
four possible maintenance or improvement cases, one being the without
project case and the other three being possible project-alternatives. The
model evaluates the total transport costs of all four cases and computes the
net benefits of the three project-alternatives compared with the without
project case.

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The names of the seven available input worksheets are given below. On
these worksheets, you enter your inputs on all cells having a yellow
background.

1- Control and Setup
2- Unit VOC and Speeds
3- Time and Accidents
4- Traffic
5- Multi-Criteria Indicators
6- Project-Alter. Main Features
7- Project-Alter. Other Benefits

Table 9.2 shows a description of the input worksheet data.

9.3.3 Main Economic Evaluation Module Output Worksheets

The names of the seventeen output worksheets are given below. The results
are summarized on the Project-Alter Solution worksheet and presented in
detail, by project-alternative, on the remaining worksheets. On these
worksheets, you define some parameters on cells having a yellow
background and press buttons to perform the sensitivity and switching
value analyses. The Net Present Value Graph compares, for all project
alternatives, the Net Present Value and the Present Value of Agency Costs;
and the Society Costs Graph compares the Present Value of Society Costs
and the Present Value of Agency Costs.

- Project Alter. Solution
- Graph . Net Present Value
- Graph . Total Society Costs
- Alter. 1 Feasibility
- Alter. 1 User Impact
- Alter. 1 Benefits Distribution
- Alter. 1 Sensitivity
- Alter. 1 Switching Values
- Same for alternatives 2 and 3

Additionally, there are four support worksheets where calculations are
made (Benefits 0, Costs Benefits 1, Costs Benefits 2, Costs Benefits 3, and
Constants). RED uses these worksheets internally; therefore, you should
not change any of their contents.

Table 9.3 shows a description of the output worksheets.

9.4 ECONOMIC EVALUATION OF ENVIRONMENTAL IMPACTS

9.4.1 Alternative Institutional Approaches

Concomittant with the mobility benefits generated by road projects,
environmental side effects may be produced. In environmental assessment
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(section 10) the impacts of road projects on the biophysical and socio-
economic environment are evaluated and measured in physical terms. The
problem is how these effects should be taken into consideration in the
design and decision making processes. Approaches to confront this
problem include:

a. Performing separate economic and environmental appraisals with
the results brought together in a consultation process.
b. Combine the effects through some form of a multi-criterion analysis
with appropriate weights.
c. Establish monetary values of unpriced environmental impacts as
for valuation of time savings for road users in order to address
economic consequences of environmental affects of road projects.
Prices are attached to the impacts so that an environmental damage
is treated as a resource cost and an environmental improvement as a
resource benefit.

Social priorities are invariably reflected in the judgment about the trade off
between economic benefit and environmental impacts. For large projects
with significant environmental impacts, the decision will almost certainly
involve political judgment.

9.4.2 Valuation Techniques

RED accepts under Other Benefits for each project alternative and year
the net benefits pertaining to environmental impacts calculated separately.

There are different ways of valuating environmental impact using monetary
values (for details see chapter 19 of Roads & the Environment Handbook
World Bank).

1. Direct Valuation Approaches, including:
- Change in productivity approach
- Opportunity cost approach
- Loss of earnings approach

2. Surrogate Market Approaches, including:
- Property value approach
- Land value approach
- Travel cost approach

3. Preventive Expenditures Approach

4. Replacement Cost Approaches, including:
- Direct asset replacement approach
- Relocation cost approach
- Shadow project approach

5. Contingent Valuation Approach

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Table 9.1 RED Modules

RED Module Purpose
Main Economic
Evaluation Module
Perform the economic evaluation of one road
HDM-III Vehicle Operating
Costs Module
Define the relationship between motorized vehicles
operating costs and speeds to road roughness, for a
particular country, using HDM-III relationships
HDM-4 Vehicle Operating
Costs Module
Define the relationship between motorized and non-
motorized vehicles operating costs and speeds to road
roughness, for a particular country, using HDM-4
relationships
Risk Analysis Module Perform risk analysis using triangular distributions for
the main inputs

Figure 9.1 Flow Diagram Depicting the Interaction Between RED Modules

Vehicle Operating Costs
Module
Main Economic
Evaluation Module
Risk Analysis
Module
Transfer VOC and Speeds to Roughness Relationships
Interact
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Table 9.2 - Main Economic Evaluation Module Input Worksheets
Input Worksheet Input Components Description
1. Control and Setup 1.1 General Road name and code, currency, evaluation date, road agency economic cost factor, discount
rate (%), evaluation period (yrs), population served by road.
1.2 Vehicle names (up to 9) 1) Cars and utilities; 2) light, medium and heavy buses; 3) light, medium, heavy and articulated
trucks.
1.3 Road terrain types and road types
(up to nine combinations)
Flat, rolling or mountainous terrain type (A, B or C)
Earth, gravel or paved road type (X, Y or Z) See Figure 2.
1.4 Road condition
(3 choices)
See Figure 3.
1. Enter road roughness as in HDM III and HDM IV models.
2. Enter speed of motorized reference vehicle: RED estimates roughness from speed of
reference vehicle for flat and rolling terrain where speeds are essentially a function of
roughness not appropriate for mountainous terrain.
3. Enter both roughness and speeds for all vehicles RED estimates VOC appropriate for
hilly and mountainous roads.
2. Unit VOC and Speeds VOC / Speed / Roughness
relationships
Relationship between VOC and speeds to roughness for nine possible combinations of terrain
and road types for nine possible vehicle types.
Also relationship of roughness to speed of a reference vehicle for nine possible combinations
of terrain and road types. These relationships take the form of cubic polynomials. Use HDM-
III or HDM-IV VOC and speed equations or any other prediction model.
3. Time and Accidents Time and Accident Costs RED computes benefits due to reduction in passengers time, cargo holding time and accident
costs
- Enter No. of passengers per vehicle type and the value of a passenger time and cargo holding
time.
- Enter average cost per accident (and by severity if data is available: fatalities, injuries,
damage only).
4. Traffic 1. Normal Traffic.
2. Generated Traffic.
3. Induced Traffic and
4. Diverted Traffic
- Enter AADT for each vehicle type at the first year of the evaluation period.
- Enter traffic growth rate, for up to 4-five year periods, for normal, generated and diverted
traffic which is considered the same for these types.
- Induced traffic, due to local economic development, is entered for each project alternative and
each vehicle type. (See Figure 4)
5. Multi-Criteria Indicators Data on project alternatives This work sheet stores up to 8 multi-criteria indicators for future reference.

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Table 9.2 - Main Economic Evaluation Module Input Worksheets (Contd)
6. Project Alter. Main Features - First case without project plus
three other alternatives
6.1 Terrain and road type and
condition
For each alternative enter:
1- Description,
2- Terrain type code (A, B or C) and road type code (X, Y or Z)
3- Enter road condition in terms of road length and a) roughness or b) speed of a
reference vehicle or c) roughness and speeds for all vehicles.
6.2 Average yearly level of service is
defined
RED assumes, for each project-alternative, an average level of service over the analysis period
that is represented by an average road roughness and average vehicle speeds. Figure 5 shows
an illustration of the average level of service and compares it with the road deterioration
predictions of the HDM models.
6.3 Enter investment and
maintenance costs.
1- Investment duration in years (0-3) and % investment in each year in %.
2- Financial investment costs per km in 1000 currency/km.
3- Fixed financial maintenance costs/km - year in 1000 currency /km year.
4- Variable financial maintenance costs/km year traffic in 1000 currency/km year
ADT (optional).
The investment refers to an initial investment (paving, regravelling, rehabilitation, etc.) starting
on the first year of the evaluation period with the specified duration. If for a project-alternative,
there will not be an initial investment; you should enter 0 as the investment duration and the
investment cost. The maintenance costs are annualized maintenance costs needed to maintain
the specified level of service. There is a fixed component (independent of traffic) and an
optionally variable component function of traffic. Note that you enter financial costs (market
values) and RED computes internally the economic costs based on the multiplier you defined
on the Control and Setup worksheet.
6.4 Accident rate and diverted traffic - Accident rate in number of accidents per 100 million vehicle km and % by degree of
severity if available (consistent with item 3 above).
- Diverted traffic from an alternative road and its characteristics (road length, terrain
type, road type and roughness).
7. Project Alter-other benefits Provide data on other net benefits for
each project alternative that is
computed separately
Enter for each alternative and year (e.g.):
- Social services
- Environmental impacts
Note that the net benefits can be positive (additional benefits in relation to the without project
case) or negative (additional costs in relation to the without project case).

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Table 9.3 - Main Economic Evaluation Module Output Worksheets
Worksheet Description
1. Project Alter. Solution
This worksheet provides a results
summary consisting, for each project
alternative, of 14 economic indicators
(see Figure 6).
1. Net present value at the given discount rate, in millions of U.S dollar.
2. Internal rate of return, in percent.
3. Equivalent annual net benefits, in U.S dollar per km. This represents an equivalent annual stream of net benefits over the
evaluation period with a present value, at the giving discount rate, equal to the net present value divided by the road length.
4. Modified rate of return considering the reinvestment rate and the financing rate assumed to be the given discount rate, in
percent.
5. Net present value per financial investment costs ratio.
6. Net present value per present value of economic agency costs ratio.
7. First-year benefits per economic investment cost ratio.
8. Financial investment cost, in millions of U.S dollar.
9. Present value of economic agency costs, in millions of U.S dollar.
10. Present value of economic normal traffic user costs, in millions of U.S dollar.
11. Present value of economic generated traffic user costs, in millions of U.S dollar.
12. Present value of economic society costs, in millions of U.S dollar.
13. Number of fatalities per km-year after investment.
14. Investment per population served, in U.S dollar/person.
2. Graph Net Present Value This worksheet presents a graph comparing the net present value and the present value of economic agency costs for all project-
alternatives.
3. Graph Total Society Costs This worksheet presents a graph comparing the present value of total society costs and the present value of economic agency costs
for all project-alternatives.
4. Alter. 1 Feasibility This worksheet presents the economic evaluation details for option 1. At the top of the table you have all the main input
assumptions and below you have the computed vehicle speeds, travel times, traffic and streams of net benefits (see Figure 8). At
the bottom of the table you have the economic indicators. This worksheet also performs a basic sensitivity analysis on the road
agency and user net benefits streams. You can change the sensitivity multipliers on cells N28 and O28. Note that there is a
similar worksheet for options 2 and 3.

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Table 9.3 - Main Economic Evaluation Module Output Worksheets (Contd)
Worksheet Description
5. Option 1. User Impacts This worksheet presents the user impacts of the proposed investments. It shows, for each vehicle type, the economic annual road
user costs reduction with relation to the without project-alternative, in percent. It also presents, for the project-alternative and the
without project option, for each vehicle type, the financial unit trip costs and the financial annual trip costs the year after the
investment is done. Note that there is a similar worksheet for options 2 and 3.
6. Option 1. Benefits Distribution This worksheet presents the distribution of the total net society benefits among road agency benefits and road users benefits. It also
shows the distribution of the road user net benefits among vehicle types and source of benefits. Note that there is a similar
worksheet for options 2 and 3.
7. Option 1. Sensitivity This worksheet presents a sensitivity analysis for all main inputs. You enter two possible multipliers for each main input
parameter, on columns G and L, and, after you press the button named Update Sensitivity located at the top of the
worksheet, the model presents the corresponding economic indicators. Note that there is a similar worksheet for options 2 and 3.
8. Option 1. Switching Values This worksheet presents switching values analysis for all main inputs. After you press the button named Update Switching
Values located at the top of the worksheet, the model presents the corresponding switching values for each main input parameter.
For each input parameter being evaluated, the switching value is the value of the input parameter that would yield a net present
value equal to zero or an internal rate of return equal to the discount rate. The switching value is used to assess the impact of an
input parameter on the benefits of a project. Note that there is a similar worksheet for options 2 and 3.
Benefits 1, Benefits 2, Benefits 3,
Benefits 4
These worksheets perform the project-alternatives benefits calculations done by RED. There are no user inputs on these
worksheets and they are not formatted to be printed.
Constants This worksheet stores sensitivity and risk multipliers. Some observations: a) the multipliers multiply each input on all RED
formulas; b) all these multipliers should be set to 1 to obtain the original base scenario; c) you can not move this range, otherwise,
the risk analysis module will not work properly; d) these risk multipliers can be used to perform a risk analysis with any
commercial risk analysis program; and e) the Investment Economic Cost Multipliers are not used on the risk, sensitivity and
switching values analysis, but can be used to evaluate cases when different project-alternatives have different economical to
financial costs ratios.

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Figure 2 Vehicle Costs and Speeds as a Function of Road Roughness for Nine Terrain-Road Types and Nine Vehicle Types

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Figure 3 Options for Defining Road Condition
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Figure 4 Generated Traffic and I nduced Traffic

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Figure 5 RED Average Level of Service and HDM-I I I Road Deterioration

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Figure 7 Project Alternatives Solution

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9.5 RED MODEL APPLICATIONS

Three typical RED applications are presented which consist of the economic
justification of paving an unpaved road and justifying maintenance expenditures
needed to maintain a certain level of service.

9.5.1 Case Study 1: Upgrading Unsealed Road

This case study demonstrates the use of the Roads Economic Decision Model
(RED). It is designed to show the practical application of the software as well as
the main concepts. This case study is presented as a practical exercise,
entering the required information and performing the required outlined
steps.

(1) INSTALLING THE RED MODEL PROGRAM FILES

From the RED CD-ROM, follow the instructions for installing RED.
If you obtained the English version of RED by Internet, execute the file
named "RED32EN.EXE" that installs the English version of RED on your
computer.
The installation program asks for a hard disk folder to install the RED
components, which are installed on different corresponding subfolders
according to the type of contents.
If you select the suggested "C:\" folder, the installation program creates a
folder named "C:\RED - RED Model Version 3.2\" on your hard disk, where
you will find the RED model Excel workbooks and associated
documentation in English as shown here below.
File Description
RED - User Guide & Case Studies (version
3.2).pdf
Main Document of the RED Model
RED - Africa Transport Technical Note.pdf SSATP Technical Note presenting the RED
model
RED - Read Me (version 3.2).XLS
RED - Main (version 3.2).XLS Main economic evaluation module
RED - HDM-III VOC (version 3.2).XLS HDM-III vehicle operating costs module
RED - HDM-4 VOC (version 3.2).XLS HDM-4 vehicle operating costs module
RED - Risk (version 3.2).XLS Risk analysis module
RED - Program (version 3.2).XLS Program evaluation module

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(2) DEFINING UNIT ROAD USER COSTS WITH THE HDM-4 VOC
MODULE

The first step is to define unit road user costs applicable to Yemen with
either the HDM-III VOC Module or, preferably, the HDM-4 VOC Module.
The HDM-III VOC Module is a stand-alone Excel worksheet that
implements the HDM-III relationships regarding road user costs, while the
HDM-4 VOC Module implements the HDM-4 relationships.
To use the HDM-4 VOC Module
Double-click on the corresponding Excel workbook RED -HDM-4
VOC (version 3.2).xls within Windows Explorer. This will open the
file in Excel (Annex 1), which will display the message immediately
below.

Press the Enable Macros button to activate the macros needed to
compute the road user costs.
Once the Excel workbook has been opened, go to the Basic Input Data
worksheet, where you should enter the corresponding inputs for your
country on the cells with a yellow background.
For our case study, enter the information given on Table 1.
Once you have entered the basic input data on the cells with yellow
background, save the workbook, assigning to it a new name in order to keep
the original file without changes.
Use the Save As option of Excel and, for example, save the file at the same
C:\RED Model Version 3.2 Windows Folder assigning to it the following
name to represent that the road user costs are for the Yemen.
RED HDM-4 VOC (Yemen).xls
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Basic Input Data
Country/Region North Region Currency Name US$
Year 2002 Exchange Rate Divider to US$ 1.00
Terrain Types Road Characteristics
Rise & Horizontal Number of Super_ Altitude (m) 500.0
Fall Curvature Rises & Falls elevation Percent Time Driven on Water 20.0
Code Description (m/km) (deg/km) (#) (%) Percent Time Driven on Snow 0.0
A Flat 10 50 1 2 Paved Roads Texture Depth (mm) 0.69
B Rolling 20 150 1 2
C Mountainous 40 300 1 2
Road Types
Surface Type Speed
1-Bituminous Carriageway Speed Limit Roadside NMT
2-Concrete Width Limit Enforcement Friction Friction
Code Description 3-Unsealed (m) (km/hour) (#) (#) (#)
X Paved 1 7.0 100.0 1.1 1.0 1.0
Y Gravel 3 6.0 80.0 1.1 1.0 1.0
Z Earth 3 5.0 70.0 1.1 1.0 1.0
Vehicle Types
Number of Number of
Code Description Wheels Axles
1 Car Medium 4 2
2 Goods Vehicle 4 2
3 Bus Light 4 2
4 Bus Medium 6 2
5 Bus Heavy 10 3
6 Truck Light 4 2
7 Truck Medium 6 2
8 Truck Heavy 10 3
9 Truck Articulated 18 5
Vehicle Fleet Characteristics
Car Medium
Goods
Vehicle Bus Light Bus Medium Bus Heavy Truck Light
Truck
Medium Truck Heavy
Truck
Articulated
Economic Unit Costs
New Vehicle Cost ($/vehicle) 10000 14000 20000 35000 50000 26000 42000 60000 89000
Fuel Cost ($/liter for MT, $/MJ for NMT) 0.30 0.30 0.26 0.26 0.26 0.26 0.26 0.26 0.26
Lubricant Cost ($/liter) 2.40 2.40 2.40 2.40 2.40 2.40 2.40 2.40 2.40
New Tire Cost ($/tire) 45.00 75.00 220.00 220.00 220.00 170.00 255.00 255.00 320.00
Maintenance Labor Cost ($/hour) 2.60 2.60 2.60 2.60 2.60 2.60 2.60 2.60 2.60
Crew Cost ($/hour) 0.00 0.50 0.50 0.50 0.50 0.50 0.50 0.50 0.50
Interest Rate (%) 12.00 12.00 12.00 12.00 12.00 12.00 12.00 12.00 12.00
Utilization and Loading
Kilometers Driven per Year (km) 18000 35000 80000 80000 80000 50000 50000 70000 80000
Hours Driven per Year (hr) 500 1100 2000 2000 2000 1300 1800 2000 2000
Service Life (years) 10 9 9 9 9 9 10 10 10
Percent of Time for Private Use (%) 100.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00
Gross Vehicle Weight (tons) 1.20 2.00 3.00 6.00 11.00 6.00 12.00 20.00 30.00
Reference Vehicle Adopted to
Estimate Roughness as a Function
of Speed of Reference Vehicle
Car Medium
Table 9.4

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The Country/Region, Year, Currency Name, and Exchange Rate Divider to
US$ inputs are entered for future reference purposes; they are not used on
the road user costs calculations.
The remaining numerical inputs are the basic HDM-4 inputs needed to
estimate road user costs. You can obtain a description of these inputs on the
HDM-4 Model documentation.
If you dont have all the nine vehicle types listed on your vehicle fleet, you
can define some vehicle types as Not Used. Later you will define that the
daily traffic for this vehicle type number is zero.
Once you have entered the basic input data, you have the option to go to
the Calibration Data worksheet to calibrate the model editing the cells with
a yellow background, referring to the HDM-4 documentation for a
description of the calibration parameters.
In this case study, we will not calibrate the model.
Go to the Compute Results worksheet where you will press the Compute
Results button.
Once you press the button, the model computes the corresponding speeds
and vehicle operating costs.
Once the calculations are done, it presents a message indicating the
computations are done.
At this stage you have the following options:
a) Review the results on the remaining worksheets.
b) Copy and paste the results into the Main Economic Evaluation Module
by pressing the Copy and Paste Results into Main Module button
located also on the Compute Results worksheet.
You can review the results by exploring the following worksheets:
a) Coefficients contains:
- Coefficients of cubic polynomials relating road user costs to
roughness.
- Speeds to roughness.
These coefficients are needed by the Main Economic Evaluation
Module and are copied and pasted into that module once you press the
Copy and Paste Results into Main Module button located also on the
Compute Results worksheet.
b) Speeds presents:
- Speeds (km/hr) for each road terrain.
- Road type for roughness varying from 2 to 25 IRI.
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c) VOC presents:
- Unit road user costs ($ per vehicle-km) for each road terrain.

d) VOC Components presents:
- Unit road user costs components (dollar per vehicle-km), such as
fuel consumption, tire wear, etc., for each road terrain.

e) HDM-4 & Equations Comparison presents:
- Comparison of the HDM-4 relationships results, for each roughness
level.
- Corresponding cubic polynomials computed by Excel.

f) Typical VOC and Speeds presents:
- Unit road user costs (dollar per vehicle-km).
- Speeds (km/hr) for each road terrain.
- Road type and for different road condition levels (very good, good,
fair, poor, very poor). Here you can define the roughness of each
road condition class and a typical traffic composition to compute
the average fleet speeds and vehicle operating costs, and press
the Update Results button.

In this case, lets Copy and Paste the Results into the Main Economic
Evaluation Module.
Follow the steps below:
a) Open the Main Module by double-clicking on the corresponding Excel
workbook RED-MAIN (Version 3.2).xls., within Windows Explorer
and enable the macros.
b) Use the Save As option of Excel and save the Main Module at the same
C:\RED Model Version 3.2 Windows Folder assigning to it the
following name to represent that the Main Module is for case study
number 1.
RE -MAIN (Case 1).xls
c) Close the Main Module.
d) In the HDM-4 VOC Module, at the Compute Results worksheet, in cell
F23, enter the name of the Main Module in which you want to copy
and paste the road user costs results.
Enter: RED - MAIN (Case 1).xls

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e) In the HDM-4 VOC Module, at the Compute Results worksheet.
- Press the Copy and Paste Results into Main Module button.

- Wait for the process to finish with the message indicated below.

- The HDM-4 VOC Module will open the Main Module and then will
copy and paste the results into it.

- Once the paste process is done, the HDM-4 VOC Module will close
the Main Module and present the following message.

f) Save and Close the HDM-4 VOC Module.

(3) CASE STUDY DESCRIPTION

UNSEALED ROAD IN POOR CONDITION WITH 450 AADT

This case study evaluates different investment alternatives for an unsealed
road that is currently in poor condition with an annual average daily traffic
(AADT) of 450 vehicles per day.
The investment alternatives are the following:

a) Keep the road in poor condition.
b) Keep the road in fair condition.
c) Upgrade the road to Surface Treatment Standard.
d) Upgrade the road to Asphalt Concrete Standard.

Follow the steps below:
a) Locate and open the following Main Economic Evaluation Module that
you created while working with the HDM-4 VOC Module and that
should be located on the C:\RED Model Version 3.2. folder.

Dont forget to enable the macros.

RED - MAIN (Case 1). xls

b) Go to the Control and Setup worksheet and enter the information
required in Table 2.
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Control Data
Country Name Yemen
Project Name Rural Access Program
Road Identification Code CS1
Road Name Case Study 1
Currency Name Dollars
Currency Symbol $
Duration of the Wet Season (days) 0
Evaluation Date January 1, 2005
Road Agency Economic Costs Factor 0.85
Discount Rate (%) 12%
Evaluation Period (years) 20
Initial Calendar Year 2005
Population Served (persons) 2000
Setup Data
Name of Each Vehicle Type (two words max.)
Vehicle Type 1 Car Medium
Vehicle Type 2 Goods Vehicle
Vehicle Type 3 Bus Light
Vehicle Type 4 Bus Medium
Vehicle Type 5 Bus Heavy
Vehicle Type 6 Truck Light
Vehicle Type 7 Truck Medium
Vehicle Type 8 Truck Heavy
Vehicle Type 9 Truck Articulated
Name of Each Terrain Type
Terrain Type A Flat
Terrain Type B Rolling
Terrain Type C Mountainous
Name of Each Road Type
Road Type X Paved
Road Type Y Gravel
Road Type Z Earth
Road
Condition
Indicator
Option
Roughness Speed of a Reference Vehicle
Both Roughness and Speeds of Vehicle Fleet
In this case study:
a) the wet season duration is 0 days.
b) the evaluation period is 15 years.
c) the discount rate is 12%.
d) we are going to use roughness to characterize the road condition.

Table 9.4 Control Data

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Travel Time Costs
Number of Passengers Cargo Holding
Passengers (#) Time Cost ($/pas-hr) Time Cost ($/veh-hr)
Car Medium 3 1.00 0.00
Goods Vehicle 1 0.50 0.00
Bus Light 10 0.50 0.00
Bus Medium 20 0.50 0.00
Bus Heavy 40 0.50 0.00
Truck Light 0 0.00 0.00
Truck Medium 0 0.00 0.00
Truck Heavy 0 0.00 0.00
Truck Articulated 0 0.00 0.00
Accidents Costs
Costs in Dollars
Average Cost per Accident 0
OR
Costs per Accident Type:
With Fatality 70000
With Injury 15000
Damage Only 3000
c) Go to the Unit VOC and Speeds worksheet.
Here you dont have to make any changes.
Note that the coefficients of the polynomials came from the HDM-4
VOC Module, when you pressed the Copy and Paste Results into Main
Module button.

d) Go to the Time and Accidents worksheet.
Enter the information from Table 3.

Here you define:
- Number of passengers per vehicle
- Corresponding value of time per hour.
In this case, the value of time of passengers of buses and trucks is
half that of passengers of cars and utility vehicles.

For accident costs, you have two choices:
a) enter a global accident cost per accident figure
b) enter separately the cost per accident for:
- Fatalities
- Accident with injuries
- Accident with damage only.
In this case, we are entering the accident costs per accident
type.

Table 9.5 -

Note: Enter average cost per accident OR costs per accident type. If you enter all costs,
the model uses the costs per accident type and ignores the average cost per accident.
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e) Go to the Traffic worksheet and change the daily traffic for the dry and
wet seasons to the traffic of Table 6.

Table 9.6 - Case Study 1 Input Data
Control and Setup Worksheet
Road Identification Code CS1
Road Name Case Study 1
Traffic Worksheet
Dry and Wet Season Traffic

Car 45
Utility 225
Light Bus 27
Medium Bus 27
Heavy Bus 18
Light Truck 32
Medium Truck 45
Heavy Truck 32
Artic. Truck 0
Project Alter. Main Features Worksheet
Fixed Maintenance Costs (.000$/km/year)
Keep in Poor Condition 1.20
Keep in Fair Condition (Grading every 45) days 2.00
Upgrade to S.T. Standard 4.00
Upgrade to A.C. Standard 5.00

- Traffic growth rate is 4% for all vehicles during the first 10 years and
thereafter 3%;

- The price elasticity of demand is set to 0,5 implying that for one percent
reduction in road user costs there will be an increase of one half of 1% in
daily traffic, the added traffic representing the generated traffic;

- There are no induced traffic benefits due to economic development.

f) Go to the Multi-Criteria Indicators worksheet.

Note that the RED model stores the multi-criteria information for
future reference; the information is not used in the economic
evaluation.

g) Go to the Project Alter. Main Features worksheet and change the
required annual fixed maintenance costs (.000$/km/year) to the
following values.

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- The road is in a hilly terrain.
- The road length is 10 Km for all alternatives during the dry and wet
seasons.
- On some alternatives there are different roughness estimates for the dry and
wet seasons indicating the higher transport costs during the wet season.
- The investments needed to implement each alternative have been defined.
- The fixed financial maintenance costs needed to maintain the road at the
proposed condition over the evaluation period has been defined, for each
alternative.
- The optional variable financial maintenance costs (function of traffic) are
set to zero;
- No accident reduction benefits are being computed nor are benefits of
diverted traffic from an alternative road.

An engineer should estimate the required annual maintenance costs
for each road type and investment alternative (proposed level of
service).

h) Go to the Project Alter. Other Benefits worksheet.
Note that here you could add any other exogenous costs or benefits for
each alternative, which should be computed separately.

i) Go to the Project Alter. Solution worksheet to view the results.

In this case, the option of keeping the road as an unsealed road but in
good condition (alternative 2) still has the highest NPV, but notice that
the option of upgrading the road now also has a positive NPV and a
satisfactory rate of return.

Therefore, it could be implemented if it is required by other criteria.

Maybe the road agency does not have the capacity to maintain the road
in good condition with frequent gradings or maybe there is high
uncertainty that the road agency will maintain the unsealed road in
good condition.

Therefore, upgrading the road could be a better pragmatic option even
if it has a lower NPV.

The following table summarizes the results:

Keep in Poor Condition 1.20
Keep in Fair Condition (Grading every 45) days 2.00
Upgrade to S.T. Standard 4.00
Upgrade to A.C. Standard 5.00
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Net Present Value
0.000
0.100
0.200
0.300
0.400
0.500
0.600
0.700
0.00 0.20 0.40 0.60 0.80 1.00 1.20 1.40 1.60 1.80
PV of Economic Agency Costs (million $)
N
e
t

P
r
e
s
e
n
t

V
a
l
u
e

(
m
i
l
l
i
o
n

$
)

a
t

1
2
%

D
i
s
c
o
u
n
t

R
a
t
e
Gradings Every 60 Days Gradings Every 45 Days
Upgrade to Surface Treatment Standard Upgrade to Asphalt Concrete Standard

j) Go to the Graph. Net Present Value worksheet to view the following
graph comparing the project alternatives Net Present Value against the
Present Value of Agency Costs.

k) Go to the remaining worksheets to view the detailed results for each
alternative. You can view the following information for each project
alternative.
- Feasibility worksheet, which presents the main input data, the
traffic, the flows of net benefits, and the resulting economic
indicators.
- User Impacts worksheet, which presents the road user costs
savings.
Alternative
0
Alternative
1
Alternative
2
Alternative
3
Keep in Fair
Condition
Keep in Good
Condition
Upgrade to
S.T.
Upgrade to
Asphalt
Concrete
Standard
Net Present Value (million $) 0.000 0.315 0.654 0.295
Internal Rate of Return (%) #N/A 34% 22% 15%
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- Benefits Distribution worksheet, which presents the distribution of
the NPV.
- Sensitivity worksheet, which performs a sensitivity analysis of all
main inputs.
- Switching Values worksheet, which performs a switching values
analysis of all main inputs.

Note that to view the corresponding sensitivity analysis results and
switching values analysis results you have to press a button at the top of the
corresponding worksheet.

Go to the Alter. 3 Sensitivity worksheet.

- Press the button at the top of the spreadsheet to perform the
sensitivity analysis, of the upgrading alternative, for the twenty-one
most import input variables.

Note that on this worksheet you have the option of changing the
sensitivity factors, starting on cell G36, which in this case are set to
decrease the main inputs estimates by 25% and alternately increase the
main inputs estimates by 25%.

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Sensitivity: Upgrade to Asphalt Concrete Standard
Country Yemen Project Rural Access Program 1/1/2005
Road Case Study 1 Alternative Upgrade to Asphalt Concrete Standard
Alternatives Description Terrain Type Road Type Wet Season Duration
Without Project Gradings Every 60 Days B: Rolling Y: Gravel (days/year) 0
Project Upgrade to Asphalt Concrete Standard B: Rolling X: Paved
Dry Season Wet Season Car Goods Bus Bus Bus Truck Truck Truck Truck
Length Roughness Length Roughness Medium Vehicle Light Medium Heavy Light Medium Heavy Articulated
Alternatives (km) (IRI) (km) (IRI) Average Speeds (km/hr)
Without Project 10.0 10.0 0.0 0.0 62.0 60.8 58.1 57.0 56.3 54.8 56.4 56.6 50.1
Project 10.0 2.0 0.0 0.0 97.1 93.6 84.2 80.9 81.9 76.3 78.4 83.2 73.8
Traffic Composition in 2005 (%)
E. Investment E. Maintenance Accidents 10% 50% 6% 6% 4% 7% 10% 7% 0%
Alternatives (years) ('000$/km) ('000$/km/year) (#/m veh-km) Average Travel Time (hours)
Without Project 0 0.00 1.02 2.00 0:09 0:09 0:10 0:10 0:10 0:10 0:10 0:10 0:11
Project 1 127.50 4.25 1.00 0:06 0:06 0:07 0:07 0:07 0:07 0:07 0:07 0:08
Equivalent Modified Equivalent Modified
Net Internal Annual Internal Net Internal Annual Internal
Present Rate of Net Rate of Present Rate of Net Rate of
Multiplier Value Return Benefits Return Multiplier Value Return Benefits Return
Factor (million $) (%) ($/km) (%) Factor (million $) (%) ($/km) (%)
Base Case 0.295 15% 3526 13% 0.295 15% 3526 13%
Sensitivity Cases:
Normal Traffic (vpd) 0.75 -0.274 9% -3278 11% 1.25 0.247 15% 2951 13%
Normal Traffic Growth Rate (%) 0.75 -0.070 11% -838 12% 1.25 0.047 13% 562 12%
Generated Traffic (vpd) 0.75 -0.045 11% -540 12% 1.25 0.018 12% 213 12%
Induced Traffic (vpd) 0.75 -0.014 12% -164 12% 1.25 -0.014 12% -164 12%
Passenger Time Costs ($/hr) 0.75 -0.045 11% -536 12% 1.25 0.017 12% 209 12%
Cargo Time Costs ($/hr) 0.75 -0.014 12% -164 12% 1.25 -0.014 12% -164 12%
Wet Season Duration (days) 0.75 -0.014 12% -164 12% 1.25 -0.014 12% -164 12%
Without Project Dry Season Length (km) 0.75 -0.899 -2% -10749 5% 1.25 0.956 22% 11428 15%
Without Project Dry Season Roughness (IRI) 0.75 -0.359 7% -4296 10% 1.25 0.388 16% 4642 14%
Without Project Wet Season Length (km) 0.75 -0.014 12% -164 12% 1.25 -0.014 12% -164 12%
Without Project Wet Season Roughness (IRI) 0.75 -0.014 12% -164 12% 1.25 -0.014 12% -164 12%
Without Project Accidents Rate (#/m veh-km) 0.75 -0.051 11% -615 12% 1.25 0.024 12% 288 12%
Without Project Investment Costs (000$/km) 0.75 -0.014 12% -164 12% 1.25 -0.014 12% -164 12%
Without Project Maintenance Costs (000/km/yr) 0.75 -0.104 11% -1238 12% 1.25 0.076 13% 911 12%
Project Dry Season Road Length (km) 0.75 0.967 25% 15418 16% 1.25 -0.916 2% -8758 7%
Project Dry Season Roughness (IRI) 0.75 0.025 12% 296 12% 1.25 -0.054 11% -646 12%
Project Wet Season Road Length (km) 0.75 -0.014 12% -164 12% 1.25 -0.014 12% -164 12%
Project Wet Season Roughness (IRI) 0.75 -0.014 12% -164 12% 1.25 -0.014 12% -164 12%
Project Accidents Rate (#/m veh-km) 0.75 0.004 12% 43 12% 1.25 -0.031 12% -371 12%
Project Investment Costs (000$/km) 0.75 0.305 17% 3647 14% 1.25 -0.332 9% -3974 11%
Project Maintenance Costs (000/km/yr) 0.75 0.010 12% 117 12% 1.25 -0.037 12% -444 12%
The following table summarizes the sensitivity results obtained.

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l) Go to the Alter. 3 Switching Values worksheet
- Press the button at the top of the spreadsheet to perform the
switching values analysis, of the upgrading alternative, for the
twenty-one most important input variables.

9.5.2 Case Study 2: Paving a Gravel Road

The project road is a 10 kilometer two lane gravel road with 200 vehicles
per day, 60 percent trucks and buses with 3 percent growth rate, on a
rolling terrain. The road receives very good maintenance that consists of
grading every 60 days (approximately at the passage of 12,000 vehicles
with the current traffic) and regravelling every 5 years. This maintenance
policy yields a road with good passability all year and the estimated
average roughness over the evaluation period is equal to 10.0 IRI. RED
evaluates the following project-alternatives.

1. Improve even further the maintenance policy increasing the grading
frequency to one grading every 45 days and keeping the
regravelling interval of 5 years. In this case, the estimated average
roughness is 7.0 IRI.

2. Upgrade the road to surface treatment standard. In this case, the
estimated average roughness is 3.5 IRI.

3. Upgrade the road to asphalt concrete standard. In this case, the
estimated average roughness is 2.7 IRI.

In this case study, the level of service of each project-alternative is defined
by an estimated average roughness over the evaluation period. The
roughness estimates are done outside RED. Note that the duration of the
wet season (period with disrupted passability) is zero for all project-
alternatives.
The basic inputs are given on the table below.

Option 1 investment cost is for an initial rehabilitation and options 2 and 3
investment costs are for paving costs. Future annualized maintenance costs
needed to maintain the proposed levels of service are the following: (a) for
the without project case and option 1, the costs of routine maintenance and
regravelling every 5 years (fixed) and the costs of gradings (variable), (b)
for option 2, the costs of routine maintenance, patching and a future overlay
and (c) for option 3, only the costs of routine maintenance and
patching, because a future overlay will not be needed during the
analysis period. The estimates for the investment costs and the annualized
maintenance costs required for each project-alternative are done
outside RED based on local units costs and estimates of work
requirements and timing.
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Description
Without
Project
Project-
Option 1
Project-
Option 2
Project
Option 3
Grading
60 Days
Grading
45 Days
ST Road
Standard
AC Road
Standard
Terrain Rolling Rolling Rolling Rolling
Type Gravel Gravel Paved Paved
Average Roughness 10.0 7.0 3.0 2.0
Duration of the West Season
(days)
0 0 0 0
Investment duration (years) 0 1 1 1
Investment ($/km) 0 21,000 100,000 150,000
Maintenance costs:
Fixed ($/km/year) 5,000 5,000 5,200 1,500
Variable ($/km/year/ADT) 3 4 0 0
Accidents (#/100m veh-km) 200 200 100 100
Normal traffic (AADT) 200 200 200 200
Generated traffic due to
reduction in transport costs
(price elasticity of demand
for all vehicles)
1 1 1 1
Induced traffic due to
economic development
0 0 0 0
Diverted traffic from
Alternative route
0 0 0 0

The analysis assumes accident rates will reduce in half when paving occurs
due to an improved road geometry and road width. There are no induced
traffic due to economic development or diverted traffic from an alternative
road. The price elasticity of demand for transport is set to 1.0, for all
vehicles, meaning that a one percent decrease in transport costs yields a one
percent increase in generated traffic due to reduction in transport costs.
This means that RED will compute internally the generated traffic as a
function of the reduction of road user costs in relation to the without project
case road user costs.

Time saving are based on value of time of 1.0 USD per hour for cars
passengers and 0.5 USD per hour for bus passengers. Cars have an
occupancy of 3 persons and buses ranging from 10 to 40 persons. The
evaluation period is 20 years, discount rate is 12 percent and economic to
financial costs multiplier is 0.85. Note that the average roughness and
annualized maintenance needs over the evaluation period should be
consistent with the duration of the evaluation period. If a heavy
rehabilitation or investment will be needed in a future year, the
corresponding costs and resulting level of service should be included in the
estimates or the evaluation period should be reduced in order to not include
this future activity in the evaluation.

The following results show that options 1 and 2 yield a net present value
greater than zero while option 3 has a negative net present value, therefore,
option 3 is not economically justified at the given discount rate of 12
percent.

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The net present value is used to compare project-alternatives. Option 1 has
the highest net present value, therefore, this indicates that this is
economically the best option among the four options considered. What is
not evident is if this improved maintenance policy could be realistically
implemented during the next twenty years because it entails gradings every
45 days and is highly probable that the road agency will not have the
capacity to perform these frequent gradings under increased traffic. For
option 1, the sensitivity analysis shows that if proper maintenance is not
done and roughness becomes 25 percent higher than the estimate
(7.0*1.25=8.75 IRI), the rate of return drops from 23 to 8 percent, while for
the paving options the drop is much less under a 25 percent higher
roughness scenario, 14 to 13 percent and 12 to 11 percent respectively. The
sensitivity analysis also shows the high sensitivity of option 1 to future
maintenance costs. For option 1, if future maintenance costs are increased
by 25 percent, the rate of return reduces from 23 to 17 percent, while for
options 2 and 3 the reduction is only from 14 to 12 percent and from 12 to
12 percent respectively, indicating that the paving option economic
justification relies less on future maintenance costs. This indicates that
option 1 should be a recommended option only if there are assurances that
future maintenance could be properly implemented and that a major
increase in maintenance costs will not occur. If that is not the case, one
could recommend the surface treatment paving option 2.

The surface treatment paving option yields net present value of 0.097
million USD and a rate of return of 14 percent and under the sensitivity
scenarios the rate of return is reduced to a range from 9 to 13 percent
indicating that this option is marginally economically justified. The
analysis shows that the reduction in road user costs is on average 28
percent for all vehicles, therefore, the generated traffic is around 28 percent
of the normal traffic due to adopted price elasticity of 1.0. Note that if one
does not include generated traffic in the analysis (price elasticity equal to
zero), the rate of return reduces to 12 percent for the surface treatment
paving option. Induced traffic due to local economic development was not
considered in the analysis, but if, for example, one considers that
induced traffic representing 20 percent of normal traffic will materialize
after paving, the rate of return of the surface treatment paving option
increases to 15 percent indicating the importance of assessing the
induced traffic for projects that have a potential to induce economic
development in the project area of influence.
Description
Without
Project
Project-
Option 1
Project-
Option 2
Project
Option 3
Net present value 0 0.151 0.097 -0.014
(million $)
Internal rate of return (%) NA 23% 14% 12%
Internal rate of return
Sensitivity

- Normal traffic X 0.75 NA 17% 9% 9%
- Roughness X 1.25 NA 8% 13% 11%
- Investment costs X 1.25 NA 19% 10% 9%
- Maintenance costs X 1.25 NA 17% 12% 12%
- Price elasticity = 0 NA 22% 12% 10%
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To assess the assumptions made regarding the road condition with and
without the project, one can examine the following resulting speeds and
travel times.

Without
Project
Project
Option 2
Car speeds (km/hour) 62 94
Medium bus speeds (km/hour) 57 79
Heavy truck speeds (km/hour) 57 81
Car travel time (hours) 0:09 0:06
Medium bus travel time (hours) 0:10 0:07
Heavy truck travel time (hours) 0:10 0:07

If the resulting speeds and travel times are not realistic, one has the option
of entering as inputs to the model the speed of a reference vehicle to
characterize road condition. For example, if one considers that on this road
the average car speeds for the without project case is not realistic and in
reality cars are traveling on average at 60 km/hour, after changing the road
condition inputs from roughness to speeds of a reference vehicle (car) and
entering 60 km/hour as the car speed for the without project case, one
obtains an estimated road roughness without the project of 12 IRI and a rate
of return of 19 percent for the surface treatment paving option. This
indicates that for a proper calibration of the mode, care should be taken on
the estimates of road roughness or speeds.

A risk analysis for the surface treatment paving option (2) was done based
on the following assumptions:
1. The minimum possible normal traffic is 70 percent of the estimated
most likely value (200 ADT) and the maximum value is 130
percent.
2. The minimum possible generated traffic is 25 percent of the
estimated most likely value and the maximum value is 175 percent.
3. The minimum possible roughness without project is 70 percent of
the estimated most likely value (8.5 IRI) and the maximum value is
130 percent.
4. The minimum possible roughness after paving is 90 percent of the
estimated most likely value (3.5 IRI) and the maximum value is 110
percent.
5. The minimum possible paving cost is 85 percent of the estimated
most likely value (100,000 $/km) and the maximum value 135
percent.

This means that there is a very high uncertainty regarding the generated
traffic, high uncertainty regarding the normal traffic and the roughness of
the unpaved road, and some uncertainty regarding the roughness after
paving. In these cases, no bias on the estimates of the most likely values
was considered. On the other hand, the paving cost vary from 85 to 135
percent of the estimated most likely value indicating that there is 70 percent
probability (35/(15+35)) that the paving cost will be higher than the
estimated most likely value, implying a bias on the estimate of the most
likely value.
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For this case study, it was decided to evaluate 600 scenarios with
the Risk Analysis Module considering this number of scenarios
adequate to obtain smooth output probability distributions. After
executing the 600 what-if scenarios, the Risk Analysis Module presents the
resulting frequency distribution of the 600 net present values and 600
internal rates of return obtained from the analysis. The figure below
presents the resulting internal rate of return frequency distribution graph for
the surface treatment paving option.

The results of the risk analysis can be summarized by the following
statistics obtained analyzing the resulting frequency distribution:
1. The mean rate of return is 12 percent.
2. The standard deviation rate of return is 4 percent.
3. The probability that the rate of return is less than 12 percent is 44
percent.

One can compute the most likely rate of return, which is the 50 percent
percentile, which means that 50 percent of the computed what-if scenarios
have a rate of return lower than the most likely rate of return. In this case
study, the most likely rate of return is 12 percent.

One can also define a best-case scenario and a worst-case scenario. The
worst-case scenario is defined, for example in this case study, as the 25
percent percentile, which means that there is only a 25 percent probability
that the rate of return is lower than the worst case scenario rate of return.
Similarly, the best-case scenario is defined as the 75 percent percentile
indicating that there is only a 25 percent probability that the rate of return is
higher than the best-case scenario rate of return. In this case study, the best-
case scenario rate of return is 15 percent and the worst-case scenario rate of
return is 10 percent. The probability that the rate of return is less than 12
percent is 56 percent; therefore, there is a high risk that the project will not
be economically justified.

Note that the analysis did not take other benefits (and costs) into
consideration, such as induced traffic due to economic development,
benefits to non-motorized traffic or social services and environmental
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impacts, and compared the project with a good maintenance policy applied
to the gravel road. Therefore, a final decision should be made after
assessing if other net benefits are potentially present.

9.5.3 Case Study 3: Justifying Maintenance Expenditures

In this second case study, the project road is a 10 kilometer two lane earth
road with 40 vehicles per day, 60 percent trucks and buses with 3 percent
growth rate, on a rolling terrain. The road is in bad condition with average
cars speed of 45 km/hour during most of the year (dry season) and 35
km/hour during 30 days of the year (wet season) due to disrupted
passability. The road agency proposes to improve the level of service
by eliminating the critical days and increasing the average cars speed to
55 km/hour during all year. The basic inputs are given below.

Without
Project
Project-
Option 1
Terrain
Type
Rolling
Earth
Rolling
Earth
Base cars speed (km/hour) 45 55
Disrupted passability days (days) 30 0
Cars speed during disrupted passability 35 NA
days (km/hour)

The analysis does not consider accidents benefits, induced traffic due
to economic development, diverted traffic or other benefits. The analysis
period is 10 years, discount rate is 12 percent, economic to financial costs
multiplier is 0.85 and, for all vehicles, the price elasticity of demand is 1.0
(percent increase in traffic per percent decrease in transport cost).

In this case study, one enters the average speed of a reference vehicle (cars)
instead of roughness to characterize the condition of the road and RED
estimates the roughness of the road based on the average speed of the
reference vehicle. The estimated roughness as a function of cars speed is
given below.

Without
Project
Project-
Option 1
Base roughness (IRI) 13.8 10.3
Roughness during critical passability 17.6 NA
days (IRI)

Without project, the road agency annualized maintenance costs are
700$/km per year for routine maintenance and 1 grading per year. For
project-alternative 1, that provides an all weather road, the estimated road
agency annualized maintenance costs are 2,900$/km for routine
maintenance, two gradings per year, and regravelling every six years. Note
that in this case we are not separating the maintenance costs into a fixed
and variable components, all costs are considered fixed costs. In these
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circumstances, project-alternative 1 yields a negative net present value of -
0.04 million USD.

One can use the Main Economic Evaluation Module to evaluate the level of
maintenance expenditures economically justified to achieve the proposed
level of service by using the switching values analysis.

Using the switching values analysis of the maintenance costs, one finds that
the maximum annual maintenance expenditures economically justified to
achieve the proposed level of service is 2,200$/km per year. The results are
the following.

Project - Option 1
Maintenance costs ($/km/year) 2,900
Maintenance costs ($/km/year) that yield net present value
equal to zero
2,200

This means that that to achieve the level of service of 60 km/hour car
speeds all year, annual expenditures should not be more that 2,200$/km
per year for the given 40 vehicles per day, from an economic point of
view. The proposed expenditures (2,900$/km/year) are higher than the
estimated maximum economically allowable (2,200$/km/year), but the
agency proceeds with the implementing the project because the difference
(700$/km/year) is considered to be covered by the other social benefits not
included in the analysis based on the number of people that will be served
by the all weather road.

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9.6 CONCLUSIONS

RED is easy to use and requires limited number of input data requirements
consistent with the level of data likely to be available for the analysis of
low-volume roads in developing countries. The model can be used to
evaluate road investments and maintenance of low-volume roads and
estimate benefits accruing to motorized road users to which other benefits
or costs can be exogenously added. Particular attention was given to the
presentation of the results, with a view to highlight all input assumptions
and to comprehensively integrate them with sensitivity, switching values
and stochastic risk analyzes. This would assist the analyst in addressing
the high variability and uncertainty, which normally surrounds the
economic analysis of low-volume roads.

SECTION 10

ENVIRONMENTAL AND SOCIAL
ASSESSMENT

Section
10
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SECTION 10
ENVIRONMENTAL AND SOCIAL ASSESSMENT

TABLE OF CONTENTS

Page

10.1 Introduction.................................................................................................... 1

10.2 The Environmental Assessment (EA) .......................................................... 2
10.2.1 Objectives of EA .............................................................................................. 2
10.2.2 The Environmental and Social Management Process ..................................... 2
10.2.3 Managing the EA Process ................................................................................ 5

10.3 Environmental Assessment Planning ........................................................... 5
10.3.1 EA Stages ......................................................................................................... 5
10.3.2 Preparation of EA Project Terms of Reference ............................................... 6

10.4 EA and SFA Documentation......................................................................... 7

10.5 Environmental Assessment Methodology.................................................... 8

10.6 Environmental Impacts and EMP ............................................................. 12
10.6.1 Analysis of Potential Impacts ........................................................................ 12
10.6.2 The Environmental Management Plan (EMP) .............................................. 13

10.7 Using Maps in EA ........................................................................................ 23

10.8 Illustrated Examples on Environmental Impacts and Mitigation
Measures ....................................................................................................... 26
10.8.1 Impact on Soils .............................................................................................. 26
10.8.2 Impact on Water Resources ........................................................................... 34

10.9 Resettlement Policy Framework ................................................................ 40
10.9.1 Principles Governing Resettlement ............................................................... 41
10.9.2 Resettlement Plan Process ............................................................................. 41
10.9.3 Scope of Resettlement Plan ........................................................................... 43
10.9.4 Estimated Displacement and Categories of Displaced Persons ..................... 44
10.9.5 Eligibility ....................................................................................................... 45
10.9.6 Legal Framework ........................................................................................... 46
10.9.7 Methods for Valuing Assets .......................................................................... 46
10.9.8 Organizational Procedures and Funding for Delivery of Entitlements ......... 47
10.9.9 Implementation Processes ............................................................................. 47
10.9.10 Grievance Redress Mechanisms .................................................................... 47
10.9.11 Consultation Mechanisms .............................................................................. 48
10.9.12 Monitoring Arrangements ............................................................................. 48
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10.10 Natural Habitats Policy Framework .......................................................... 49
10.10.1 Principles and Objectives Governing Natural Habitats ................................. 49
10.10.2 Natural Habitats Assessments Process .......................................................... 51
10.10.3 Legal Framework ........................................................................................... 51
10.10.4 Implementation Procedures and Financing ................................................... 53
10.10.5 Consultation Procedures ................................................................................ 53

10.11 Cultural Resources Policy Framework ...................................................... 55
10.11.1 Principles and Objectives Governing Cultural Resources ............................. 55
10.11.2 Cultural Resource Assessments Process ........................................................ 55
10.11.3 Legal Framework ........................................................................................... 58
10.11.4 Implementation Procedures and Financing ................................................... 58
10.11.5 Consultation Procedures ................................................................................ 59

10.12 Socio-Economic Benefits of Road Projects ................................................ 60
10.12.1 Reduced Transport Costs ............................................................................... 60
10.12.2 Reduced Travel Times ................................................................................... 60
10.12.3 Improved Comfort and Safety ....................................................................... 60
10.12.4 Increased Mobility ......................................................................................... 60
10.12.5 Stimulus to Diversified Economic Development .......................................... 61
10.12.6 Improved Community Cohesion & Promote Intercommunity Cooperation . 61
10.12.7 Improved Accessibility to Social Services and Markets. .............................. 61

Appendices :
10A-1 Screening Report Table of Contents
10A-2 Environmental Assessment Report
10A-3 Environmental Checklist (Screening and EMP)
10A-4 Environmental Management Plan Summary
10A-5 Social Framework Agreement
10A-6 Public Consultations Format and Checklist

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SECTION 10
ENVIRONMENTAL AND SOCIAL ASSESSMENT

10.1 INTRODUCTION

Environmental impacts of road projects may include damage to sensitive
ecosystems, loss of productive agricultural lands, resettlement of people,
disruption of local economic activities, demographic change, accelerated
urbanization and introduction of disease. These call for comprehensive
environmental assessment (EA) studies to identify potential impacts and
options for minimizing them and to prepare and implement mitigation
plans. Projects limited to road rehabilitation, minor construction,
maintenance, traffic management and regulation generally involve lesser
environmental concerns and, therefore, do not require full scale EAs but do
require impact identification, mitigation and compliance monitoring and
documentation.

For rural roads, the main impacts usually relate to removal of productive
agricultural lands, opening up territory for resource harvesting, effect on
water quality and harvesting, erosion concerns, and biodiversity issues.

It is anticipated that under RAP, approximately 2,000 3,000 km of
intermediate and village access roads will be improved. Given that these
improvements will be dispersed among 20 Governorates, impacts are
expected to be localized and that there is a negligible risk of cumulative
negative impacts.

RAP has introduced, through a sector wide perspective, an operational
approach to systematically address environmental and social issues on rural
roads. As RAP expands its operations and becomes mainstreamed with the
Ministry of Public Works and Highways, these processes will serve as a
model for addressing such issues in the road sector in general.

This section provides a description of the methodology of designing and
implementing effective environmental and social assessments of road
projects as they apply to specific projects planned principally in a rural and
local community setting. This methodology is adapted from the RAP
Sectoral Environmental Assessment (SEA) Vols 1 and 2, and Roads and
the Environment Handbook of the World Bank. Appendix 10A contains
the formats of instruments and forms used by RAP for environmental and
social management planning, monitoring and reporting.

This approach provides for impact assessment methodology, standard
methods of mitigation to be adapted to individual projects and a procedural
framework for implementing the environmental and social management
process.

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10.2 THE ENVIRONMENTAL ASSESSMENT (EA)

A full environmental assessment involves a rigorous study of existing
conditions, an identification of impacts in relation to major baseline
resource categories (land resources, hydrology & water resources, air
quality & noise, biological resources and socio-economic and cultural
resources) and a comparative evaluation of impacts arising from the road
project alternatives.

EA is considered as an excellent preventive planning tool if it is
implemented early in the project development sequence as shown below.

10.2.1 Objectives of EA

The objectives of EA are:

(1) To provide decision makers with a clear assessment of potential
impacts arising from a project on the overall environmental quality.

(2) To apply to a project a methodology which assesses and predicts
impacts and provides:

a. The means for impact prevention and mitigation.
b. The enhancement of project benefits, and integrating the
project into the existing environment, and
c. The minimization of long-term impacts.

(3) To provide a forum for consultation with stakeholders to allow them
to have direct input to the environmental management process.

(4) To assess the applicability of safeguard policies regarding
resettlement, natural habitat and cultural resources.

10.2.2 The Environmental and Social Management Process

All roads implemented under RAP shall undergo an Environmental and
Social Management Process, in which candidate rural road projects are
screened to identify potential environmental and social issues and
determine whether safeguard policies should be triggered. This process is
shown in Figure 10.1A. The World Bank safeguard policies are listed in
Figure 10.1B.

Some roads financed under the program may involve various levels of land
acquisition or resettlement, or impact on natural habitats or cultural
resources. For such cases, three Policy Frameworks have been developed
and are incorporated into the EA process Resettlement Policy Framework,
Natural Habitats Policy Framework and Cultural Resources Framework.
Their application will be triggered if such conditions are identified during
road project screening.

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Figure 10.2 shows the EA process cycle for RAP road projects. This cycle
integrates biophysical, social and economic considerations in order to
develop a comprehensive EA for individual projects.

Source: RAP-SEA 2004.
Figure 10.1A Overview of RAP Environmental and Social Management Process

World Bank Safeguard Policies
1. Environmental Assessment 6. Involuntary Resettlement
2. Natural Habitats 7. Indigenous Peoples
3. Forests 8. Safety of Dams
4. Pest Management 9. Disputed Areas
5. Cultural Property 10. International Waterways
Figure 10.1B World Bank Safeguard Policies

Project Identification
Project Scoping & Screening
Applicability of Safeguard Policies
Project Categorization
(A,B,C)
Definition of appropriate studies in
conformance with Category and
applicable Safeguard Policies.
Project Design & Environmental
Assessment
Implementation of Assessment studies and
formulation of Environmental and Social
Management Plans and Social Framework
Agreement.
Project Implementation
Implementation of Environmental and
Social Management Plans during the
construction and operational periods.
RAP and Bank
Review and
Approval
RAP and Bank
Review and
Approval

RAP and Bank
Monitoring
Section 10 Environmental and Social Assessment
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- Impact Analysis
- Consultations
Contract specifications are needed for the implementation
of mitigative measures as part of the construction works.
They are also needed to ensure environmentally
acceptable road operation and maintenance. Supervision
staff should have some environmental training to ensure
that environmental clauses are respected.
1. EA PLANNING
6. O & M Monitoring
5. Post
Evaluation
4. EMP
Implementation &
Monitoring
2. EA, SFA, EMP
3. Environmental
Contract
Specifications
Figure 10.2 Road Project Environmental Assessment Cycle
- Basline Data
- Screening and Scoping
- Applicability of safeguard polices
- Environmental Categorization
- Incorporation of EMP in
Contract Documents
- Contracts Provisions
- Pre-tender conference
Environmental
Monitoring and reporting
during operation and
maintenance
Evaluation at project
completion for lessons
learned and feedback to
improve EA planning
and EA processes
Feedback to new
projects and to
environmental policy
management
- Impact Analysis
- Consultations
Contract specifications are needed for the implementation
of mitigative measures as part of the construction works.
They are also needed to ensure environmentally
acceptable road operation and maintenance. Supervision
staff should have some environmental training to ensure
that environmental clauses are respected.
1. EA PLANNING
6. O & M Monitoring
5. Post
Evaluation
4. EMP
Implementation &
Monitoring
2. EA, SFA, EMP
3. Environmental
Contract
Specifications
Figure 10.2 Road Project Environmental Assessment Cycle
- Basline Data
- Screening and Scoping
- Applicability of safeguard polices
- Environmental Categorization
- Incorporation of EMP in
Contract Documents
- Contracts Provisions
- Pre-tender conference
Environmental
Monitoring and reporting
during operation and
maintenance
Evaluation at project
completion for lessons
learned and feedback to
improve EA planning
and EA processes
Feedback to new
projects and to
environmental policy
management
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10.2.3 Managing the EA Process

The effectiveness of the EA process is dependent on the capacity of
management for taking decisions and appropriate actions throughout the
process. Typical management functions may include:
- Defining policies and objectives.
- Preparing terms of reference.
- Organizing teams for conducting EAs.
- Coordinating with other administrations (environment, agriculture,
planning) and clarifying responsibilities.
- Developing and enforcing regulations.
- Defining priorities.
- Organizing public consultations and participatory processes.
- Implementing mitigation plans.
- Developing methods and operational tools for environmental
awareness at policy, program and project levels.
- Organizing training and information campaigns.

RAPCMO through its Environmental and Social Unit (E & SU) is
responsible for managing the Environmental and Social Management
process (SESMP). This includes:
- Screening of all projects.
- EA Planning.
- Review and approval of EA, ESMP, and SFA for all projects.
- Review and approval of special safeguard reports.
- Review of RE monthly reports during construction, or during
operation and maintenance phases.
- Liaison with community.
- Monitoring of socio-economic impact indicators.

10.3 ENVIRONMENTAL ASSESSMENT PLANNING

10.3.1 EA Stages

A sound EA process has two stages:

- Planning stage, corresponding to the early phases of the project
covering project concept, pre-feasibility and feasibility studies. At
this stage general environmental impacts from alternative solutions
to a road transportation problem are identified and compared,
resulting in the selection of an environmentally acceptable project
option.

The planning stage involves screening and scoping activities,
geared at an early determination of the potential magnitude of
impacts and the depth of study required. Its objectives include:

Identifying the preferred solution to the transportation
problem (for new projects).
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Establishing broad boundaries for the project.
Identifying the scope of work required and thus the category
of EA to be applied.
Identifying triggers to the appropriate policy framework:
- Resettlement Policy Framework.
- Natural Habitat Policy Framework.
- Cultural Resources Framework.

Early planning is valuable in flagging serious environmental issues,
reducing EA cost, and helping to win early public acceptance of
project needs.

- EA stage, corresponding to the project design level, where the
optimal design is selected in terms of alignment, grade, median
type, etc The EA stage is implemented as one of the following
categories discussed below:
- Category A projects EA: Full EA.
- Category B projects EA: Limited EA.

10.3.2 Preparation of EA Project Terms of Reference

The Terms of Reference (TOR) provide specific guidance on what actions
to be taken and in what sequence.

The TOR are improved by early screening and scoping of potential
impacts. The TOR usually include:
- Definition of the project.
- Project setting and regulatory context.
- Scope of work and management issues.

A generic TOR table of contents is given in Box 10.1.
Box 10.1
GENERIC TABLE OF CONTENTS FOR EA TERMS OF REFERENCE
1.0 Summary
2.0 The Project and Setting 4.0 Consultant Team
2.1 The Project Objectives and Need 5.0 Schedule
2.2 Review of Parallel Studies 6.0 Other information
2.3 Relevant Institutional, Legal and Policy Setting 7.0 Work Plan and Allocation of Resources
2.4 EA Requirements (including laws) 8.0 Reporting and Report Production
2.5 The Project Location and Region 9.0 Other Deliverables
2.6 Potential Environmental Impacts 10.0 Budget
2.7 EA Management and Protocol
3.0 Scope of work
- Description of the Proposed Project
- Description of the Environment (natural and social)
- Legislative and Regulatory Considerations
- Determination of Potential Impacts (natural and social environment)
- Analysis of Alternatives
- Public Consultation Program
- Development of an Environment Management Plan (including mitigation & monitoring)

Adapted from: IADB, 1996.

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10.4 EA AND SFA DOCUMENTATION

The EA report represents the output of the EA process. Its function is to
provide decision-makers with information regarding the environmental
issues, impacts, and remedial options for a particular project or road
program. This information can be used in an integrated evaluation of
project options and consequences; taking account of costs (construction and
maintenance), access and transport objectives (transport efficiency, safety,
economic development), and impacts on the natural and social
environment.

Two types of EA reports are prepared corresponding to the two stages of
the EA process:

1. Screening Report prepared at the planning stage. Its contents are
shown in Appendix 10A-1.

2. EA Report prepared during the EA stage corresponding to the
design phase of the project cycle. Its contents are shown in
Appendix 10A-2.

An environmental checklist for screening and EMP is shown in Appendix
10A-3.

The EA Report will include an Environmental Management Plan which
summarizes the impacts, mitigation measures and responsibilities. The
format of summary table is given in Appendix 10A-4.

Other documents include:

- Social Framework Agreement (SFA) which, addresses the
environmental and social issues of the project to achieve optimal or
minimum impact design alternatives and bears approval by the
Beneficiary Committee of all planned environmental and social
mitigation measures. The format of SFA is shown in Appendix
10A-5.

- Public Consultations documentation in accordance with the format
and checklist shown in Appendix 10A-6.

- Monitoring Reports by the RE during construction stage and by
maintenance contractors during operation and maintenance stages.

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10.5 ENVIRONMENTAL ASSESSMENT METHODOLOGY

The main steps in the EA process are:

1. EA planning.

2. Performing EA, formulating SFA and carrying out consultations
and developing and Environmental Management Plan (EMP).

3. Setting Environmental Contract Specifications.

4. EMP Implementation and Monitoring.

5. Post Construction Evaluation.

6. Operation and Maintenance Environmental Monitoring.

The Environmental and Social Management Process should be tied in
closely with various phases and activities of the project cycle, and thus
incorporate environmental and social consideration into the overall process
of rural roads planning, design and implementation as shown in Figure
10.3.

Chart 10.1 shows the Environmental and Social Management Process
Methodology for RAP road projects.

The level of detail, rigor and comprehensiveness of an EA depends on the
type of project addressed. In many cases a limited environmental analysis is
appropriate. Such studies focus on specific impacts and their mitigation.
The screening, scoping and consultation tasks are normally used to define
the level of appropriate studies in conformance with category and
applicable safeguard policies.

It should be noted that, for the most part, projects are expected to keep
within existing alignments and the screening and design activities are
geared towards avoiding or minimizing effects on land holdings and
buildings, physical cultural resources or natural habitats.

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EA
Phases
EA Planning:
Project
Identification and
Project Concept
Preliminary and
Final Design
Project Tendering
Execution
Project Management
and Supervision
Project Completion
and Post Evaluation
Operation and
Maintenance
Project Cycle
Processes
Project Phases
O & M Construction Project Preparation and Design
Planning,
Pre-feasibility and
Feasibility Studies
-Scoping and
Screening
-Identification of
issues and
applicable
safeguards policies.
-Categorization
-Action plan
CMO - E&S Unit
Responsibilities
EA ,SFA &
Consultations
-Draft EA
-Draft SFA
-Women
consultations
-Disclosure of draft
EA and SFA to
communities
-Signing of Final
SFA
-Final version of EA
Consultant /
CMO - E&S Unit
Environmental
Contract
Specification
-Incorporation of
General Safety ,
Health and
Environmental
Regulations
including EMP into
contract documents
-Pre-tender briefing
CMO - E&S unit /
Consultant ,Districts
&Communities
Implementation and
Monitoring
-EMP
implementation
-Compliance
monitoring and
reporting on
environmental and
social mitigation
measures
Consultant /
CMO - E&S Unit
Post Evaluation
-Compliance
summary
-Unanticipated
impacts
-Lessons learned
Contractors
CMO - E&S Unit ,RE
&Local Community
O & M Monitoring
-Compliance
monitoring and
reporting on
environmental and
social mitigation
measures
Contractors
CMO - E&S Unit RE
&Local Community
EA
Activities
Figure 10.3 - Integration of Environmental and Social Management Process in the Project Cycle

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Chart 10.1 Environmental and Social Management Process Methodology
1. EA Planning
Framework, as part of the overall EA. Projects
whose proposed alignment pass through or are
adjacent to any non-critical habitat may be
Category A or B, depending on its relative location
and extent of anticipated impacts, but in either case,
a qualified consultant will be recruited to carry out
the detailed impact assessment and EMP.

Cultural Resources. Projects whose proposed
alignment runs through or is adjacent to any
physical cultural resources shall trigger the
application of the Cultural Resources Policy
Framework, but may be placed in Environmental
Category A or B, depending on the relative location
and extent of anticipated impacts. In either case, a
qualified specialist will be recruited to carry out the
impact assessment and EMP, in collaboration with
GOAMM.
te, or compensate for adverse impacts and
improve environmental performance.
The instrument of this policy approach is the SFA.
The SFA will bear evidence of the approval, by the
Beneficiary Committee, of all planned
environmental and social mitigation and
enhancement measures. It also provides a
framework for addressing unforeseen
environmental and social issues that may arise
during final design and implementation. If
applicable, the affected individual holders, as well
as the legal representatives of the collective
holders, of affected land rights and business
activities will be signatories of the compensation
transactions annexed to the SFA. The signing of
the SFA is a pre-condition for the final approval
and funding of each road project, and will be
attached to each EMP. The SFA will follow a
standard format provided in Appendix 10A-5.

1.1 Screening and scoping
Scoping and screening will consist of identifying,
for each potential project, the major issues, the
appropriate environmental category, and
establishing a plan for appropriate environmental
assessment (EA) studies. It will also serve to
heighten awareness of these issues among
stakeholders and initiates the participatory
planning process. Scoping will rely on baseline
data drawn from documents, interviews, air
photographs, satellite images and maps,
supplemented by on-site inspection and initial
stakeholder consultations. All Screening Reports
will follow a standard layout, presented in
Appendix 10A-1.

2.1 Category A Projects EA

For roads classified as Category A, the project
will carry out a full Environmental Assessment
and any additional Safeguard Plans triggered.
The Environmental Assessment and any
Safeguard Plans will be carried out by
independent experts, in conjunction with the
preparation of the design. This will enable the
incorporation of adequate mitigation measures
into the final design, as well as affording a
review and approval of these measures and other
Safeguards Policy Plans (such as Resettlement
Plan, Cultural Resources Plan or Natural Habitats
Plan) If triggered, these Plans will follow the
standard procedures defined in their respective
Policy Frameworks. The format of EA Report is
shown in Appendix 10.A.

1.3 Environmental Categorization

Each potential project will be categorized to
determine the appropriate extent and type of EA,
based on the particular characteristics of the road.
Because of the nature of road projects, roads will
be categorized into one of two categories:
Category A: A proposed project is classified as
Category A if it is likely to have significant adverse
environmental impacts that are sensitive, diverse,
or unprecedented. These impacts may affect an area
broader than the sites or facilities subject to
physical works. EA for a Category A project
examines the project's potential negative and
positive environmental impacts, compares them
with those of feasible alternatives (including the
"without project" situation), and recommends any
measures. needed to prevent, minimize, mitigate, or
compensate for adverse impacts and improve
environmental performance.
Category B: A proposed project is classified as
Category B if its potential adverse environmental
impacts on human populations or environmentally
important areas - including wetlands, forests,
grasslands, and other natural habitats-are less
adverse than those of Category A projects. These
impacts are site-specific; few if any of them are
irreversible; and in most cases mitigatory measures
can be designed more readily than for Category A
projects. The scope of EA for a Category B project
may vary from project to project, but it is narrower
than that of Category A EA. Like Category A EA,
it examines the project's potential negative and
positive environmental impacts and recommends
any measures needed to prevent, minimize, mitiga-

2.4 Consultations and Disclosure of
Information

As part of the EA process, on-site consultations
shall be undertaken with a range of agencies and
stakeholders for each rural access road to be
financed under the Program. The draft SFA for
each road shall be made available in Arabic and
English for public review before being finalized.
Appendix 10A-6 shows a format for public
consultations.
1.2 Applicability of safeguard policies

If, during initial screening or implementation, it is
determined that a sub-project has issues related to
(i) permanent land acquisition or resettlement; (ii)
impact on natural habitats; or (iii) cultural
resources, this will trigger the appropriate Policy
Framework developed for this purpose. These are:
Resettlement Policy Framework (Section 10.5)
Natural Habitats Policy Framework; (Section
10.10)
Cultural Resources Framework (Section 10.11).
Automatic Triggers for Categorization:
Resettlement. Projects involving major
resettlement impacts (i.e. more than 200 affected
persons) shall automatically be placed under
environmental screening Category A and will
require a Full Resettlement Plan as defined in the
Resettlement Policy Framework. Projects with
less than 200 affected persons shall be placed
under Category B and will require an Abbreviated
Resettlement Plan, also as defined in the
Resettlement Policy Framework..
Natural Habitats. Projects whose proposed
road alignment passes through, or is adjacent to,
any of the declared, proposed declared
protected areas in Yemen, (Section 10.10), shall
automatically be placed in Environmental
Category A and will require the recruitment of a
qualified consultant to carry out a detailed impact
assessment and Environmental Management Plan
(EMP), as defined in the Natural Habitats Policy

2.5 Women Consultations

Separate consultations shall be held to to solicit
womens view on the proposed projects and
incorporate their concerns into the Environmental
Management Plan (EMP) and the Social
Framework Agreement (SFA).

2.2Category B Projects EA

For roads classified as Category B, the project
will carry out an abbreviated Environmental
Assessment, in conjunction with the design
consultant. The general format of the Category B
Environmental Assessment Report will follow
the same as that of Category A projects, with
appropriate levels of detail.

2.6 Environmental Management Plan
(EMP)

Each road specific EA will also include an
Environmental Management Plan, which
summarizes the impacts, mitigation measures and
responsibilities for environmental and social
impacts associated with the road. It will be
summarized in a table, which will be an adaptation
of the EMP table presented in Appendix 10A-4.

2.3 SFA

During the preparation of the Environmental
Assessment and Environmental Management
Plan, the Government will assist the beneficiary
communities to address jointly the environmental
and social issues of the project and achieve
optimal, or minimum-impact, design alternatives.
2. Environmental
Assessments (EA), Social
Framework Agreements
(SFA) and Consultations
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Chart 10.1 Environmental and Social Management Process Methodology (Continued)
3. Environmental Contract
Specification

These briefings will outline the general
requirements in the General Conditions of
Contract and the General Health and
Environmental Regulations, as well as road specific
provisions in the tender documents and contracts,
as laid out in the Contract Data.

4.4 Role of RAPCMO (E & SU)
Review and evaluation of Resident Engineers
Monthly Reports on Contractors compliance
with general and specific environmental
contract clauses.
Review and evaluation of special monitoring
reports related to Resettlement Plans, Natural
Habitat Plans or Cultural Resources Plans, in
collaboration with the Ministry of Water and
Environment or GOAMM.
The E&SU shall maintain a dossier for each
project road. This dossier will include:
Initial requests for support and all ensuing
correspondence
Screening Report and all attachments
Draft and Final EA, EMP and SFA
Records of all consultations at Governorate and
local levels
Copies of Special Reports, such as
Resettlement Plans, Natural Habitats Plans or
Cultural Resources Plans, when applicable.
Monthly RE reports of compliance with EMP.
The EMP for each road will include a checklist
of impacts and mitigation measures for that road.
This will be based on the generic Environmental
and Social Management Plan Table at the end of
this Chapter and will be attached to the Resident
Engineers Reports.

5.3 Evaluation and Lessons Learned

After mitigative measures are implemented, effects
monitoring or evaluation can test the validity of
hypotheses formulated in the environmental
impact study; they can also determine if the
mitigative measures have achieved their expected
results.
Evaluation is necessary not only for individual
projects, but also to advance methodology, assist
in designing future studies, and through lessons
learned contribute to the relevance and cost-
effectiveness of environmental protection
measures.
Responsibility for corrective action to be taken in
the event of mitigation failure should be defined
clearly.

3.1 Incorporation of EMP into
Contract Documents

Contract specifications are needed for the
implementation of mitigative measures as part of
the construction works, such as re-vegetation,
construction traffic management and clean up of
work sites. They are also needed to ensure
environmentally acceptable road operation and
maintenance. Supervision staff should have some
environmental training to ensure that
environmental clauses are respected

4. Implementation of Environmental
and Social Management Plans

4.1 EMP Implementation

Implementation of mitigative measures is often the
weakest link in the environmental management
process and requires special attention from
managers. The environmental assessment study
should identify plans for works supervision, future
environmental monitoring, and evaluation studies.
This assures continuity between design and
construction and helps ensure full implementation
of the environmental management plan.

6. O&M Monitoring
3.2 Contract Provisions

General contract clauses related to construction
and maintenance operations are specified in the
RAP Standard Bidding Documents and Works
Contracts, Volume II General Specifications and
Regulations. Under General Regulations is
included (I) General Safety, Health &
Environment Regulations and (II) Other
Regulations and Requirements. Section (I)
includes the following relevant subsections:
(I) Safety, Health & Environment General
Regulations
1. Introduction
2. Compliance with Regulations
3. Failure to Comply with Regulations
4. General Requirements
5. Safety Requirements
6. Environmental and Health Requirements
7. Additional Requirements in Public Areas
8. Contractors Site Checklist

6.1 Operations Monitoring

After the construction phase, environmental
monitoring must be continued. Some mitigative
measures, such as drainage systems and erosion-
preventive plantings, require regular maintenance
for correct operation, and monitoring is necessary
to ensure their continued effectiveness.

4.2 Compliance Monitoring

During construction, all mitigative measures
designed to reduce the impact of the construction
activities should be monitored and enforced by the
RE.
Compliance monitoring should not be confined to
the road right-of-way, but should cover all sites
affected by the project, including borrow pits,
quarries, disposal sites, waterway diversions,
materials treatment areas, access roads, and work
camps.

5. Post Construction
Evaluation
6.2 Indirect and Long-Term Impacts

Indirect impacts (also known as secondary,
tertiary, and chain impacts) are usually linked
closely with the project, and may have more
profound consequences on the environment than
direct impacts. Indirect impacts are more difficult
to measure, but can ultimately be more important.
Over time they can affect larger geographical areas
of the environment than anticipated. Examples
include degradation of surface water quality by the
erosion of land cleared as a result of a new road.
Environmental impacts should be considered not
only as they pertain to road rights-of-way, but also
to sites associated with the road project, which
include deposit and borrow sites, materials
treatment areas, quarries, access roads, and
facilities provided for project workers. These off-
ROW areas are often where indirect impacts
appear.

5.1 Compliance Summary

A summary of the contractors compliance with
items addressing environmental and social
impact mitigation for each road shall be
prepared. This summary shall be based on the
monthly or quarterly reports prepared by the RE.

4.3 Role of the Resident Engineer (RE)

During construction, the Resident Engineer (RE)
will be responsible for monitoring the Contractors
compliance with all contract clauses addressing
environmental and social impact mitigation, to be
carried out under the purview of the General
Safety, Health and Environmental Regulations. For
this purpose, the RE will refer to the project-
specific EMP and report on such compliance in his
monthly reports.

3.3 Pre-tender Conference

To ensure full understanding of the above clauses
by the contractors, all pre-qualified contractors
will attend a Pre-Tender Conference, where they
will be briefed on their responsibilities to address
environmental, social, health and safety issues.

5.2 Unanticipated Impacts
Identification of unforeseen and unanticipated
environmental and social issues that arise during
final design and construction stages.

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10.6 ENVIRONMENTAL IMPACTS AND EMP

10.6.1 Analysis of Potential Impacts

Environmental impact analysis consists of comparing the expected changes
in the biophysical and socioeconomic environment with and without the
project. For each type of potential impact or environmental concern, the
analysis should predict the nature and significance of the expected impacts
(some may be quantitative, others qualitative), or explain why no
significant impact is anticipated.

In determining the significance of impacts the following nine conditions are
addressed:

i) predicted exceedence of established criteria or standards;
ii) duration of the exceedence in relation to key species life cycles and
requirements for population maintenance;
iii) geographic extent of an effect;
iv) resilience of the environment in which the predicted effect is to take
place (i.e. capacity for self-repair- as with tidal flushing);
v) cumulative nature of the impact;
vi) community tolerance of the impacts, and preferences in relation to
the costs and benefits of the project; and
vii) need for involuntary resettlement.
viii) need for the protection of natural habitat.
ix) need for the protection of physical cultural resources.

Potential impacts of rural road projects are assessed in relation to the major
baseline resource components, and as they may occur during the design /
construction, and the operational (post-construction and maintenance)
phases of projects. These resource components have to do with the
biophysical and social components of the environment that are of value in
the project area. These valued ecosystem components (VECs) can be
ecological, social, economic, or cultural.

The resource components or VECs are classified into five classes:

1. Land Resources
2. Hydrology and Water Resources
3. Air Quality and Noise
4. Biological Resources
5. Socio-Economic and Cultural Resources

Impact analysis involves identifying how and to what extent the proposed
project would affect each category or component. This is best determined
by identifying the environmental indicators for each category or component
which would be sensitive to project-induced impacts and could provide
indications of potential impact extent, duration and severity.

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10.6.2 The Environmental Management Plan (EMP)

The EMP is probably the most important output from the EA process. The
EMP is the synthesis of all proposed mitigative and monitoring actions, set
to a timeline with specific responsibility assigned and follow-up actions
defined. It consists of the information one would normally obtain when
undertaking the work described in this methodology, and is defined as a set
of implementable tasks with specific assignments for the proponent, the
consultant, the contractor, and the regulatory agency all within a specified
time period. A well-designed EMP addresses issues related both to the
design / construction and operation phases of a project; it includes:

a list of all project-related activities and impacts, organized by
development stage (planning, construction, and operation), and by
resource category;
the agencies involved and their responsibilities;
specific remedial and monitoring measures presented for:
- design / construction period activities and impacts by resource
category;
- operational period activities and impacts;
a clear reporting schedule, including discussion of what to submit, to
whom, and when; and
cost estimates and sources of funding for both one-time costs and
recurring expenses for EMP implementation.

For RAP road projects, the EMP consists of standard mitigation measures
to be adapted to each individual road and institutional arrangements for
ensuring consistent implementation of the environmental and social
management processes.

Appendix 10A-4 shows an EMP table which provides an overall summary
of mitigation measures and responsibilities.

Standard mitigation measures have been developed by RAP-SEA to
address potential environmental impacts as they may occur on individual
road projects during design / construction and the operational (post-
construction / maintenance) phases.

Tables 10.1 and 10.2 show the potential environmental impacts of rural
road projects and mitigation measures during design/construction phase and
operations phase respectively.

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TABLE 10.1: POTENTIAL ENVIRONMENTAL IMPACTS OF RURAL ROAD PROJECTS AND
MITIGATION MEASURES DURING DESIGN / CONSTRUCTION PHASE
Impact Mitigation
1. CONSTRUCTION PHASE
1.1 Land Resources
1.1.1 Site survey investigations

Site surveys and investigations are required for proper design of the
roads. While the impacts of some of these activities, such as
topographic surveys, are negligible, involving only access to lands,
others, such as geotechnical investigations, may have more direct
negative impacts, since they involve excavation of soils and rocks,
drilling of boreholes etc.

Outside the right of way, the Contractor shall locate and select sites
needed for the site compound, quarries and borrow sites, geotechnical
investigations, road diversions, haulage roads, etc. These shall be
identified so as to minimize environmental damage or disruption to
current agricultural or other activities, and will be subject to approval by
the Resident Engineer (RE) and the Beneficiary Committee.

1.1.2 Permanent Land Acquisition

Permanent land acquisition can arise from unavoidable needs to: (i)
widen the existing alignment; (ii) adjust existing alignment or create a
new alignment to improve maneuverability or visibility; or (iii) establish
disposal sites for cut material or surplus fill. In many cases, minor
alignment adjustments are inevitable for safety or technical reasons, and
must be carried out with prior approval of land owners under the
auspices of the Beneficiary Committee. For major alignment
adjustments requiring land taking, the RAP approach is to first seek
avoidance, through narrower design widths and the introduction of
pinch points, as well as alignment modifications that minimize land
taking needs. However, where avoidance is not possible, a Resettlement
Plan will be prepared, in accordance with the RAP Resettlement Policy
Framework. (See Section 10.9)

Traditionally, rural roads designs in Yemen have featured a roadbed of 8
meter width, with a road surface 6 meters wide and shoulders of 1.0
meter on each side. In the case of mountain roads, this design requires
rather deep cuts into the mountainside to achieve the design width of the
roadbed, leading to the erosion of exposed slope surfaces and often to
slides of slopes onto the road. In addition, such road widths can lead to
land taking through populated or agricultural areas, which is difficult to
justify, given the volume of traffic on these roads. Narrower road widths
provide more economically justified investments and reduce the need for
land taking or excessive excavations.

Based on pilot operations in Phase I, the RAP roads shall include
narrower road platforms, which reduce the need for land taking and cut if
required to reach width. In addition, pinch points (limited narrowing of
the road at selected locations) shall be introduced, so as to avoid or
minimize land taking, resettlement or interference with utilities.

In cases where land taking is unavoidable by the above measures, the
Resettlement Policy Framework will apply.

1.1.3 Temporary Land Acquisition

Temporary land acquisition during construction is required for: (i)
establishing the contractors site compound; (ii) temporary roads for
traffic diversion; and (iii) haul roads to shuttle to/from borrow pits and
quarries. Despite the very local nature of these activities, they affect
local lands; in particular, the establishment of the site compound
involves a temporary change in land use, and diversions and haul roads
may adversely affect terraces or other agricultural lands.

The Contractor shall plan and place the site compound and all road
diversions and haulage routes in collaboration with the RE and
Beneficiary Committee, with an aim to minimize effects on agricultural,
residential or other lands or commercial or community purpose
1.1.4 Slope Stabilization
Perhaps the most important issue in vertical alignment design is the
avoidance of landslides where slopes are unstable and particularly to
ensure that lands down slope are not adversely affected. Lack of slope
stabilization measures can cause damage to agricultural land or
endanger people and property. Slope stabilization is a particularly
important issue in mountainous areas. (See Box 10.3)
Slope stabilization or protection measures, such as retaining walls,
protection barriers, terracing or mesh gabion works, shall be introduced
as appropriate, particularly in mountainous areas characterized by steep,
unstable slopes above and below the roads. (See Section 10.8.1.2)

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Impact Mitigation
1.1.5 Management of Contractors Site Compound
Site compounds are required to establish administrative and residential
accommodation, plant and installations, workshops, garages, storage
space and other facilities required for road construction. They generally
include workers living and eating areas, and the grounds where
equipment is stored and serviced and where materials are stockpiled.
Negative effects on land resources can include pollution from
inadequate sanitation, disposal of solid and liquid waste and leakage of
spills from petroleum products, paving or other construction materials.
Site compounds also tend to generate small shops and services, which
could give rise to shanty type settlements and concomitant sanitation
and waste disposal issues.
The Contractors site compound shall include adequate living and
sanitation facilities for the workers, including an approved plan for solid
and liquid waste disposal. The Contractor shall also have an approved
management and safety plan for storage of equipment, petroleum
products, paving materials, etc., so as to minimize risk of spillage or
leakage, as well as safety and emergency response procedures. At the
end or the contract period, the Contractor shall leave the site compound
in a clean and rehabilitated condition to the satisfaction of the RE and the
Beneficiary Committee.
1.1.6 Controlled disposal of materials and surplus fill
minimize impact on agricultural land and terraces
When spoil material from road excavation or surplus fill is dumped
along the side of the road, it can kill or damage vegetation, contribute to
erosion and slope stability problems and destroy terraces or other
agricultural land. Large amounts of spoil or cut materials are usually
generated in mountainous terrain. In view of the pervasiveness of
terraced agriculture in Yemen, potential damage to terraces is a
particularly important impact.
Disposal of excavated materials, removed debris and demolished
structural materials shall be transported to dumping locations approved
by the RE, and authorization for dumping shall be secured by from the
landowners, the Beneficiary Committee and/or relevant government
authority. The Contractor shall avoid dumping excavated materials onto
adjacent farmlands or terraces. Where such impacts are unavoidable or
occur inadvertently, agreement for compensatory measures will be
reached with the land owners under the auspices of the SFA and
1.1.7 Recovery of Borrow Pits and Quarry Areas
Borrow pits and quarry areas involve land excavation and/or blasting,
and the opening of new sites involves a change in land use. Potential
negative impacts include chronic erosion and siltation, dangerous areas,
as well as permanent visual and aesthetic intrusion.
All borrow pits and quarry areas shall be rehabilitated to the satisfaction
of the RE and in conjunction with the Beneficiary Committee. Measures
include: (i) full reinstatement of the area to its original use; (ii)
development of revised use, such as livestock watering areas; or (iii)
protection for future borrow operations during maintenance or other road
construction.
1.2 Hydrology and Water Resources
1.2.1 Sourcing of Construction Water
During construction, water is required for consumption at site
compounds and for physical works. The water has to be taken from
surface flows or extracted from deep aquifers. Surface water may not
be available for all rural projects in the country (or part of it)
depending on project location. Where surface or piped water is
particularly scarce, gaining agreement to access to available
resources may be problematic. Any attempt by a contractor to
access waters without prior approval of local communities, can
cause social tensions because it may interfere with the pattern of
locally established use of water. Extracting indiscriminately from the
deep aquifer beyond safe levels of annual recharge may lead to the
aggravation of the present water crisis, which is particularly acute in the
Western Highland part of the country.
The Contractor shall obtain access authorization for use of water
resources and address any local concerns for excessive draw-down on
the water table or surface water supplies.
1.2.2 Avoidance of Surface or Groundwater Pollution
During the construction period, surface and groundwater resources may
be polluted by uncontrolled disposal of camp sites liquid and solid
wastes, uncontrolled disposal of construction waste water; and spillage
of diesel, oil, grease or asphalt machines. (See figure 10.13)
The Contractor shall take appropriate measures to avoid pollution to
ground or surface water supplies through measures such as those shown
in Section 10.8.2.3.
1.2.3 Flood Protection in the Wadis
The construction of road embankments could alter seasonal water flow
patterns especially in mountain areas and within the wadis. This could
bring about: (i) additional erosion within the wadis; and/or (ii) a
disruption of the traditional water harvesting practices to the farms on
mountain areas. This risk is to be addressed through proper hydrological
assessment and avoided as much as possible through appropriate
engineering design measures and through local consultations to avoid
potential disruption of water harvesting practices and potential social
tensions.
Design of roads located in, or adjacent to wadis shall include appropriate
hydrological analyses as an input to defining the alignment and design of
the platform and drainage structures. Alignments shall be placed so as to
minimize interference with flows and reduce impact on the road
platform.

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Impact Mitigation
Adverse impacts may be experienced where road works will physically
modify channel characteristics by narrowing available flow channels
and/or modifying or diverting main flow patterns. However, new
channels would be expected to be designed in such a way to quickly re-
establish new equilibrium and as such effects are unlikely to be
significant over the long term. Short-term damage may however be
considerable. (Figure 10.11)

On flatter lands with more gentle relief, wadi channels are wider and it
is less likely that significant modification to channels and hence flow
patterns will be generated; however, care must be also taken when the
road would intercept or divert existing flows.
In many mountainous areas, road and track access has been a
traditionally via wadi floors. The EA and design studies must pay
particular attention in assessing whether to maintain the existing
alignment in wadi floors or follow an alternative upstream alignment
avoiding the wadis. Possible adverse impacts can be mitigated in many
cases by upstream water harvesting systems and downstream water
management systems which in the former case serve to reduce flow
volumes and velocities and in the latter to provide effective management
of downstream flow. Elsewhere the characteristics of wadis in
mountainous and rolling terrain suggests that significant difficulties
would be experienced and considerable care must be taken to establish
the preferred design option for each site on a case by case basis.
1.2.4 Alteration of Water Harvesting Patterns and Incorporation of Practice
into Design
Local farmers often construct simple water harvesting structures on the
road surface, similar to speed-bumps, to channel runoff water to their
terraced fields below the roads. This action also tends to protect the road
by slowing down runoffs and draining water off the road, thereby
reducing road surface degradations and maintenance requirements. Such
traditional practices need to be taken account in the design of the project
roads. Even where only minor changes in road level and flow patterns
are proposed, such changes may reduce rates of water harvesting,
modify the allocation of harvested water and affect system operational
efficiencies.
All designs shall take into account current water harvesting practices as
they relate to the road. During road construction, the contractor shall
adopt measures to avoid damage to the drainage networks and protect
existing water harvesting channels to ensure the normal feeding of
irrigation systems. Temporary channels and pipes shall be used if the
works are conducted during the rainy season, minimizing interference
with both channeled and un-channeled or diffused runoff.
1.2.5 Reduce Cross Drainage and Scour Effects
If new fill is not adequately compacted, a large number of scour
points can be created on the road edge and also on the fill slope
edge. Uncorrected, these scour points will eventually erode the
roadbed. Remedial treatment will therefore be required. This
situation may be found in areas where newly cut roads will create
new catchments and associated water collection and discharge
features. These are potentially very high-energy channels. (see
Figure 10.14)
The design shall provide: appropriate drainage design; use of culverts,
Irish crossings, protection walls, riprap, side drainage ditches and outlets;
tree planting.
Hydrological analyses shall be carried out to predict and design
appropriate measures to mitigate such effects, such as, culverts, Irish
crossings, protection walls, riprap, side drainage ditches and outlets, tree
or vegetation plantings, terracing and soil conservation measures.
1.2.6 Discharge to Adjacent Lands
Uncontrolled discharge to loose materials will lead to rapid creation
of a deeply incised scour channels, widespread erosion, increased
slope instability and large-scale movement of materials down slope.
These materials will cover and destroy any downslope features in their
path. Of particular concern are effects on: (i) new fills; (ii) unstable
slopes; (iii) channels in a stack; (iv) graveyards; (v); agriculture terraces
and (vi) other sensitive areas or structures. (See Section 10.8.2.2.iv)
The design shall take account of needs to prevent or minimize discharge
to adjacent areas, especially those prone to erosion, as well as graveyards
and other structures.
1.3 Air Quality and Noise
1.3.1 Limit Dust & Potential Pollutants from Construction Machinery, Stored
Material & Spoil Heaps
During rural road construction, dust and particulate concentrations may
be dispersed in the air especially during dry months and on windy days.
This will be generated mainly by excavation of soils, blasting and
crushing of rocks and transport of soils to/from sites. Dust pollution
may also disturb local wildlife especially in the vicinity of protected
areas. However, these adverse impacts will be felt only in the vicinity,
of a work areas, unsurfaced access corridors and materials stockpiles.
The Contractor shall take all necessary measures to limit pollution from
dust and any wind blown materials during the works. Measures include:
(i) Utilize water spraying during operation on sections within 500 m
of settlements or crops.
(ii) Trucks leaving the site are properly covered to prevent discharge
of dust, rocks, sand, etc.
(iii) Crushers and other equipment conform to relevant dust emission
control.
Stored materials and heaps should preferably be located away from
communities and farmlands; or materials should be covered and fugitive
dust should be effectively controlled during delivery.

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Impact Mitigation
1.3.2 Limit Smoke from Burning of Waste Materials
Air pollution during the construction period may take place as
consequence of the burning of waste materials.
As part of the rubbish removal system, the Contractor shall be prohibited
from burning of waste material.
1.3.3 Noise Control
Heavy machines, plants and construction traffic will make vibration and
noise. The nuisance will be transient and good work practice should
curb it. Noise nuisance may disturb local wildlife especially in the
vicinity of protected areas.
The Contractor shall adopt the best practicable means of minimizing
noise during construction. For any particular job, the quietest available
plant/and or machinery shall be used. Equipment such as compressors,
percussion tools and vehicles shall be fitted with silencers. Pneumatic
drills and other noisy equipment shall not be used during days of rest or
after normal working hours without the consent of the RE and
1.4 Biological Resources
1.4.1 Environmental Management Plans for Critical or Non-critical Habitats
The improvement of roads located adjacent to, or within, any of the 36
important ecological sensitive areas in Yemen or other identified
sensitive areas can result in significant conversion or degradation of
natural habitats or critical natural habitats. The location of any potential
project road adjacent to or within natural habitats or critical natural
habitats as described in Section 10.10 will trigger the RAPs Natural
Habitat Policy Framework.

If any proposed road passes through, or is adjacent to: (i) any declared
or proposed declared protected area; or (ii) any natural habitat not
declared or proposed declared, but is locally known as a sensitive
natural habitat, it will trigger the RAP Natural Habitat Policy
Framework. In such case, scoping and screening will include an initial
assessment to determine whether project impacts can be avoided or
minimized through design measures or post-development restoration.
These may include such measures as: (a) realignment to avoid the natural
habitat; (b) mitigation measures to minimize ecological damage; (c) post
development restoration works; or (d) avoidance through the no-project
alternative. If the only feasible alternative would involve establishing
and maintaining an ecologically similar protected area, the no-project
alternative will be chosen, as this would fall outside the Programs
scope. Should options (a) or (b) be selected, the Natural Habitat Policy
Framework outlines the procedures to be followed, which will be carried
out in conjunction with the Ministry of Water and Environment (MWE).
1.4.2 Damage to Biological Resources during Construction
Loss of small brush and trees along the roads may occur during
construction. This impact is generally considered minor, except when it
involves productive, ancient or other trees or vegetation considered
important by the local community. Construction activities may also
interfere with bird nests or small animal dens located in verges, quarries
or borrow areas.
The Contractor shall take all necessary measures to identify and
minimize potential impacts of construction equipment on flora or fauna
resources, such as:
(i) Realignment, or establishment of pinch points to avoid destruction
of productive, ancient or other trees or vegetation identified during
screening; and
(ii) Avoidance or restoration of known or chance finds of small animal
habitats, such as nests or dens destroyed by construction activities.
1.4.3 Damage to Biological Resources by Construction Workers
During the construction and maintenance periods death of wild animals
can be caused by poaching or wanton cutting of trees and mangroves for
fuel wood by construction workers.
As part of his employee management policy, the Contractor shall forbid
animal poaching or wanton cutting of trees by construction workers.
Measures in this regard include strict employment rules and sanctions
regarding such practices. Utilization of gas for cooking is recommended
as a disincentive for cutting of trees.
1.5 Socio-Economic and Cultural Resources
1.5.1 Tribal Tensions
The social order in most parts of rural Yemen is still organized
according to the tribal system. This includes a social hierarchy, which
gives a commanding position to local tribal leaders who, in some cases,
do not hesitate to stop by force the implementation of a larger
Government project if they feel that it does not seem to benefit them
directly. Overall, competition for scarce Government resources involves
competition between tribes to obtain basic services from the
Government or from donors. This often results in tensions and
occasional clashes about the location of infrastructure improvements,
such as the alignment of a rural road going through the territories of
various tribes.
Project screening will identify any potential tribal tensions along a
proposed road. During initial consultations, it shall be made clear to
tribal leaders that resolution of such issues, under the auspices of the
Governor, is a prerequisite for project implementation. The Social
Framework Agreement (SFA) will lay out these agreements for each
rural road sub-project to ensure consensus among the tribes living along
the roads on the organization and achievement of the road improvement,
road alignments and distribution of project benefits.

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Impact Mitigation
Potential issues that could give rise to social tensions, include the
distribution of project benefits, in particular employment opportunities,
and the allocation of benefits and costs associated with the acquisition
and purchase of raw materials. Clearly, if during this process,
communities feel that they have been specifically denied from potential
benefits or have borne a disproportionate share of the costs burden and
that others have been favoured, there is potential for tribal rivalries to
intensify.

1.5.2 Land Acquisition and Resettlement
Road improvements during the first phase of the RAP occurred on
existing right-of-way only. In addition, the road designs feature a
reduction of the typical width of rural roads as part of the upgrading.
During Phase I of the program, the risk of land acquisition has therefore
been low. Nevertheless, during phases II and III of RAP, project roads
may at times require permanent acquisition of lands and/or structures,
particularly when unavoidable for technical and/or safety reasons. In
these cases, the RAP Resettlement Policy Framework will be triggered,
which defines the extent of impacts (minor impacts defined as fewer
than 200 affected persons; and major impacts defined as more than
200 affected persons), and distinguishes impacts related to land assets
(either productive or unproductive) and houses and other structural
assets, involving infrastructure for shelter or productive/income
generating activities, such as shops.
The scoping and screening process will identify potential requirements
for land acquisition or resettlement and the extent of affected persons.
The screening will also determine whether such impacts can be avoided
or minimized through design measures. These may include such
measures as reducing the design standard at the contentious location
(pinch points) or leaving the contentious section as is, in agreement
with affected people. If these impacts cannot be avoided through such
measures, the Resettlement Policy Framework will be triggered, and the
project will follow the procedures outlined in that Resettlement Policy
Framework. If the project is included in the Program, a stand-alone
Resettlement Plan (Full, in the case of major impacts more that 200
affected persons; or Abbreviated, in the case of minor impacts less
than 200 affected persons) will be prepared prior to commencement of
project implementation. This Plan will be established in coordination
with the Beneficiary Committee and referred to in the Social Framework
Agreement (SFA).
1.5.3 Precautionary Measures for Utility Services
Project works may interfere with utility services, such as telephone
lines, electric lines, water or sewage pipes, canals and wells, when these
services lie in or adjacent to the right of way.
Precautionary measures shall be taken to avoid interference with utilities
such as telephone and power lines, and water and sewage pipelines.
Services falling within the right of way shall be relocated in
collaboration with the relevant agencies, the RE and the Beneficiary
Committee.
1.5.4 Publish Health and Safety at Construction Site
The health and safety of the workers and of communities surrounding
rural roads may be affected during the construction period due to:
The risk of accidents for workers and the public arising from the
use of construction vehicles and machinery, blasting, the creation
of excavated areas and detour roads, the working on steep slopes
and the risk of falling rock or excavated material in mountainous
areas; and
The health risks to workers and the community arising from
potentially unsanitary conditions at site compounds and the
increased risk of communicable and sexually transmitted diseases.
The Contractor shall take all necessary action to comply with the
General Safety, Health and Environment Regulations. Mitigation
measures shall be taken in respect of:
Reducing construction site risks to the workers and the public
safety rules for work operations shall be instituted by the Contractor,
including, but not limited to; location of plant (crushers, asphalt plants,
generators) away from sensitive locations (hospitals, schools, etc.),
equipment operation procedures, safety barriers, warning signs,
protective hard hats, shoes and clothing for the workers, first aid and
medical kits and procedures, and safety training for the workers.
Reducing health risks from compound living conditions and
interaction with the community employee rules and information
campaigns shall be instituted by the Contractor on health practices and
communicable diseases; awareness raising meetings with the
community; all regulations shall be clearly displayed in Arabic and
English.
1.5.5 Road Safety and Traffic Management Measures
In some mountainous (and possibly other areas) the terrain, diversions
around construction works may not be practicable. In these
circumstances it will be necessary to close the road to public access for
certain periods with consequent adverse social and economic impacts on
communities on both sides of the closure.
The Contractor will install and maintain warnings to guide detour users
and avoid collision with construction vehicles between work sites and
gravel pits. Detours will be carefully planned and drivers using
unfamiliar detours assisted with manual regulation of traffic. Speed
restrictions shall be introduced along detour roads. Road closures, where
unavoidable, shall be planned in close collaboration with the RE and the
1.5.6 Graveyards and Burials
Graveyards and burial plots occur commonly along roadsides in Yemen
and they could be adversely affected by rural roads works either
through: (i) physical intrusion into the graveyard; or (ii) excessive
drainage from the road onto the graveyard, causing flooding.
Where graveyards or burial plots are located adjacent to the roads, the
project will avoid disturbance through: (i) pinch points or adjustments to
alignments; and/or (ii) drainage and other design measures to avoid
excessive runoff or erosion onto the graveyard or burial. If unrecorded
graveyards or burials are found during the course of construction, the
following procedures will apply:

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(i) As soon as graveyards or burials are discovered, the Contractor
must report to the RE, who will inform RAP CMO and the
Beneficiary Committee. Consultations with local religious
authorities and communities will be carried out for possible
identification of remains and agreed solutions (i.e., road deviations
or re-alignments)
(ii) If deviations or realignments are impossible, the RAP CMO will
agree with the Beneficiary Committee and local religious
authorities a proper relocation and procedures for reburial of the
remains.
1.5.7 Archeological and Historic Sites-Cultural Resource Assessments and
Management Plans
Proposed road projects that affect directly, or are adjacent to, known
physical cultural resources can have an adverse affect through: (i)
physical damage or intrusion from construction; or (ii) secondary affects
from increased traffic or induced development.
The scoping and screening process will identify potential impacts on
known cultural resources. If such impacts are identified, scoping and
screening will include an initial assessment to determine whether these
impacts can be avoided or minimized through design measures. These
may include such measures as: (a) realignment or road narrowing to
avoid the physical cultural resource identified; or (b) avoidance through
the no-project alternative. If, following consultations, the project remains
a candidate to be included in the Program, the Cultural Resources Policy
Framework will be triggered, and the project will follow the procedures
outlined in the Cultural Resources Policy Framework. The assessment of
the impacted physical cultural property and mitigation measures will
form an integral part of the project EA (including EMP) and will be
carried out in coordination with the General Organization for Antiquities,
Museums and Manuscripts (GOAMM).
1.5.8 Use of Archeological chance find Procedures
Even when known physical cultural resources have not been identified,
there is still a chance that during the course of construction physical
cultural heritage can be discovered.
The Contract Data will contain procedures for archeological chance
finds during the course of construction activities. The Government
(Ministry of Culture) will make available (on demand) a qualified
archaeologist to conduct field investigations when important search work
and new materials sites are opened. The archaeologist would be paid by
RAP CMO and be attached temporarily to the construction manager's
team and provided with logistical support when necessary. (See Section
10.11.4 for chance finds procedure)
1.5.9 Gender Considerations
Separate consultations with women generally reveal a number of
gender-related concerns, such as the potential adverse impact a road
improvement can have on travel patterns for collecting water, going to
market and safety concerns for children.
Gender-related concerns identified during the womens consultations
will, as appropriate, be incorporated into road designs. Such design
measures may include pathways and steps to facilitate daily activities, as
well as safety measures, such as speed bumps or signs, near schools or
populated areas. In addition, safety issues and responsibilities will be
mentioned in the SFA, and safety information campaigns will be
introduced.
1.5.10 Employment
Proportionate to the investment of each sub-project, employment
opportunities will be generated as a result of the rural roads
implementation. Normally the labour component of rural access roads is
quite high, 30-40% depending on the need of drainage protection works
and type of road surfacing used. The employment opportunities will be
created for skilled, semiskilled and unskilled labourers by:
The construction of site compounds;
The road works themselves; and
Security arrangements.
While most of the skilled labourers may come from other parts of the
country, the opportunities for semi-skilled and unskilled sections of the
workforce will be mainly available by local communities.
Consultations held during Phase I or RAP revealed that local
communities do not insist on employment on road works rather than
participating in certain activities, such as security arrangements for
equipment and stonework. The Social Framework Agreements of each
rural road sub-project will define the mechanisms to maximize the
benefits and ensure that local populations are the beneficiaries. The
arrangements must be, as much as possible, realistic and must take into
account the social and tribal context of each road. The job opportunities
created for workers along each particular road section will also have the
advantage of social harmony between the workers and local
communities.
Mechanisms for maximizing local employment benefits will be
discussed during initial consultations and specified in the SFA.
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TABLE 10.2: POTENTIAL ENVIRONMENTAL IMPACTS OF RURAL ROAD PROJECTS AND
MITIGATION MEASURES DURING OPERATIONS PHASE
Impact Mitigation
2. OPERATIONS PHASE
2.1 Land Resources
2.1.1 Slope Stabilization Maintenance and Monitoring
During operations, there is a continuing danger of instability of upslope
areas, which could lead to landslides or rockslides, posing a hazard to
traffic on the roads and downslope people and agricultural lands, and
leading to erosion.
Protection and stabilization measures carried out on steep upslope and
downslope areas shall be regularly maintained and monitored as part of
maintenance operations. Additional measures may be instituted where
necessary, in collaboration with the Beneficiary Committee.
2.1.2 Agriculture Land or Terrace Damage during Maintenance
Terrace or agricultural land destruction can occur during maintenance
operations, either from uncontrolled disposal of cut and fill or
interference from maintenance machinery or other operations. On
paved roads, however the cut and fill operations during maintenance
will be limited.
The Maintenance Contractor shall take care to avoid damage to terraces
and agricultural lands during any cut and fill, haulage or other machine
operations.
2.1.3 Maintenance Contractor Site Compounds, Materials and Equipment
Storage
Maintenance compounds will be less extensive than those during
construction. Nevertheless, the maintenance contractors may, from time
to time, establish administrative and residential accommodation, plant
and installations, workshops, garages, storage space and other facilities.
They generally include workers living and eating areas, and the
grounds where equipment is stored and serviced and where materials
are stockpiled. Negative effects on land resources can include pollution
from inadequate sanitation, disposal of solid and liquid waste and
leakage of spills from petroleum products, paving or other construction
materials. Site compounds also tend to generate small shops and
services, which could give rise to shanty type settlements and
concomitant sanitation and waste disposal issues.
To the extent that the Maintenance Contractor establishes such facilities,
the site compound shall include adequate living and sanitation facilities
for the workers, including an approved plan for solid and liquid waste
disposal. The Maintenance Contractor shall also have an approved
management and safety plan for storage of equipment, petroleum
products, paving materials, etc., so as to minimize risk of spillage or
leakage, as well as safety and emergency response procedures. At the
end or the contract period, the Maintenance Contractor shall leave the
site compound in a clean and rehabilitated condition to the satisfaction of
the RE and the Beneficiary Committee.
2.1.4 Management of Induced Development
Construction of rural roads may bring induced development, such as
shops, petrol stations and new houses. This may occur at intersections
or involve an extension of the villages along the road. Development of
these fringe areas is facilitated by movement of people from rural areas
in search of work. This induced development can bring about a change
in land use and result in stress on basic resources, such as water supply,
wastewater disposal, solid waste disposal etc.
The effects of induced development, such as uncontrolled settlements at
intersections, increased litter or increased cutting of trees, shall be
addressed by the Beneficiary Committee and District authorities, who are
responsible for controlling land use in the project area. Such issues shall
be raised and agreed during the preparation of the SFA.
2.2 Hydrology and Water Resources
2.2.1 Water Harvesting
During the operational period, water harvesting structures may
deteriorate, or undergo unforeseen damage by heavy storms.
Water harvesting measures instituted during construction shall be
maintained and monitored during maintenance operations. Additional
measures may be instituted where necessary, in collaboration with the
local farmers and Beneficiary Committee.
2.2.2 Maintain Cross Drains/Culverts
Cuts and fills may contribute to the sedimentation of surface water
reservoirs (such as dams and weirs) and wadi beds due to the
transportation of sediments after storms or floods.
Regular cleaning of cross drains, culverts and other drainage structures
shall be carried out as part of maintenance operations, in collaboration
with the Beneficiary Committee.
2.2.3 Maintain Road Protection and Other Structures
Where new horizontal road sections have been constructed, nick
points may be created where the ground level of small channels
crossing the road has been raised. This typically occurs on sections
running across wadi side slopes. Each nick point is subject to scour
and will rapidly erode the road bed, particularly if the new fill is
unconsolidated or poorly consolidated.
Regular maintenance of retaining structures, such as walls, gabions,
riprap, etc. will be carried out as part of maintenance operations, in
collaboration with the Beneficiary Committee.
2.2.4 Clearing of Hazardous Waste from Accidents
Surface or groundwater pollution may occur from routine spillage or
leakage from vehicles using the road, or from overturned trucks bearing
petroleum or other hazardous materials. This is not considered a major
threat, since the quantity of routine leakage is not expected to have a
major impact.
The community shall be made aware of the need for timely clean up of
spillage of hazardous waste resulting from accidents.
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2.3 Air Quality and Noise
2.3.1 Air Pollution and Air Quality Measures
Increased traffic could result in higher concentrations of carbon dioxide,
carbon monoxide, hydrocarbons and dust particles. However, given the
expected level of traffic and dispersed rural locations of the roads, air
pollution is not expected to significantly increase as a result of the
project. Moreover, upgrading of earth roads to paved standard will
reduce the amount of dust generated by traffic, would be a positive
environmental impact.
Expected increases in traffic levels are not anticipated to be so high as to
bring about significant air pollution on individual roads. Smoother and
less dusty roads and the use of smaller lighter vehicles will promote less
dust and will likely result in lower emissions. Outside the purview of
this project, measures to lower overall emissions in the country are strict
enforcement of vehicle quality standards and the conversion to unleaded
petrol.
2.3.2 Noise Reduction Measures
Increased traffic could bring about increased noise levels, which could
disturb local residences, hospitals, schools or wildlife. Given anticipated
traffic levels, this impact is considered to be relatively low, except
where roads impact on hospitals or identified sensitive habitats.
Noise impacts are not expected to be a serious issue, given the levels of
traffic and dispersed nature of the rural road investments. In particularly
sensitive areas, design measures to address noise may be introduced in
collaboration with the Beneficiary Committee, involving for example
signs near hospitals or schools, or concrete or vegetation barriers if
practical.
2.4 Biological Resources
2.4.1 Induced Development and Impacts on Flora and Fauna
Induced development as a result of improved access may contribute to
increased and unsustainable pressure on the areas biological resources,
such as increased wood cutting for firewood, timber and charcoal,
increased grazing.
During the operational period, road accidents may kill wild animals
utilizing verge habitats or crossing the roads. Movement of vehicles
may also impact the domesticated animals, as they may become liable
to accidents. Collisions between traffic vehicles and animals are also an
important traffic safety issue.
Potential induced impacts, such as increased wood cutting or grazing,
shall be addressed through community awareness and relevant programs
implemented by government agencies, such as the Ministry of
Agriculture, and NGOs. The risk of increased road kills of wildlife or
domestic livestock shall be addressed through the maintenance of speed
reduction measures at appropriate locations. Such measures shall be
maintained, monitored and, if necessary adapted to actual experience.
2.5 Socio-Economic and Cultural
2.5.1 Increased Accidents and Accident Reduction Measures
During operations, higher speeds induced by better driving conditions
may raise accident rates, particularly among children.
To reduce road accidents and fatalities resulting from increased traffic
and speed, speed humps and vertical and horizontal signs shall be
maintained during the operational period. Pedestrian safety, in particular
the threat posed to women and children by higher standard roads, shall
be addressed through mitigation measures such as for pedestrian
crossings and walkways to schools, water sources, etc., where practical.
In collaboration with the Beneficiary Committee, safety awareness
campaigns shall be carried out, and such campaigns will be specified in
the SFA. Target groups include: drivers and students of primary and
secondary schools. Implementation and monitoring responsibilities will
belong to traffic police, schoolteachers, NGOs, assisted by the RAP
CMO and Ministry of Transport and Highways.
2.5.2 Public Health and Safety during Maintenance
Although not occurring at the same intensity as the construction period,
maintenance activities will still entail similar basic health and safety
concerns for the workers and their interaction with the community.
To the extent relevant, the Maintenance Contractor shall take all
necessary action to comply with the General Safety, Health and
Environment Regulations. Mitigation measures shall be taken in respect
of:
Reducing construction site risks to the workers and the public
safety rules for work operations shall be instituted by the Contractor,
including, but not limited to; location of plant (crushers, asphalt plants,
generators) away from sensitive locations (hospitals, schools, etc.),
equipment operation procedures, safety barriers, warning signs,
protective hard hats, shoes and clothing for the workers, first aid and
medical kits and procedures, and safety training for the workers.
Reducing health risks from compound living conditions and
interaction with the community employee rules and information
campaigns shall be instituted by the Contractor on health practices and
communicable diseases; awareness raising meetings with the
community; all regulations shall be clearly displayed in Arabic and
English.

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2.5.3 Socio-Economic Benefits
Numerous socio-economic benefits are expected to occur following the
road improvements. These are discussed in Section 10.12 and include:
- Reduced Transport Costs.
- Reduced Travel Times.
- Improved comfort and safety.
- Increased mobility
- Stimulus to Diversified Economic Development.
- Improved community cohesion and promote intercommunity
cooperation.
- Improved accessibility to social services and markets.
The RAP CMO, through the E&SU, will monitor selected socio-
economic impacts of the rural road investments. This will be done
through baseline and follow up surveys for each RAP road, which will
focus on travel time and cost to markets and social and administrative
services, as well as the price of various transport-sensitive basic
commodities.

2.5.4 Cultural Resources Chance Find Procedures
As many of the countrys antiquities are unrecorded, it is possible that
during construction such cultural resources may be discovered during
excavation of other works. In such cases, standard procedures for
minimizing damage to these resources need to be put in place.
The Contract Data for maintenance contracts will contain the same
procedures for archaeological chance finds as those defined in the
construction contracts. These are described in Section 10.11 below, as
well as the Cultural Resources Policy Framework.

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10.7 USING MAPS IN EA

Good maps are of great use to EA practitioners and should be employed at
all stages of the EA process. They are indispensable in visualizing the
spatial relationships between impact sources and recipients, while
comparing maps of different dates can be useful in determining changes
and trends over time. Typical map scales are shown in Table 10.3:

Maps may be of several types, including:

- General Maps : Contain information on roads, buildings, vegetation and
topography. They are practical in terms of placing a
proposed road in its environment and defining places of
conflict. Such maps are useful during the initial scoping as
well as throughout the remaining EA steps.

- Thematic Maps : Focus on a specific topic or theme such as a vegetation
map which can draw attention to fragile ecosystems,
(mangroves or forests), or a hydrogeology map which can
reveal the presence of vulnerable groundwater in the
vicinity of a proposed road project. Map overlays can be
used to identify environmental constraints covering such
topics as:
- Water
- Electricity
- Severance / clearing
- Settlements
- Noise
- Health
- Poverty
- Visual
- Historic sites
- Ecological sites
A composite map can be used to highlight environmental
sensitivities (Figure 10.4).

- Presentation Maps : Used to disseminate information and stimulate discussion
during consultation sessions. Impact studies often use
sensitivity maps and constraint maps which identify
impact on sensitivities caused by the project. VECs can
also be mapped.

- Synthesis Maps : Combine key environmental themes and are used for the
critical phases of the environmental study. They are used
to describe the initial status of the local environment to
describe the impacts and comparison of alternatives and
define compensation and resettlement actions.

Figure 10.4 shows an example of a synthesis map which combines key
environmental themes.
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TABLE 10.3 EXAMPLES OF THE USE OF MAPS IN EA
AND SUGGESTED OPTIMAL SCALES
Environmental intervention

Role of information, use and optimal map scale
Screening

Basic maps at scale 1:100 000
Scoping Maps presenting the main factors for environmental study.
Scale 1:100 000

Environmental Assessment Report
or Environmental Impact Statement
Detailed thematic impacts and synthesis maps showing key
issues.
Scales 1:75 000 1:100 000

Environmental Evaluation Updating of data, confirmation of models, confirmation of
impacts.
Scale 1:50 000

Environmental Monitoring Cartographic comparison of initial state, actual and expected
impacts.
Scale 1:50 000

Summary of suggested scales Type of data being mapped

1:500 000 to 1:100 000 Useful at preliminary study stage for presentation of:
main population centers
important roads and infrastructure
main relief features
main hydrological network

1:100 000 to 1:10 000 Of interest at feasibility study stage for presentation of:
type of housing (scattered, grouped)
relief symbolized by contour lines
main and secondary hydrographic network with watering
places and water supply.

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Figure 10.4 Map Showing Environmental Sensitivity

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10.8 ILLUSTRATED EXAMPLES ON ENVIRONMENTAL IMPACTS
AND MITIGATION MEASURES

The emphasis of this manual is primarily on avoiding and mitigating
negative impacts, which should be a high priority in all road projects.
Environmental impacts sometimes have both positive and negative effects;
some impacts can positively affect some people and negatively affect
others in the same environment. For example, rechannelling streams as part
of road construction might improve drainage for a roadside farmer, but
wreak havoc on the livelihood of others who depend on the aquatic species
disturbed by the rechannelling.

Positive outcomes that occur as a result of project completion typically
include improved access, reduced travel time and cost, and perhaps
reductions in accidents or noise. Other positive outcomes can be designed
into a project, for example, improving water retention for local use, flood
control (see Box 10.6).

10.8.1 Impact on Soils

Damage occurring to soils have diverse impacts. These include farmers
losing crops and land, fishers losing income because of sedimentation in
rivers and lakes, and road users being delayed when road embankments or
structures collapse. The costs of correcting these problems are often many
times greater than the costs of simple preventive measures. Soil-related
impacts also involve impacts on water, flora and fauna and of construction,
rehabilitation and maintenance activities.

10.8.1.1 Manifestations of Impacts

BOX 10.2
Enhancing Water Management Through Innovative Road Design

In dry climates, millions of liters of rainwater are lost through conventional road drainage designs,
which treat runoff as a nuisance, not as a resource to be captured. In a survey conducted by the World
Bank, it was established that simple small-scale water retention structures along large and small rural
roads could make a significant difference to water supplies during the dry periods. The study identified
three basic types of structures along roads that, with minor modifications, could become retention
areas, with water useable for agricultural purposes. These were:

i) standard stormwater catchbasins deepened and with controlled drainage added;
ii) various forms of check-dams or fords, to slow drainage, creating ponding; and
iii) various other damming devices, such as sluice gates, raised box culverts and dams.

A study resulted in the preparation of a general design manual to assist engineers in planning for the
inclusion of such structural modifications during the design of the roadway.

An important cautionary note: such retention structures should be avoided in high use corridors, since
the runoff water may be contaminated with heavy metals and oil. Such waters are not potable by people
or animals, can contaminate leafy vegetables, and, if stored in deep basins, can contaminate
groundwater aquifers.

Source: Lantran, 1995.

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(1) Erosion

When natural conditions are modified by the construction of a road,
it marks the start of a race between the appearance of erosion and
the growth of vegetation. Disturbance during construction can upset
the often delicate balance between stabilizing factors, such as
vegetation, and others which seek to destabilize, such as running
water. In some cases erosion might result in cumulative impacts far
beyond the road itself, affecting slopes, streams, rivers, and dams at
some distance from the initial impact.

Potential erosion problems are most likely to arise where:

a) water flows are more concentrated than before the existence
of the road project,
b) the road crosses watercourses,
c) cut or fill slopes are steeper than previous natural slopes, and
d) cleared areas are left unplanted.

Figure 10.5 Cumulative I mpacts: The Example of a Stream
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(2) Destabilization of Slopes

Slope stability can be upset by the creation of road cuts or
embankments. Excessive steepness of cut slopes, deficiency of
drainage, modification of water flows, and excessive slope loading
can result in landslides (see Box 10.3).

(3) Side-tipping of spoil materials

Sometimes it is difficult to design for balances between cut and fill
at each location and haulage to disposal sites may be expensive.
This creates a need for environmental management of tipped
material.

(4) Direct and Indirect Impact of Land Clearing

Direct impacts include land consumption, removal of vegetation,
and the creation of borrow pits. Indirect impacts include, interalia,
degradation of surface water quality due to erosion, deforestation,
and others. Figure 10.6 shows an example of degradation of water
quality by erosion of land cleared to construct a new road.

Figure 10.6 Indirect Impacts: The Example of Land Clearing

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BOX 10.3
ROADS AND MASS MOVEMENTS
Mass movements present serious challenges for road development in hilly areas. If not foreseen, mass move-
ments such as flows, slides and falls can lead to frequent need for road reconstruction, and can pose a consider -
able safety risk for road users.
In many cases, road development in hilly areas is directly or indirectly responsible for the occurrence of
mass movements. Road cuts excavated from the base of slopes can lead to collapse, with ramifications for not
only the road, but far upslope as well. Building of roadways and spoil tipping at the tops of slopes can result in
excessive slope loading, causing failure downslope of the road. Finally, alteration of the drainage regime of
slopes, brought about by road building, can induce instability through erosion or increased pore pressure.
Initial reconnaissance surveys of the proposed alignment should identify areas prone to mass movements
that should be avoided where possible. When roads are built, care should be taken not to undercut or overload
steep slopes, and particular attention should be paid to implementation of adequate drainage measures.
Often roads are not responsible for mass movements, but because of shortsighted or unfortunate alignment
choice, may fall prey to them. Alignment choice should reflect caution about possible mass movements.

SOME TYPES OF MASS MOVEMENTS

Movement
type
Materials in
motion
Moisture
content
Nature of movement Rate of movement
Flows
Dry flow Sand or silt very low Funneled flow down steep slopes of
non-cohesive sediments
very rapid
Earthflow Soil containing
sensitive clays
very high Rapid collapse and lateral spreading
of soil following disturbance, often
by an initial slide
very rapid
Debris
flow
Mixture of fine
and coarse debris
high Flow usually focused into pre-
existing drainage lines
very rapid
Debris
avalanche
Rock debris, in
some cases with
ice and snow
low Catastrophic low friction movement
of up to several kilometers, usually
precipitated by a major rock fall
and capable of overriding
significant topographic features
extremely rapid

Slides

Rock slide Unfractured rock
mass
low Shallow slide approximately
parallel to ground surface of
coherent rock mass along single
fracture.
very slow to
extremely rapid
Rock
block slide
Fractured rock low Slide approximately parallel to
ground surface of fractured rock
moderate
Debris/
earth slide
Rock debris or
soil Rock
low to
moderate
Shallow slide of deformed masses
of oil
very slow to rapid

Rock
slump
low Rotational movement along
concave failure plane
extremely slow to
moderate

Falls

Rock fall Detached rock
joint blocks
low Fall of individual blocks from
vertical faces
extremely rapid
Debris/
earth fall
(topple)
Detached
cohesive units of
soil
low Toppling of cohesive units of soil
from near-vertical faces such as
river banks or road cuts.
very rapid
Source: Adapted from Summerfield, 1991.

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10.8.1.2 Remedial Measures

a. Prevention

The likelihood of serious environmental impacts on soil as a result of road
projects can be reduced by

minimizing the area of ground clearance;
avoiding sensitive alignments, such as those which include steep
hillsides;
balancing filling and cutting requirements through route choice, so as to
avoid the production of excess spoil material and reduce the need for
borrow pits;
avoiding previously contaminated sites;
avoiding the creation of cut slopes and embankments which are of an
angle greater than the natural angle of repose for the local soil type; and
replanting disturbed areas immediately after disturbance has stopped,
not after construction has been completed.

b. Mitigation

There is a wide range of techniques designed to reduce the risk of
damaging the soil and to fit the project into its environment with minimal
adverse effects. Simple techniques such as replanting will be effective in
many situations, whereas more sophisticated techniques, such as retaining
walls, are used only in the most difficult cases.

i. Replanting

Replanting cleared areas and slopes is the most effective action to
be taken in reducing erosion and stability problems. It should be
undertaken as early as possible in the construction process, before
erosion becomes too advanced; to be most effective, it should be
done immediately after the disturbance takes place. Vegetation
should be selected to serve a specific engineering function. In some
cases, a short-lived engineering structure, such as a woven wattle
fence, is installed, along with vegetation that can take over the
function of the structure in time.

Grasses (herbaceous plants) can effectively limit surface erosion. In
order for sowing or transplanting to be successful, it is necessary to

- Store and reuse topsoil. This requires that topsoil be
separated from subsoil during the initial excavation. The
more fertile topsoil can later be deposited on the slopes to
form a superficial layer conducive to seedling establishment.
- Shape the slope surface for maximum seedling survivability
(see Figure 10.7).

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- Choose the right varieties, according to soil type, climate,
ease of maintenance, and desired engineering function.
Whenever possible, use local varieties. Vetiver grass
(Vetiveria zizanioides) is one particularly effective variety
for protecting against soil erosion.
- Choose the right time of the year (for example, take
advantage of the rainy season).

Figure 10.7 Simple Techniques for Improving the Success of Seeding on
Moderate Slopes

Shrubs and trees (ligneous or woody plants) control erosion on steeper
slopes that are generally over 30 to 40 percent. Examples are shown in
Figure 10.8.

Figure 10.8 Examples of Combined Techniques for Slope Protection
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ii. Engineering Measures

In many cases, vegetation alone may not be enough to prevent
erosive damage to slopes, and various engineering measures may be
needed to complement or replace it. The use of slope retaining
techniques may be necessary when:

- Slopes are unstable because they are too high and steep;
- Climatic conditions are such that establishment of vegetation
is slow or impossible;
- There is a risk of internal erosion or localized rupture
because of drainage difficulties; and
- It is necessary to decrease the amount of earthwork because
the road width is limited.

Well-established engineering measures for slope protection include:

- Intercepting ditches at the tops and bottoms of slopes.
Gutters and spillways are used to control the flow of water
down a slope;
- Terraced or stepped slopes to reduce the steepness of a
slope. A berm (or risberm) is the level section between slope
faces (Figure 10.8).
- Riprap, or rock material embedded in a slope face,
sometimes combined with planting (Figures 10.8 and 10.9).
- Retaining structures, such as gabions (rectangular wire
baskets of rocks), cribs (interlocking grid of wood or
concrete beams, filled with earth or rock), or other types of
wooden barricades and gridwork, usually battered back
against the slope;

Figure 10.9 Detail for Rock Facing on a Slope

- Retaining walls, more substantial engineering structures able
to resist bending, and with a footing designed to withstand
pressures at the base of the slope;
- Reinforced earth, embankment walls built up as the earth fill
is placed, with anchors compacted into the fill material; and
- Shotcreting and geotextiles, generally more expensive
options with specific applications (Figure 10.10).

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Figure 10.10 Some Applications of Geotextiles

Table 10.4 presents indicative comparisons of some of these alternatives.

Table 10.4
INDICATIVE COMPARISON OF VARIOUS EROSION MITIGATIVE
MEASURES
Measures Effectiveness Comparative Costs
Grass seeding Only surface effective, avoids
start of erosion

Least expensive
Vetiver grass Excellent, even at depth Inexpensive

Shrubs Excellent

Two to three times cost of grass
Steeped slopes Excellent Substantially raise the volume
of earth-works dependent on
the distance from quarries

Riprap Excellent for embankment
protection

Depends on distance from
source
Crib walls Good

One-quarter the cost of a
retaining wall

Gridwork, wooden barricades,
etc.
Fairly good

Five times the cost of vegetation
Geotextiles Excellent; good mechanical and
chemical resistance
Ten to twenty times the cost of
vegetation

Retaining wall Good

Most expensive

iii. Drainage I mprovements

A major factor in the prevention of soil erosion and siltation of
watercourses is the control of the volume, location, and speed of
water flows in the vicinity of exposed soils and slopes.
Some important drainage mitigative measures include:
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- Cutoff drains to catch water before it reaches critical areas,
and diverging drains, which avoid excessive concentration
of flow;
- Concrete dissipation structures designed to slow fast-
running storm water in drains, and hence reduce its
downstream erosive potential;
- Natural materials for energy dissipation in drains, including
various combinations of sticks, hay bales, rocks, and
plantings. Most of these require ongoing maintenance; and
- Settlement basins, which allow silt, pollutants and road
rubbish to settle out of runoff water before it flows into
downstream watercourses.

10.8.2 Impact on Water Resources

10.8.2.1 Manifestations of Impact

Road development can lead to three types of modification to the natural
hydrological environment:

i. Surface Water Modification

Roads that intersect drainage basins generally modify the natural
flow of surface water by concentrating flows at certain points and,
in many cases, increasing the speed of flow, as illustrated in figure
10.11. Depending on local conditions, these changes can contribute
to flooding, soil erosion, channel modification, and siltation of
streams.

Figure 10.11 Concentration of Surface Water Flow

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ii. Ground Water Modification

Road drainage and excavation can lower the water table in
surrounding areas, while embankments and structures can raise the
water table by restricting flow (Figure 10.12). The potential effects
include deterioration of vegetation, increased susceptibility to
erosion, loss of water for drinking as well as agricultural use, and
habitat changes for fish and wildlife.

Figure 10.12 Modifications in Water Table
as a Result of Road Construction

iii. Water Quality Degradation

Sedimentation, changes in biological activity in streams and on their
banks, uncontrolled construction activities, and spills of chemicals
and pollutants can all have adverse effects on roadside water
quality. Chronic pollution of surface runoff from exhaust emissions,
pavement and tire wear, petroleum product drippage, and corrosion
of metals may be issues on some very busy roads. Where oil or
lignin is applied to gravel roads to keep dust down, the likelihood of
contamination is quite high.

10.8.2.2 Nature and scale of impacts

i. Drainage Modifications

Changes in the volume and speed of flow that deviate significantly
from normal conditions should be considered as far downstream as
they are observed, taking into account seasonal variations. These
factors are considered in drainage design of road pavements but
should be checked in an environmental assessment.

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The use of the road drainage system to retain more water in dry
areas (see Figure 10.13) or to take away unhealthy standing water is
a potential environmental benefit of road development.

Figure 10.13 Recharged Aquifer, Reservoir Surface

ii. Water Table Modifications

Changes in the water table should be considered carefully,
especially where ground water is important for human or
agricultural uses and in dry regions where groundwater is important
to natural flora and fauna. Where substantial changes in
groundwater flow are expected, the dynamics of the hydrographic
network should be analyzed carefully, since they can be subject to
extensive chain reactions (Figure 10.14). Location and extent of
aquifers, local geological structure, typical groundwater flow speed,
and variations in water levels in local wells are all potentially useful
points of reference.

Figure 10.14 I llustration of a Chain Reaction

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Geographic information systems can be especially useful in relating
the spatial extent of groundwater resources to land and water use.

iii. Water Quality Degradation

Water pollution problems arise most often on roads with high traffic
flows, but they should also be considered for projects that are:

Near drinking water intake points (Figure 10.15);
Bordering areas of great biological value;
Near rivers with low minimum flows; and
Crossing soils with limited filtering power limestone and
karstic dolomite, for example, have negligible filtering
power, while sand and sandstone actively filter suspended
matter and clays greatly limit the rate at which pollutants are
spread.

iv. Dicharge to Adjacent Lands

i. Discharge to new fills: if the new fill is not adequately
compacted, scour points are formed on the road edge and on fill
slope edge. Uncorrected, these scour points will eventually
threaten the road bed.
ii. Discharge to unstable slopes: uncontrolled discharge to loose
materials will lead to rapid creation of a deeply incised scour
channels, widespread erosion, increased slope instability and
large-scale movement of materials downslope. These materials
will cover and destroy any down slope features in their path.
iii. Discharge to channel in a stack: in this case any discharge from
a high point will be crossed again by the road on a lower
section. In cases where discharge is to colluvial material and on
concave slopes serious problems may be created by erosion and
wash down of materials even if only a limited volume of water
is involved. Where substantial volumes of water are discharged,
very significant engineering works must be implemented to
stabilize the existing situation and control future discharges.
iv. Discharge to graveyards: excessive drainage from the road onto
graveyards can cause flooding and may have scouring effects
on graveyards stones. This can lead to social problems.
v. Discharge to agriculture terraces: uncontrolled discharge may
have scouring effects on terrace stone walls and destabilize
agricultural land. This can lead to social problems.
vi. Discharge to other sensitive areas or structure: other areas
sensitive to uncontrolled discharge include buildings, walls
water channels or other structures.

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Figure 10.15 Groundwater Contamination from Roads

10.8.2.3 Remedial Measures

a. Prevention

Measures used to avoid severe impacts on local hydrological environment
may include:

Avoiding alignments which are susceptible to erosion, such as those
crossing steep slopes;
Minimizing the number of water crossings wherever possible;
Using only clean fill materials around watercourses, such as quarried
rock containing no fine soil; and
Leaving buffer zones of undisturbed vegetation (width increased in
proportion to slope) between road sites and bodies of water.

Measures to avoid surface or ground water pollution include:

(i) Provision of sedimentation/septic tanks, water-incepting ditches and
drains to prevent contamination of water resources from
contractors compounds facilities and run off.
(ii) Garbage separation at the source and use of organic material as
compost.
(iii) Storage of non-biodegradable materials.
(iv) Temporary drains to dispose of eroded sediments, preventing
intrusion in surface water bodies.
(v) Limitation of works near wells, or covering them to prevent
pollution.
(vi) Waste water management, including use of wastewater to irrigate
camp-site plantation.
(vii) Not dumping of chemicals, coal tar, asphalt or anything which may
pollute the aquifers.
(viii) Refueling of plants or transfer of materials far from water courses.
(ix) Good practice to avoid spillage and pursue collection and recycling.
(x) In case of accidental spill of fuel or chemicals, efforts to offset
pollution.
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(xi) Anti-spillage devices installed in storehouses, workshops and
vehicle parks.
(xii) Fuel, oil and grease interceptors with impervious bed, to be located
underneath the parking areas to drain the runoff into the oil
interceptors and prevent contaminated discharges from entering into
any water body without adequate treatment Collection of used
lubricants for safe disposal or recycling.
(xiii) Collection of used lubricants for safe disposal or recycling.
(xiv) Riparian buffers along the edges of ponds to prevent water
contamination.
(xv) Construct bridges and culverts in the dry season, when river flow is
minimum or nil.

b. Mitigation

Some common mitigative measures include:

Flow speed control using grasses, riprap and dispersal structures.
Settling basins to remove pollutants, silt and debris from road runoff
water before it is discharged to adjacent streams or rivers.
Paving sections of dirt and gravel roads prone to erosion.
Infiltration ditches to encourage movement of runoff through the soil
profile.
Oxidating macrophytes (wetland treatment facilities) to remove some
pollutants naturally from settling basins.
Water collection, control and treatment, which is an expensive option
for polluted runoff from pavements and slopes, but may be needed in
certain sensitive areas.

Table 10.4 shows a comparison of selected mitigative measures.

Table 10.4
INDICATIVE COMPARISON OF WATER IMPACT MITIGATIVE MEASURES
Measure Effectiveness Comparative Costs
Flow limitation
Intercepting ditch Highly effective if properly
maintained
Economical; cost of an earthen
ditch
Cascade flow slowdown unit
(dissipator)
Good but perpetuates flow
linearity
Negligible for a concreted ditch
Flood basin Very good if properly situated 100 times the cost of an outfall

Pollution limitation
Direct drainage For very limited volumes,
proportional to total discharge
Equivalent to cost of an earthen
ditch
Grass For limited volumes

Equivalent to fascine work
combined with grass seeding
Oxidating macrophytes For long retention periods 20 times the cost of an outfall
Setting basin Highly effective if maintained;
requires space

200 times the cost of an outfall
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10.9 RESETTLEMENT POLICY FRAMEWORK

Road development often requires the procurement of privately owned land.
This land has to be acquired by the government from its current owners.
While it is sometimes possible to negotiate a price for voluntary sale of a
property, governments often have to use their rights to compulsory
acquisition (expropriation) of properties for public projects.

A governments right to expropriate carries with it a responsibility to
ensure that those affected do not bear an unfair share of the costs of a
project which will bring benefits to others. In the simplest terms, this
responsibility should be to ensure that the standard of living of all affected
persons is restored to the level enjoyed before the commencement of the
road project. To the extent that a government is successful in restoring
those living standards for all affected, the adverse impacts will have been
minimized and possibly obviated. The mitigation plan often involves
resettlement which requires fair compensation.

The economic impacts of expropriation may include the loss of houses or
businesses, or the loss of business income, either temporary or permanent.
These can be estimated and coasted. However, the actual valuation of these
losses often proves to be a difficult and protracted process.

The teams conducting the assessments and implementing the land
acquisition and resettlement programs will have to invest considerable time
and effort in:

- Inter-jurisdictional coordination of studies and mitigation activities;
- Establishment and management of field surveys to obtain data
(which are not available from censuses or secondary sources) on the
strips of affected lands and their all-too-often unregistered
occupants;
- Prevention of invasions onto the right-of-way; and
- Land availability and land use restrictions in the host community.

This Resettlement Policy Framework provides procedural guidelines on
how to address the components of RAP that result in involuntary
resettlement.

This policy framework which is adapted from RAP-SEA Vol.2, has been
developed in conformance with OP4.12 and includes the following:

Principles and Objectives Governing Resettlement Preparation and
Implementation.
Process for Preparing and Approving Resettlement Plans.
Categories of Displaced Persons.
Eligibility Criteria for Defining Categories of Displaced Persons.
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Methods of Valuation of Assets.
Legal Framework.
Organizational Procedures for Delivery of Entitlements.
Implementation Processes.
Grievance Redress Mechanisms.

10.9.1 Principles Governing Resettlement

The overall policy objectives to be pursued in implementing the RAP are:

(a) Resettlement must be avoided or minimized, exploring alternative
project designs;

(b) Where it is unavoidable, resettlement must be handled as a
sustainable development program, whereby the displaced persons
are given the opportunity to join the planning and implementation
process, while sharing the benefits of the main project; and

(c) Displaced persons must be assisted to improve their livelihood or, at
least, restore it to pre-project levels.

For the purposes of this framework, affected persons are defined as:

(a) All persons who, as a result of works carried out or to be carried out
under the Program, would incur: (i) relocation or loss of shelter,
such as houses; (ii) loss of assets or access to assets, such as land; or
(iii) loss of income sources or means of livelihood whether or not
the affected persons must move to another location, such as shops
or productive activities on the land; or

(b) The Involuntary restriction of access to legally designated parks or
protected areas resulting in adverse impacts on the livelihoods of
displaced persons.

10.9.2 Resettlement Plan Process

The Environmental Management Plan (EMP) for RAP road projects
includes an Environmental and Social Management Process, in which
candidate rural road projects are screened to identify potential
environmental and social issues and determine whether Safeguard Policies
should be triggered. This process is summarized in Figure 10.1.

A flow diagram of the resettlement plan process is shown in figure 10.16.

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Process for Preparing and Approving Resettlement Plans
1. Screening and Scoping
The scoping and screening process will be carried out by the RAP CMO staff, during
which time the applicability of the Resettlement Policy Framework is determined. This
determination is based on visual assessment of the existing alignment and any proposed
deviation that would entail minor impacts, or major impacts, which are defined as:
(a) Minor Impacts: Fewer than 200 affected persons, as defined in Section 10.9.1.
(b) Major Impacts: More than 200 affected persons, as defined in Section 10.9.1.
A census of affected persons is undertaken to establish the baseline for eligibility.

2. Triggering the Resettlement Policy Framework
If such impacts are identified, scoping and screening will include an initial assessment to
determine whether such impacts can be avoided or minimized through design measures.
These may include such measures as reducing the design standard at the contentious
location (pinch points) or leaving the contentious section as is, in agreement with
affected people. If these impacts cannot be avoided through such measures, this Policy
Framework will be triggered.
One of two types of Resettlement Plans will be elaborated:
(a) An Abbreviated Resettlement Plan, where minor impacts are determined; or
(b) A Full Resettlement Plan, where major impacts are determined.

3. Terms of Reference
The Terms of Reference for the Abbreviated and Full Resettlement Plans will be
elaborated by the RAP CMO, based on the Screening Report. For projects funded by the
World Bank, the TOR will be subject to prior review and no-objection by the World Bank
Task Manager.

4. Developing the Resettlement Plan
If the project is included in the Program, a stand-alone Resettlement Plan will be prepared
prior to commencement of project implementation. This Plan will be established in
coordination with the Beneficiary Committee formed during the elaboration of the
Environmental Assessment (EA) and Environmental Management Plan (EMP) and
referred to in the Social Framework Agreement (SFA). Its processes will ensure that the
affected persons are:
(a) Informed about their options and rights pertaining to resettlement;
(b) Consulted on, offered choices among, and provided with technically and
economically feasible resettlement alternatives; and
(c) Provided prompt and effective compensation at full replacement cost for
losses of assets attributable directly to the projects.

5. Plan Review and Approval
The draft Resettlement Plan (Abbreviated or Full) will be submitted to the Beneficiary
Project Committee and RAP CMO for review and comment. The final Resettlement Plan,
which will take account of comments received, will be subject to approval by the
Beneficiary Project Committee, the RAP CMO and the Governors Office.
For projects funded by the World Bank, the RAP CMO will transmit the draft report to the
World Bank Task Manager for review and comment; in such cases, the final Resettlement
Plan will also be subject to no-objection by the World Bank Task Manager.

Figure 10.16 Flow Diagram of the Resettlement Plan Process

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10.9.3 Scope of Resettlement Plan

i. Abbreviated Resettlement Plan

The Abbreviated Resettlement Plan will include the following
minimum elements:

(a) Summary of the census of displaced persons or assets;
(b) Description of compensation and other resettlement
assistance to be provided;
(c) Consultations with displaced people about acceptable
alternatives;
(d) Institutional responsibility for implementation and
procedures for grievance redress;
(e) Arrangements for monitoring and implementation; and
(f) Timetable and budget.

ii. Full Resettlement Plan

Preparation of the Full Resettlement Plan will include the following
two stages:

(a) Socio-Economic Study to assess the impacts; and
(b) Preparation of Full Resettlement Plan Document

The Socio-Economic Study shall be conducted by a qualified social
scientist, in collaboration with the Project Committee, who will examine
the nature of the impacts in the affected areas; the socio-economic and
cultural setting, local organizations, and social risks, as well as the
indicators that would ensure that the project affected people at minimum
regain their former quality of life or are enabled to improve it. The Socio-
Economic Study will cover the following:

(a) The results of the census including current occupants of the affected
areas to establish the baseline for eligibility criteria and to prevent
subsequent inflows of people and claims;
(b) Description of the affected households, including information about
livelihoods and production and labour systems, standards of living
and an analysis of their legal rights and informal entitlements and
any issues of potential conflict;
(c) Statement of the magnitude of the expected loss (total or partial) of
assets and the extent of physical or economic displacement;
(d) Information about especially poor or vulnerable groups for whom
special provisions should be designed; and
(e) Provisions to update information about displacement, livelihoods
and standards of living before, during and after displacement.

The Full Resettlement Plan Document will include the following minimum
elements:

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(a) Project Description
(b) Potential Impacts
(c) Objectives of the Resettlement Plan
(d) Results of the Socio-Economic Studies
(e) Legal Framework
(f) Institutional Framework
(g) Eligibility
(h) Valuation of and Compensation for Losses
(i) Resettlement Measures
(j) Site Selection, Site Preparation and Relocation
(k) Housing Infrastructure and Social Services
(l) Environmental Protection and Management
(m) Community Participation
(n) Integration with Host Populations
(o) Grievance Procedures
(p) Organizational Responsibilities
(q) Implementation Schedule
(r) Costs and Budget
(s) Monitoring and Evaluation

Supplements to the Socio-Economic Study may also be carried out on an
as-needed basis, to be defined by RAP CMO, such as:

(a) A description of the land tenure system and inventory of common
property and other resources from which people derive their
livelihood and sustenance, non-title usufruct systems (including
grazing or other uses of lands and assets), land allocation
mechanisms, and any other issues raised by different tenure systems
in the affected area, as well as customary or tribal law relating to
loss of assets and compensation;
(b) Documented and updated findings of the legal framework including
the scope and power of eminent domain and the nature of
compensation associated with it, including valuation methodology
and timing of payments;
(c) Relevant laws (including customary) governing land tenure and that
relate to the resolution of conflicts and dispute arbitration;
(d) Legal steps to ensure the effective implementation of resettlement
and compensation activities under the project including, as
appropriate, a process for recognizing claims to rights of land
including tribal, customary, and traditional usage.

10.9.4 Estimated Displacement and Categories of Displaced Persons

In the project context, displaced persons may be categorized as:

(a) Individual persons affected: an individual is affected when he/she is
subject to loss of goods, property and or access to natural resources
resulting from the project. For example, an individual who is
cultivating land or owns a commercial or housing structure which is
removed as a result of the project.
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(b) Household affected: a household is affected when one or several of
its members are subject to loss of property, land or access to land or
other income-generating activity as a result of the project.

(c) Vulnerable households affected: a vulnerable household may have
needs affected by the project which are different from most other
households. They may concern such segments of the population as
self-supporting women and elderly people.

10.9.5 Eligibility

According to OP 4.12 displaced persons may be classified into one of the
three following groups:

(a) Those who have formal legal rights to land and physical assets
(including customary and traditional rights) recognized under the
laws of the country;

(b) Those who do not have formal legal rights to land or physical assets
at the time the census begins, but have a claim to such assets,
provided that such claims are recognized under the laws of the
country or become recognized through a process identified in the
resettlement plan;

(c) Those who have no recognizable legal right or claim to the land
they or building are occupying.

Table 10.5 shows examples of categories of project affected people and
proposed actions.

TABLE 10.5 - INDICATIVE COMPARISON OF
VARIOUS EROSION MITIGATIVE MEASURES
Measures Effectiveness Comparative Costs
Grass seeding Only surface effective, avoids start
of erosion
Least expensive

Vetiver grass Excellent, even at depth Inexpensive

Shrubs Excellent Two to three times cost of
grass

Steeped slopes Excellent Substantially raise the volume
of earth-works dependent on
the distance from quarries

Riprap Excellent for embankment
protection
Depends on distance from
source

Crib walls Good One-quarter the cost of a
retaining wall

Gridwork, wooden
barricades, etc.
Fairly good Five times the cost of
vegetation

Geotextiles Excellent; good mechanical and
chemical resistance
Ten to twenty times the cost of
vegetation.

Retaining wall Good Most expensive
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10.9.6 Legal Framework

While formal provisions for land expropriation exist in Yemen, they are
geared primarily towards urban situations and are considered impractical
and NOT generally applied in the rural areas. On the other hand, rural
communities have traditionally been solving such issues through
consultation and internal arrangements, which generally involves land
donation and/or in-kind compensation for loss of buildings. This practice
provides an operational framework for implementing a Resettlement Policy
for RAP consistent with the World Bank OP 4.12 policy objective.

10.9.7 Methods for Valuing Assets

Affected assets are defined as one of two types:

(a) Land assets, either productive or unproductive; and

(b) Houses and other structures, involving infrastructure for shelter or
productive/income-generating activities, such as shops.

Land assets: In conformance with Yemeni traditional rural practice, owners
of affected lands will not be compensated by the Project in cash for loss of
land, but the affected owners will donate such land for public purposes and
community benefit. However, this donation will occur within the context
of a mutually signed community-based Agreement, which is appended to
the SFA, and which specifies the terms under which the donation is made.
These terms will be based on local traditional practice concerning the
donation of private land for public purposes and specifies any special terms
or conditions related to the particular case, which are to be settled internally
by the community. Generally, these terms can include one of the following
two options:

(a) The affected person freely donates the land to the community; or

(b) The community may allocate part of its lands to the affected person.

Houses and other structures: Owners of affected houses or other structures
will be compensated in-kind at replacement cost, which is defined as the
cost of the works required to replace the asset in its existing condition. The
basic parameters generally used to determine the replacement cost shall be
the size, standard and condition of the existing the asset. This, in addition to
arrangements for providing the land on which the replacement structure
will be built, will be stated in a mutually signed community-based
Agreement, signed by the asset owner(s) and appended to the SFA. The
quantities, specifications and estimated costs for the new structure(s) shall
be assessed by the design Consultant and will be incorporated into the
works bidding documents.

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10.9.8 Organizational Procedures and Funding for Delivery of Entitlements

Following project screening, RAP CMO will provide the Governor with a
draft SFA and format for the creation of the Beneficiary Committee. Based
on the census of affected persons, the Beneficiary Committee will
determine the terms and procedures of land donation and/or in-kind
replacement of structures. These terms and procedures will be specified in
the Resettlement Plan (Abbreviated of Full) and appended to the SFA,
which is negotiated and signed by the owner(s) and the Beneficiary
Committee, and approved by the Governor. This will involve the following,
depending on the type of donation or asset entitlement:

(a) Donation of land assets: Implementation of the terms of the
donation, as noted above, will be carried out through the

(b) Replacement of houses or other structures: In-kind asset
replacement will be funded as a project cost and will be included in
the Bill of Quantities as a pay item in the Contract, under which the
Contractor will rebuild the affected structural asset according to a
specified standard at the agreed location.

10.9.9 Implementation Processes

The approved Agreement will be incorporated into the Resettlement Plan
and appended to the SFA. If such agreement cannot be secured during the
preparation of the Resettlement Plan, the project will not be financed under
the Program.

With regard to replacement of houses and other structures, replacement
standards for structures shall be defined by the design Consultant and
approved by the RAP CMO. Prior to commencement of works, the
Contractor will elaborate a schedule for the replacement of any houses or
other structures, in conjunction with overall works schedule. This schedule,
to be approved by the resident engineer (RE), who shall ensure that said
structures are completed prior to the destruction of the pre-project assets,
such that no loss of shelter and/or income-generating activities occurs as
result of the project.

10.9.10 Grievance Redress Mechanisms

If affected persons are not satisfied with resettlement arrangements, or if
they are dissatisfied with actual resettlement implementation, they will first
seek redress through the Project Beneficiary Committee. If an agreement is
not reached at the Project level, the matter will be referred to the Governor,
who has the authority to arbitrate the matter.

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10.9.11 Consultation Mechanisms

During the Screening stage, informal consultations will take place at the
project site, as well as formal briefings of findings with the Governor and
stakeholders. At this point, the Governor and stakeholders will be appraised
of the need for a Resettlement Plan (Abbreviated or Full).

The preparation of the Resettlement Plan, including such activities as
census of affected persons, socio-economic study (in the case of Full
Resettlement Plan) and the terms of land donation and in-kind structure
replacement, will be carried out in close collaboration with the Beneficiary
Committee.

The draft Resettlement Plan will be transmitted to the Beneficiary
Committee and the Governor for validation and approval.

Upon validation and approval of the draft Resettlement Plan, the RAP
CMO will transmit the Final Resettlement Plan to the Task Team Leader
for review and no objection.

10.9.12 Monitoring Arrangements

The RAP CMO will be responsible for overall monitoring of the
implementation of this RPF. This will include:

(a) Monitoring of Resettlement Plan Preparation: monitoring of
Consultant activities and reports and verifying the validity of all
community-based agreements.

(b) Establishment of Project Monitoring Files: for each Resettlement
Plan (Abbreviated or Full), RAP CMO will establish a file
appropriate for implementation monitoring. This will include at a
minimum:

The Resettlement Plan
The SFA
The mutually signed community based Agreement, which
includes a list of each affected person or household and the
agreed terms of either land donation and/or structure
replacement.
The agreed timetable for delivery of any structure replacement.

(c) Monitoring of Resettlement Plan Implementation: Monitoring
of Abbreviated or Full Resettlement Plans will involve:

Land donation. This will involve reporting on any dispute
arising from agreements reached in the Resettlement Plans.

Houses and other structures replacement, this will involve:

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Verifying the Contractors schedule for relocating affected
assets.
Monitoring physical progress against the Contractors
schedule.
Monitoring the actual costs against the Contractors payment
items.
Monitoring the outcome of the relocation of affected
structures.

Following its exercise of prior review, the World Bank will monitor the
implementation of road specific EAs, SFAs and Resettlement Plans. The
Bank will also carry out targeted and spot review of specific social cases
and resettlement plans involving land donation and asset replacement, as
part of regular supervision, or separate missions.

10.10 NATURAL HABITATS POLICY FRAMEWORK

This Natural Habitats Policy Framework (NHPF), provides procedural
guidelines on how to address road projects that could significantly convert
or degrade natural habitats. It is adapted from RAP-SEA, Vol.2, and has
been developed in conformance with OP 4.04. It includes the following:

Principles and Objectives Governing Natural Habitats
Process for Determining Applicability of Natural Habitats Policy
Framework
Legal Framework
Implementation Procedures and Financing
Consultation Procedures
Monitoring Arrangements

10.10.1 Principles and Objectives Governing Natural Habitats

The conservation of natural habitats is essential to safeguard their unique
biodiversity and to maintain environmental services and products for
human society and for long term sustainable development. The World Bank
therefore supports the protection, management and restoration of natural
habitats in its project financing. The Bank supports, and expects borrowers
to apply, a precautionary approach to natural resource management to
ensure opportunities for environmentally sustainable development. The
World Bank does not support projects that involve the significant
conversion or degradation of critical natural habitats.

If the environmental assessment indicates that a project would convert or
degrade natural habitats, the project must include mitigation measures
acceptable to the Bank. Such mitigation measures include, as appropriate,
minimizing habitat loss (e.g. strategic habitat retention and post-
development restoration) and establishing and maintaining an ecologically
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similar protected area. The Bank accepts other forms of mitigation
measures only when they are technically justified.

Based on the World Bank's Operational Policy OP 4.04, the following
definitions apply:

(a) Natural habitats
1
are land and water areas where: (i) the ecosystem's
biological communities are formed largely by native plant and
animal species, and (ii) human activity has not essentially modified
the area's primary ecological functions.

(b) Critical natural habitats are: (i) existing protected areas and areas
officially proposed by Governments as protected areas (e.g. reserves
that meet the criteria of the World Conservation Union-IUCN
2
-
classification), areas initially recognised as protected by traditional
local communities (e.g. sacred groves or forests), and sites that
maintain conditions vital for the viability of these protected areas
(as determined by the EIA process); or (ii) sites identified on
supplementary lists prepared by the Bank or an authoritative source
determined by the Regional Environmental Sector of the World
Bank.

(c) Significant conversion is the elimination or severe diminution
(reduction) of the integrity of a critical or other natural habitat
caused by a major, long-term change in land or water use.
Significant conversion may include, for example, land clearing;
replacement of natural vegetation; drainage; dredging, filling or
channelization of wetlands, etc. Conversion can result directly from
the action of a project or through indirect mechanism (e.g. though
induced settlement along a road).

(d) Degradation is modification of a critical or other natural habitat that
substantially reduces the habitat's ability to maintain viable
populations of its native species.

(e) Appropriate conservation and mitigation measures remove or
reduce adverse impacts on natural habitats or their functions,
keeping such impacts within socially defined limits of acceptable
environmental change. Specific measures depend on the ecological
characteristics of the given site. Such measures will always include
provision for monitoring and evaluation to provide feedback on
conservation outcomes and to provide guidance for developing or
refining appropriate corrective actions.

1
Biodiversity outside of natural habitats (such as within agricultural landscapes) is not covered under
WB OP 4.04. It is a good practice to take such biodiversity into consideration in project design and
implementation.
2
IUCN categories are as follows: I-Strict Nature Reserve/Wilderness Areas; II- National Parks; III-
Natural Monuments; IV- Habitat/Species Management Areas; V-Protected Landscape/Seascape-VI-
Managed Resource Protected Areas.
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This NHPF applies to all components of the RAP that result in significant
conversion or degradation of natural habitats or critical natural habitats as
defined above.

10.10.2 Natural Habitats Assessments Process

The Environmental Management Plan (EMP) for the RAP includes an
Environmental and Social Management Process, in which candidate rural
road projects are screened to identify potential environmental and social
issues and determine whether Safeguard Policies should be triggered. This
process is summarized before in Figure 10.1.

Figure 10.17 shows a flow chart of the Natural Habitats Assessment
Process.

The scoping and screening process will be carried out by the RAP CMO
staff, during which time the applicability of the Natural Habitats Policy
Framework is determined. This determination is based on visual assessment
of the existing alignment and any proposed deviation that could entail
significant conversion or degradation of a critical or non-critical natural
habitat. These are defined as follows:

(a) Critical natural habitat: the proposed road alignment passes
through, or is adjacent to, any of the declared or proposed
declared protected areas in Yemen, as shown in Table 10.5 (which
may be appended from time to time).

(b) Non-critical natural habitat: the proposed road alignment passes
through or is adjacent to a natural habitat not listed in Table 10.5,
but is observed to be, or is locally known, as a sensitive natural
habitat.


The legal and regulatory framework concerning the protection Natural
Habitats and Bio-diversity (Areas and Species) is embodied in the
following texts:

Environment Protection Law (EPL) 26 1995
Constitution (Art. 8 and 19) 1990 1994, 1999
Civil Law 14 2002
Criminal Law 19 1994
Fisheries Law 42 1991 1997

The EPL provides broad protection for wild animal species in-situ. The
law states that all fauna and birds that have their habitat in Yemeni
territory, as well as migratory birds, have legal protection. Protection for
wild plant species is limited to rare and endemic species

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Figure 10.17 Flow Diagram of the Natural Habitats Assessment
Process

Screening and Scoping
Applicability of Safeguard Policies
a) Critical Natural Habitat: EA as a stand-
alone document.
b) Non-critical natural habitat: EA as a part
of overall EA
Initial Assessment to determine whether
project impacts can be avoided or minimized
through design measures
Consultations with
-Community
-Local government
Decision
on
project
Project to be included in
program / project
categorization A: Natural
Habitat Policy Framework
triggered
No- Project
alternative
RAP and W.B. Review and Approval
MWE notified for clearance to RAPCMO
to proceed with category A EA
Engage a qualified Consultant to carry
out category A EA for the natural habitat
as part of overall EA
Scope of EA (including EMP):
a) The types and estimated areas (in hectares) of
affected critical or non-critical natural habitats;
b) The significance of the potential impacts;
c) The projects consistency with national and regional
land use and environmental planning initiative,
conservation strategies ad legislation;
d) Avoidance conservation and mitigation measures;
e) Responsibilities for mitigation and monitoring
Coordination with
agency responsible
for the management
of protected area
Acceptance
Avoidance
The only
alternative is to
establish a similar
protected area.
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The EPL does not address the issue of managing wild species generally. It
allocates responsibility for controlling hunting to the EPC (now EPA) "or
any other competent body". The Fisheries Law gives the Ministry of
Fisheries broad powers in the field of protecting, developing and managing
fisheries and marine resources.

10.10.4 Implementation Procedures and Financing

The EMP will specify implementation processes and responsibilities for
mitigation and monitoring of the natural habitat in question. This will be
defined in conjunction with the agency responsible for the management of
the natural habitat and with the concerned community, local authorities and
particular stakeholders. It will also comply with existing master plans, such
as the Socatra Island Master Plan.

Mitigation measures involving civil works or habitat restoration will be
funded as a project cost and will be included in the Bill of Quantities as a
pay item to the contractor, who will implement the said measures to a
specified standard at the agreed location(s).

10.10.5 Consultation Procedures

stakeholders.

Preparation of the EA (including EMP) will be carried out in close
collaboration with the Beneficiary Committee and the agency responsible
for management of the critical habitat. Reference to the natural habitat
EMP will be made to the Social Framework Agreement (SFA), completed
as part of the overall EMP.


implementation of this NHPF. This will include:

(a) Monitoring of EA and EMP Preparation: monitoring of
consultant activities and reports.

(b) Monitoring of EMP Implementation:
Verifying the contractors schedule for mitigation measures.
Monitoring physical progress against the contractors schedule.
Monitoring the actual costs against the contractors payment
items.
Monitoring the outcome of the relocation of affected structures.

Following its exercise of prior review, the World Bank will monitor the
implementation of road specific EAs, SFAs, and specific mitigation plans
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for Natural Habitats. The Bank will also carry out targeted and spot review
of specific cases involving Natural Habitats, as part of regular supervision,
or separate missions.

Table 10.5: List of Protected Areas in Yemen
Status No Location Characteristics Governorate Physical Region
Declared
1 Socotra Protected Area Hadhramout Yemeni Islands
2 Automa Protected Area Dhamar Mountain Massif
Under
Declaration
3 Belhaf Berum Bir Ali Marine Protected Area+Birds Hadhramout + Shabwa Eastern Plateau
4
Ras Sharma-Jathmun and
nearby areas
Green Turtles Protected Area Hadhramout Eastern Plateau
5 Hawf Forest Wild Animal Al Mahra Coastal Plains
6 Jabal Buraa Protected Area-Forest Al-Hudaidah Coastal Plains
Proposed for
Declaration
7 Jabal Eraf Forests (Juniper) Lahj Coastal Plains
8 Tarim Wild Animal Protected Area Hadhramout Eastern Plateau
9 Qishen Wetland Al Mahra Coastal Plains
10 Myfaa Wild Gazelle Shabwa Coastal Plains
11 Al-Luhaya Marine Protected Area +Birds Al Hodeidah Coastal Plains
12 Kamaran Island Mangrove + Coral River
Al Hodeidah
Coastal Plains
13
Al-Zubair, Zuqar Island,
Hunaish Archipelago
Coral River + Biomarine
Al Hodeidah
Yemeni Islands
14 Aljah Gulaifigah Wetland
Al Hodeidah
Coastal Plains
15 Al-Fasah Wetland
Al Hodeidah
Coastal Plains
16 Al-Takrir
Al Hodeidah
Coastal Plains
17 Qataba Mangrove Protected Area
Al Hodeidah
Coastal Plains
18 Al-Wahija Mangrove + Wetland
Al Hodeidah
Coastal Plains
19 Bahr Ibn Abas Mangrove + Wetland
Al Hodeidah
Coastal Plains
20 Yakhtul Herbs Marine + Mangrove
Al Hodeidah
Coastal Plains
21 Tihama Bustard Bird
Al Hodeidah
Coastal Plains
22 Bany Jabr, Bany Suham Wild Animals + Plants Sanaa Mountain Massif
23 Jabal Al-Lawz Bidiversity (Ibex) Sanaa Mountain Massif
24 Kussma Natural Park Sanaa Mountain Massif
25 Raimah Forests Sanaa Mountain Massif
26 Al-Arem Biodiversity Sanaa Mountain Massif
27 Al-Ghourira Wetland Taiz Mountain Massif
28 Bab Al-Mandab Wetland + Birds Taiz Coastal Plains
29
Birds Lakes (Aden Coastal
Wetlands)
Birds Aden Coastal Plains
30 Khour Umairah Mangrove + Wetland Aden Coastal Plains
31 Meedy Mangrove Haja Coastal Plains
32 Chain of Al-Kore Mountains Wild Animal (Leopard) Abian Coastal plains
33 Al-Rivadi Natural Park Al-Mahwit Mountain Massif
34 Al-Dhababia Valley Wild Anima (Gazells) Al-Baidha Mountain Massif
35 Ketfah Biodiversity Saada Mountain Massif
36 Wadia'A Arabic Leopard Amran Mountain Massif
Source: Environmental Protection Authority, Ministry of Water and Environment.
Note: This list reflects scientific knowledge as of 2003, and may be updated in the future.

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10.11 CULTURAL RESOURCES POLICY FRAMEWORK

This Cultural Resources Policy Framework, which provides procedural
guidelines on how to address adverse impact on physical cultural resources.

This Policy Framework, which is adapted from RAP-SEA Vol.2, has been
developed in conformance with OP 4.04 and includes the following:

Principles and Objectives Governing Cultural Resources
Process for Determining Applicability of Cultural Resources Policy
Framework
Legal Framework
Implementation Procedures and Financing
Consultation Procedures
Monitoring Arrangements

10.11.1 Principles and Objectives Governing Cultural Resources

The World Bank seeks to assist countries to manage their physical cultural
resources and to avoid or mitigate adverse impacts of development projects
on these resources. To this end, the Bank seeks to:

(a) Ensure that physical cultural resources likely to be impacted by
Bank-financed projects are identified, protected and managed;
(b) Ensure that project design and implementation comply with the
Borrowers national laws governing the protection of physical
cultural resources;
(c) Contribute to the development of the Borrowers capacity to
identify, protect and manage physical cultural resources.

The Bank normally declines to finance projects that will significantly
damage non-replicable cultural resources and assists only those projects
that are sited or designed so as to prevent such damage.

For purposes of this Policy Framework, physical cultural resources are
defined as movable or immovable objects, sites, structures, groups of
structures, natural features and landscapes that have archeological,
paleontological, historical, architectural, religious, aesthetic, or other
cultural significance. Physical cultural resources may be located in urban
or rural settings, and may be above ground, underground or underwater.

10.11.2 Cultural Resource Assessments Process

The Environmental Management Plan (EMP) for RAP includes an
Environmental and Social Management Process, in which candidate rural
road projects are screened to identify potential environmental and social
issues and determine whether Safeguard Policies should be triggered. This
process is summarized in Figure 10.1.
Figure 10.18 shows a flowchart of the Cultural Resource Assessment
Process.
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Figure 10.18 - Flowchart of the Cultural Resource Assessment Process

Applicability of Cultural Resources
Policy Framework
Initial Assessment to determine
whether project impacts can be
avoided or minimized through
design measures
Consultations
with the
community
and local
government
Decision
on
project
program - Policy Framework
triggered
No- Project
alternative
GOAMM notified for clearance to
proceed with EA
out category A or B EA as part of
overall EA
Draft EA submitted to GOAMM for
review and approval
Coordination
with GOAMM
Acceptance Avoidance
Applicability of Cultural Resources
Policy Framework
Initial Assessment to determine
whether project impacts can be
avoided or minimized through
design measures
Consultations
with the
community
and local
government
Decision
on
project
program - Policy Framework
triggered
No- Project
alternative
GOAMM notified for clearance to
proceed with EA
out category A or B EA as part of
overall EA
Draft EA submitted to GOAMM for
review and approval
Coordination
with GOAMM
Acceptance Avoidance
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The scoping and screening process will be carried out by the RAP CMO
staff, during which time the applicability of the Cultural Resources Policy
Framework is determined. This determination is based on visual assessment
of the proposed alignment and any possible adverse impact on physical
cultural resources.

The assessment of the impacted physical cultural property will form an
integral part of the project EA (including EMP) and will be carried out in
coordination with the GOAMM. Particular aspects related to the physical
cultural property will include at a minimum:

(a) Baseline: (i) an investigation an inventory of physical cultural
resources which may be affected by the project: and (ii) a proper
documentation of their characteristics. The methodology will
include:

Review of the available documentation;
Consultation with local communities and
Field investigations (including test digging where appropriate).
These investigations shall be carried out by a qualified cultural
heritage expert who shall record in writing, take photographic
records, and enumerate all cultural heritage assets identified as
impacted by the project.

(b) Impact Assessment: The cultural resource component of the EIA
identifies potential direct and indirect impacts on physical cultural
resources and their severity.

(c) Mitigation and Management Plan: If the EA determines that the
sub-project has adverse impacts on physical cultural resources, the
EA team will work with the stakeholders and local communities to
jointly develop measures to mitigate and manage these impacts. The
cultural resources component of the EMP will include: (i): Actions
needed to implement the recommended mitigation measures; (ii):
provisions for the treatment of chance finds (see Attachment 1)
during project implementation; (iii): measures for strengthening
institutional capacity necessary for implementation of the
recommendations included in the Management Plan; (iv):
monitoring systems to track progress of the above activities.

Depending on the approved mitigation plan a qualified archaeologists or
cultural resource specialist may be temporarily seconded to, and provided
with logistical support by, the construction supervision team. The specialist
would supervise the implementation of relevant mitigation and
management activities and treat the chance finds: relevant findings shall be
recorded in the Works Supervision reports.

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Aware of the exceptional importance of Yemen cultural heritage, the
Government of Yemen enhanced the Law on Antiquities (21/1994), and in
1997, established the General Organization for Antiquities, Manuscripts
and Museums (GOAMM -Decree No. 128/97) and the General
Organization for the Protection of Historic Cities (GOPHC-Decree No.
129/97) as the institutional bodies responsible for protection and research
on cultural heritage in Yemen. Both Organizations are under the
Supervision of the Ministry of Culture (formerly Ministry of Culture and
Tourism) and have juridical status and independent financial responsibility.

The Law sets out the procedures for antiquities protection, maintenance,
and registration, and determines archaeological activities and the control
over trading. The competent authority is the General Organization for
Antiquities, Museums, and Manuscript (GOAMM).

The Ministry of Endowment, Awqaf, is another important body to the
conservation process since it owns a great deal of property and is the
biggest property owner in the old cities.

The Yemen legal framework provides an adequate legal, institutional and
procedural basis for ensuring the World Bank policy objectives in respect
of physical cultural resources. This will be applied through project scoping
and screening and form an integral part of the Environmental Assessment
(including Environmental Management Plan) preparation, as well as
through chance find procedures, which are defined in Conditions of
Contract for all civil works carried out under the project.

10.11.4 Implementation Procedures and Financing

The EMP will specify implementation processes and responsibilities for
mitigation and monitoring associated with the physical cultural resource in
question, as well as chance find procedures. This will be defined in
conjunction with GOAMM and with the concerned community, local
authorities and particular stakeholders.

Mitigation measures involving civil works will be funded as a project cost
and will be included in the Bill of Quantities as a pay item to the contractor,
who will implement the said measures to a specified standard at the agreed
location(s).

The costs of conservation or other non-civil works mitigation will also be
included in the projects financing. This may include, for example, the
temporary secondment of, and logistical support to, a qualified archeologist
or cultural resource specialist to the project. The specialist will supervise
the implementation of relevant mitigation and management activities, as
well as the treatment of any chance finds. Relevant findings will be
recorded in the Works Supervision reports.

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The following procedures should be executed whenever archaeological
relic, antiquity or any other object of archaeological importance is
discovered during road construction:

(i) Halt construction activities.
(ii) Delineate the discovered site area.
(iii) Secure the site to prevent any damage or loss of removable objects.
In case of removable antiquities or sensitive remains, a night guard
should be present until the responsible authority takes over.
(iv) Notify the responsible foreman/archaeologist, who in turn will
notify the GOAMM, the Environmental and Social Management
Unit (ESMU) of RAP CMO and the local authorities (within less
than 24 hours).
(v) GOAMM would be in charge of protecting and preserving the site
before deciding on the proper procedures to be carried out.
(vi) GOAMM will evaluate the importance of the finding according to
criteria relevant to cultural heritage, as aesthetic, historic, scientific
or research, social and economic values.
(vii) Decision on how to handle the finding will be reached based on the
above assessment and could include changes in the project layout
(in case of finding an irremovable relic of archaeological
importance), conservation, preservation, restoration or salvage.
(viii) Implementation of the GOAMM decision concerning the
management of the finding.

Construction works should resume only when permission is given from
GOAMM after the decision concerning the safeguard of the heritage is
fully executed.

10.11.5 Consultation Procedures

stakeholders.

Preparation of the EA (including EMP) will be carried out in close
collaboration with the Beneficiary Committee and the GOAMM, as well as
NGOs, Universities, etc., as necessary. Reference to the physical cultural
resource EMP will be made in the Social Framework Agreement (SFA),
completed as part of the overall EMP.


implementation of this Policy Framework. Other agencies (such as the
Ministry of culture, GOAMM; GOPHC, etc.) shall be involved in the
monitoring and the RAP-CMO will coordinate the execution of the process.
This will include:

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(a) Monitoring of EA and EMP Preparation: monitoring of
consultant activities and reports.

(b) Monitoring of EMP Implementation:
Verifying the contractors or EMP schedule for mitigation
measures.
Monitoring physical progress against the contractors or EMP
schedule.
Monitoring the actual costs against the contractors of EMP
payment items.
Monitoring the outcome of the mitigation measures.

10.12 SOCIO-ECONOMIC BENEFITS OF ROAD PROJECTS

Numerous socio-economic benefits are expected to occur following the
road improvements. These include:

10.12.1 Reduced Transport Costs

The implementation of rural roads may reduce sub regional and regional
transport costs, between towns and villages and between rural villages
along road alignments; the possible reduction is to be ascertained through
Vehicle Operating Costs analysis to be carried out for each rural road sub-
project. The enhancement of such potential positive impact requires, upon
road completion, proper maintenance of roads (including routine and
periodic maintenance) which is to be performed by the Road Maintenance
Fund (RMF) and local administrations depending on relevant maintenance
responsibilities.

10.12.2 Reduced Travel Times

The implementation of rural roads may considerably reduce the journey
times for people and especially for goods with consequent less damage to
perishable foodstuff.

10.12.3 Improved comfort and safety

The implementation of rural road may improve the ride quality of roads
with consequent better comfort for passengers traveling with public or
private vehicles. In order to enhance such positive impact proper road
maintenance (including routine and periodic maintenance) is to be
performed by the Road Maintenance Fund (RMF) and local
administrations.

10.12.4 Increased mobility

Better connectivity provided by the rural roads will increase the mobility of
rural population and therefore access to job opportunities outside the area.
Improved transport and higher mobility will help the distribution of
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medicines. Patients will receive faster medical attention. Health workers
will enjoy easier access to work places. More doctors and nurses may
reach the rural areas. More teachers (especially women teachers for girl
schools) may reach the rural areas.

10.12.5 Stimulus to Diversified Economic Development

Development of roads usually accompanies growth and mushrooming of
services from local entrepreneurs along the highway. Services such as small
shops, petrol pumps, vehicle-repair shops, small hotels, transportation and
other travel related services are expected to generate significant earnings
and employment opportunities for local communities.

10.12.6 Improved Community Cohesion and Promoted Intercommunity
Cooperation

It has been already mentioned that the cohesiveness of the tribal social
organization in Yemen is undergoing some changes. Nevertheless, the
concept of tribal territorial domain still persists and enjoys collective
recognition. The rural roads may connect many of such domains and help
in integrating the local identities with the national one. The rural roads
could, therefore, be seen as an opportunity of promoting inter-community
relations. Studies on social dynamism in Yemen are very few. Without such
studies the object of realizing national identity by the society may continue
to suffer from hindrances or obstructions. A possible tool to enhance this
possible positive impact is to carry out anthropological studies for the rural
road sub-project in order to:

- Demarcate the diverse territorial domains of the social groups along the
road corridors;
- Identify the structure of authority granted within each tribal domain to
person or persons to negotiate the terms for maximizing opportunities
of rural road improvements for the communities as a whole;
- Identify the general nature of supplementary investments required to
advance the interest of the largest numbers amongst these communities;
- Help the RAP CMO and other governmental authorities to negotiate in
this regard.

10.12.7 Improved Accessibility to Social Services and Markets

Isolation aggravates rural poverty, illiteracy and poor health care. In 1994,
the combined basic and secondary enrollment rate was just 55%, with the
overall rate of female enrollment at 24% (Source CSO). Due to isolation,
only 50% of the population had direct access to health services. A potential
positive impact of the rural road implementation is the improved access to
education and health facilities with consequent increase in enrolment rates
and health care among rural communities. In order to enhance such positive
impact, Government and regional investment budgets should target the
implementation of rural health services and educational facilities, taking
advantage of lower transport costs and better accessibility to the road
influence zone.
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APPENDIX 10A
EMP FORMAT USED BY RAP

10A-1 Screening Report Table of Contents

10A-2 Environmental Assessment Report

10A-3 Environmental Checklist (Screening and EMP)

10A-4 Environmental Management Plan Summary

10A-5 Social Framework Agreement

10A-6 Public Consultations Format and Checklist

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Appendix 10A-1
Screening Report Table of Contents

(Adopted from RAP-SEA)

1. LOCATION
1.1. Governorate
1.2. Districts

2. LENGTH

3. PROJECT DESCRIPTION
3.1. Existing alignment
3.2. Proposed Works
3.3. Estimated Cost

4. SUMMARY OF ENVIRONMENTAL AND SOCIAL ISSUES:
4.1. Land Resources
4.2. Hydrology and Water Resources
4.3. Air and Noise
4.4. Biological Resources
4.5. Socio-Economic and Culture
4.5.1. Population and Settlements
4.5.2. Poverty Status
4.5.3. Benefits
4.5.4. Land Acquisition/Resettlement
4.5.5. Other Site-Specific Issues

5. APPLICABLE SAFEGUARD POLICIES

6. ENVIRONMENTAL SCREENING CATEGORY

7. ACTION PLAN

8. PREPARATION AND AUTHORIZATION
8.1. Date and signature of the preparer
8.2. Date and signature of RAPCMO reviewing and approving the Screening Report

9. ATTACHMENTS
9.1. Road Alignment
9.2. Photos
9.3. Location and Administrative Maps
9.4. Population and Poverty Maps
9.5. Environmental Checklist

Republic of Yemen
DOCS-0974-04
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Appendix 10A-2
Environmental Assessment Report

(Adopted from As-Saddah Al-RadhaI Road Project Final EA)

Table of Contents
EXECUTIVE SUMMARY I-IV

1. INTRODUCTION 1-1

1.1 LOCATION 1-1
1.2 LENGTH 1-1
1.3 CONTEXT & ENVIRONMENTAL CATEGORY 1-1
1.3.1 CONTEXT 1-1
1.3.2 CATEGORY 1-1
1.4 ENVIRONMENTAL & SOCIAL REVIEW PROCESS AND CONSULTATIONS 1-2
1.4.1 ENVIRONMENTAL & SOCIAL REVIEW PROCESS 1-2
1.4.2 CONSULTATION PROGRAM 1-2
1.4.3 WOMENS CONSULTATION 1-3
1.5 POLICY, LEGAL AND FRAMEWORK 1-4
1.5.1 POLICY, LEGAL AND FRAMEWORK OF THIS WORK 1-4

2- PROJECT OBJECTIVES AND DESCRIPTION 2-1

2.1 OBJECTIVES 2-1
2.2 DESCRIPTION 2-1
2.2.1 EXISTING ALIGNMENT 2-1
2.2.2 PROPOSED WORKS 2-6
2.2.2.1 GENERAL 2-9
2.2.2.2 EARTH WORK 2-8
2.2.2.3 PAVEMENT AND SHOULDERS 2-8
2.2.2.4 DRAINAGE WORKS 2-9
2.2.2.5 EQUIPMENT AND RAW MATERIAL REQUIREMENTS 2-9
2.2.2.6 CONSTRUCTION PROGRAM 2-10
2.2.2.7 LAND ACQUISTION AND COMPENSATION 2-10

3. BASELINE DATA 3-1

3.1 LAND RESOURCES: 3-1
3.1.1 GEOLOGY 3-1
3.1.2 LAND USE 3-1
3.2 HYDROLOGY AND WATER RESOURCES 3-1
3.2.2 CLIMATE 3-1
3.2.3 RAINFALL 3-2
3.2.4 ABSORPTION AND RUN OFF ZONES 3-2
3.2.5 WATER HARVESTING SYSTEMS 3-2
3.3 AIR QUALITY AND NOISE 3-2
3.4 BIOLOGICAL ENVIRONMENTS 3-2
3.4.1 VEGETATION 3-2
3.4.2 ANIMALS 3-3
3.4.3 PROTECTED AREAS FOR CRITICAL NATURAL HABITATS 3-3

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3.6 SOCIO-ECONOMIC AND CULTURAL 3-3
3.6.1 POPULATION AND COMMUNITY STRUCTURE 3-3
3.6.2 ECONOMIC ACTIVITIES & POVERTY STATUS 3-4
3.6.3 SERVICES AND FACILITIES IN THE PROJECT AREA 3-4
3.6.3.1 WATER SOURCE USED IN SETTLEMENTS 3-5
3.6.3.2 ELECTRICITY SOURCES USED IN SETTLEMENTS 3-5
3.6.3.3 HEALTH FACILITIES 3-6
3.6.3.4 EDUCATION FACILITIES 3-6
3.6.3.5 TRANSPORTATION AND ACCESSIBILITY

4. POTENTIAL IMPACTS 4-1

4.1 GENERAL 4-1
4.2 PHYSICAL ENVIRONMENT 4-2
4.2.1 LAND RESOURCES 4-2
4.2.1.1 PRE CONSTRUCTION PHASE 4-2
4.2.1.2 CONSTRUCTION PHASE 4-9
4.2.1.3 OPERATION PHASE 4-9
4.2.2 HYDROLOGY AND WATER RESOURCE 4-12
4.2.2.1 DESIGN/CONSTRUCTION PHASE 4-12
4.2.2.2 OPERATIONS PHASE 4-11
4.2.3 AIR QUALITY AND NOISE 4-13
4.3 BIOLOGICAL ENVIRONMENT 4-18
4.4 CULTURAL AND HISTORICAL SITES 4-18
4.5 SOCIO-ECONOMIC ENVIRONMENT 4-18
4.5.1 CONSTRUCTION PHASE 4-18
4.5.2 OPERATIONS PHASE 4-19

5. ANALYSIS OF ALTERNATIVES 5-1

6. ENVIRONMENTAL MANAGEMENT PLAN 6-1

6.1 GENERAL 6-1
6.2 MITIGATION PLAN 6-1
6.2.1 DESIGN PHASE 6-3
6.2.2 TENDER AND CONSTRUCTION PHASE 6-6
6.2.3 OPERATIONAL PHASE 6-8
6.2.4 MANAGEMENT OF SOCIAL IMPACTS 6-8
6.3 MONITORING PLAN 6-9
6.3.1 ENVIRONMENTAL IMPACTS 6-9
6.3.2 SOCIO-ECONOMIC IMPACTS 6-10
6.4 INSTITUTIONAL ARRANGEMENTS 6-16
6.4.1 MANAGEMENT RESPONSIBILITY 6-17
6.4.2 INSTITUTIONAL STRENGTHENING 6-18
6.4.3 REPORTING AND SUPERVISION 6-18
6.4.3.1 REPORTING 6-18
6.4.3.2 SUPERVISION 6-18
6.5 SUMMARY OF EMP DURING CONSTRUCTION PHASE. 6-19

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DOCS-0974-04
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FIGURES

Figure No. Page No.

Figure 1: Project Road Location 2-2

Figure 2: Road Topography 2-3

Figure 3: Road Alignment 2-4

Figure 4: Road Profile 2-5

Figure 5: View for Road Section 1 2-7

Figure 6: View for Road section 2 and 3 2-8

Figure 7: Distribution of Population settlements in affected districts 3-8

Figure 8: Poverty Status of Project affected districts 3-9

Figure 9: Water Sources use of project affected districts 3-10

Figure 10: Electricity Sources use of project affected districts 3-11

Figure 11: Distribution of Health Facilities in the affected districts 3-12

Figure 14: Distribution of Education Facilities in the affected districts 3-13

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TABLES

Page No.

Table (1): Population of project affected districts 3-4

Table (2): Poverty Status of project affected districts 3-5

Table (3): Water Sources Use of project affected districts 3-5

Table (4): Shows Community Distribution According to Lighting in affected districts 3-6

Table (5): Health Facilities of project affected districts 3-6

Table (6): Shows schools distributions in the affected districts 3-7

Table (7): Transportation and Accessibility of project affected districts 3-7

Table (8): Checklist of potential impacts associated with road projects 4-21

Table (9): Different alternatives of the road project 5-2

Table (10): Mitigation Measures Summary 6-2

Table (11): Suggested Frequency of list inspection 6-9

Republic of Yemen
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PLATES

Page No.

Plate (1 and 2): Urban Pinch Points in the Project Area 4-4

Plate (3): Agricultural Pinch Points in the Project Area 4-6

Plate (4): Graveyard Pinch Points 4-7

Plate (5 and 6): Pinch Points of Water Pipes 4-8

Plate (7): Waste Material along the side of the existing road 4-10

Plate (8 and 9): Discharge in Mountainous Terrain (Discharge to channel in a stack) 4-14

Plate (10): Discharge in Mountainous Terrain (Wadis crossing the road) 4-16

Plate (11): Narrow section with unstable slop in the mountainous section 4-17

Republic of Yemen
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Appendix 10A-3
ENVIRONMENTAL CHECKLIST DURING SCREENING AND EA STAGES
(ADOPTED FROM RAP SEA)

Date: / / 200_
Governorate:
N
e
g
l
i
g
i
b
l
e
U
n
c
e
r
t
a
i
n

(
t
o

b
e

d
e
t
e
r
m
i
n
e
d
)

P
o
s
i
t
i
v
e

N
e
g
a
t
i
v
e

D
i
r
e
c
t
I
n
d
i
r
e
c
t

T
e
m
p
o
r
a
r
y
P
e
r
m
a
n
e
n
t
L
o
c
a
l
i
z
e
d
E
x
t
e
n
s
i
v
e
M
i
n
o
r

&

r
e
v
e
r
s
i
b
l
e
M
a
j
o
r

&

r
e
v
e
r
s
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b
l
e
M
a
j
o
r
&

I
r
r
e
v
e
r
s
i
b
l
e
A-1.1
A-1.2
A-1.2.1 Widening
A-1.2.2 Pinch Point
A-1.2.3 Local Re-Alignment / New Alignment
A-1.2.4 Dumping Sites
A-1.3
A-1.3.1 Site Compound
A-1.3.2 Diversion and Haul Road
A-1.4
A-1.5
A-1.5.1 Solid and Liquid Waste Disposal
A-1.5.2
Management and Safety Plan for Petrolum
Products and Paving Material
A-1.5.3 Safety And Emergency Responce Procedures
A-1.5.4 Living and Sanitation Facilities
A-1.5.5 Rehabilitation of Site
A-1.6
A-1.7
B- 1.1
B- 1.2
B- 1.3
B- 1.4
A-2.1
A-2.2
A-2.3
A-2.4
A-2.5
A-2.6
A-2.6.1 Discharge to Unstable Slopes
A-2.6.2 Discharge to Rock Surface
A-2.6.3 Discharge to Channel in a Stack
A-2.6.4 Discharge to Graveyards
A-2.6.5 Discharge to Terraces
A-2.6.6
Discharge to Other Sensitive Areas or
Structures
B-2.1
B-2.2
B-2.3
B-2.4
L
A
N
D

R
E
S
O
U
R
C
E
S
A
S
P
E
C
T
Degree
POTENTIAL IMPACT CHARACTERISTICS
Borrow Pits and Quarry Areas

A
1
-

D
e
s
i
g
n

/

C
o
n
s
t
r
u
c
t
i
o
n

Management of Costruction Site Compound
Site survey investigation
Agricultural Land or Terrace Damage During
Maintenance
Comments
I
t
e
m

N
o
.
P
H
A
S
E
POTENTIAL IMPACTS
Type Change Extent
Road Name :
Effect
Temporary Land Acquisition
Permament Land Acquisition
Pollution from Wastewater,Diesel or Asphalt Spills from
Site Compound and Machinary
B
1

-

O
p
e
r
a
t
i
o
n
Management of Induced Development
Slope Stabilization
Maintenance Contractor Site Compound, Material and
Equipment Storage
Road Length:
Disposal of Cut Material and Surplus Fill
Slope Stabilization
H
Y
D
R
O
L
O
G
Y

A
N
D

W
A
T
E
R

R
E
S
O
U
R
C
E
S
A
2

-

D
e
s
i
g
n

/

C
o
n
s
t
r
u
c
t
i
o
n
Alteration of Water Harvesting Patterns
Water Harvesting
Blockage of Cross Draiange / Culverts from Uncontrlled
Discharged
Sources of Construction water
Flood Protection in Wadi
Erosion of Road Platform from Drainage Discharge
Pollution from Vehicles Diesel and Oil Spills or
Accidents with Hazardous Cargo
B
2

-

O
p
e
r
a
t
i
o
n
Cross Drainage and Scour Effects
Discharge to Adjacent Lands:
Republic of Yemen
DOCS-0974-04
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Date: / / 200_
Governorate:
N
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g
l
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i
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U
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c
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(
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P
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D
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I
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T
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P
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L
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E
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M
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&

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M
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&

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&

I
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s
i
b
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A-3.1
A-3.2
A-3.3
B-3.1
B-3.2
A-4.1
A-4.2
A-4.3
B-4.1
B-4.1.1 Animal Road Kill
B-4.1.2 Destruction of Vegetation
A-5.1
A-5.2
A-5.3
A-5.4
A-5.4.1
Safety and Health for the Constuction
Workers
A-5.4.2
Public Safety at the Site and Interaction
between the Workers and the Public
A-5.5
A-5.6
A-5.7
A-5.8
A-5.9
A-5.10
B-5.1
B-5.2
B-5.2.1
Maintenance Works Site Risks to Workers
and the Public
B-5.2.2
Health Risks from Compound Sanitation and
Communicable Diseases
B-5.3
B-5.4
Road Name :
Road Length:
A
I
R

Q
U
A
L
I
T
Y

A
N
D

N
O
I
S
E

N
U
I
S
A
N
C
E
A
3

-

D
e
s
i
g
n

/

C
o
n
s
t
r
u
c
t
i
o
n
Dust & Potenial Pollution from Construction Machinary,
Stored Materials and Spoil Heaps
Smoke from Burning of Waste Materials
Noise Nuisance
B
3

-

O
p
e
r
a
t
i
o
n
Air Pollution from Increased Traffic
B
I
O
L
O
G
I
C

R
E
S
O
U
R
S
E
S
A
4

-

D
e
s
i
g
n

/

C
o
n
s
t
r
u
c
t
i
o
n
Conversion or Degradation of a Critical or non-Citical
Natural Habitats
Damage to Biological Resources by Construction
Equipment
Damage to Biological Resources by Construction
Workers
B
4

-

O
p
e
r
a
t
i
o
n
Increased Pressure on Biological Resources from
Induced Development
S
O
C
I
O
-
E
C
O
N
O
M
I
C

A
N
D

C
U
L
T
U
R
A
L

A
5

-

D
e
s
i
g
n

/

C
o
n
s
t
r
u
c
t
i
o
n
Tribal Tensions
Land Acquisition and Resettlement
Destruction or Re-Location of Utility Services (Electricity
and Phone Pole Lines, Water Pipes)
Public Health and Safety at Construction Site
Road Closure and Detours
Graveyards and Burials
Known Archaeological and Historic Sites
Chance Finds of Cultural Resources or Other Socio-
Economics Resources
Employment
B
5

-

O
p
e
r
a
t
i
o
n
Increased Road Accidents
Public Health and Safety During Maintenance
Socio-Economic Benefits
Chance Finds of Cultural Resources or Other Socio-
Economics Resources
Comments
POTENTIAL IMPACT CHARACTERISTICS
POTENTIAL IMPACTS
Gender Considerations
Noise Nuisance
Effect Change Extent Degree
I
t
e
m

N
o
.
P
H
A
S
E
A
S
P
E
C
T
Type
Republic of Yemen
DOCS-0974-04
10-71

APPENDIX 10A-4
ENVIRONMENTAL MANAGEMENT PLAN SUMMARY
(ADOPTED FROM RAP SEA)

A. DESIGN/CONSTRUCTION PHASE

Impact
Mitigation Responsibility
Mitigation Measures
Contract and Social
Framework Agreement
(SFA) Clauses
Implementation
(Cost/Finance)
Monitoring

A.1 Land Resources

A.1.1 Site survey investigations Prudent selection and
limitation of construction
sites; reinstatement of
intrusive investigation sites.
General Regulations: II.
Other Regulations and
Requirements Clause 17.1.3.
DE, RE, Contractor
(Design Consultant/
Project)
E&SU
A.1.2 Permanent land
acquisition

Pinch points and appropriate
design to reduce platform and
minimize land taking:
Application of Resettlement
Policy Framework when
unavoidable.
Issues identified during
screening; design measures
in Contract Data, contract
drawings and SFA.
DE, RE
(Contractor/ Project;
community land
donation &
collaboration)
E&SU
A.1.3 Temporary land
acquisition

Siting of site compounds,
diversions and haul roads;
traffic management.
General Regulations: I.
Safety, Health &
Environmental Regulations
Clause 7.3; II. Other
Regulations and
DE, RE, Contractor
(Contractor/Project)
E&SU
A.1.4 Slope stabilization Stabilize upslopes in
mountainous areas; design
measures to minimize adverse
downstream impacts.
drawings.
DE, RE
(Contractor/ Project)
E&SU
A.1.5 Contractor site
compounds, materials and
equipment storage

Provision of adequate living
and sanitation facilities;
adequate materials
management and safety plan;
handover of rehabilitated
compound site.
Safety, Health &
Clauses 6.1, 6.4; II. Other
Regulations and
Requirements Clauses 17.3,
17.4, 17.5.
RE, Contractor
(Contractor/Project;
community land
donation &
collaboration)
E&SU
A.1.6 Disposal of cut materials
and surplus fill agricultural
land destruction
Controlled disposal of cut
material and surplus fill.
Safety, Health &
Clause 6.6.
DE, RE, Contractor
(Contractor/ Project)
E&SU
A.1.7 Borrow pits and quarry
areas

Prudent selection of site;
management during use and
reinstatement.
Safety, Health &
Clause 5.15.
DE, RE, Contractor
community land
donation &
collaboration)
E&SU
A.2 Hydrology and Water Resources

A.2.1 Sources of construction
water
Appropriate sourcing of water
and prior arrangements with
communities.
Contractors obligation
defined in contract document
and community obligations
defined in SFA.
DE, RE, Contractor
E&SU
A.2.2 Pollution from
wastewater, diesel or asphalt
spills from site compounds and
machinery
Measures to prevent
groundwater or surface water
contamination.
Safety, Health &
Clause 6.3.
DE, RE, Contractor
E&SU
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DOCS-0974-04
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A.2.3 Flood Protection in
Wadis
Appropriate road alignment
within wadis; design for
protection and drainage
discharge works that
minimize adverse
downstream impacts.
drawings.
DE, RE, Contractor
E&SU
A.2.4 Alteration of water
harvesting patterns
Incorporate current water
harvesting practices into
design; use of irrigation
pipes; improvement of
channel performance by
riprap work.
drawings and in SFA.
DE, RE, Contractor
E&SU
A.2.5 Wadi cross drainage and
scour effects on new fill.

Appropriate drainage design;
use of culverts, Irish
crossings, protection walls,
riprap, side drainage ditches
and outlets; tree planting.
in COPA, contract drawings
and SFA.
DE, RE, Contractor
E&SU
A.2.6 Discharge to:
- new fill
- unstable slopes
- channel in a stack
- Graveyards
- agriculture terraces and
- other sensitive and roadside
structures
Appropriate positioning and
design of drainage structures;
protection walls or riprap.
screening; measures in
COPA, contract drawings
and SFA. DE, RE, Contractor
E&SU
A.3 Air Quality and Noise
A.3.1 Dust & potential
pollutants from construction
machinery, stored material and
spoil heaps
Water spraying during
operations; dust emission
controls on crushers and other
equipment; Preferably, locate
heaps away from
communities and farmlands;
cover material-laden trucks;
control of fugitive dust during
material delivery.
Safety, Health &
Clause 6.2.
RE, Contractor
(No additional cost;
Community
collaboration)
E&SU
A.3.2 Smoke from burning of
waste materials
Prohibition of burning waste
material.
General Regulations: Safety,
Health & Environmental
Regulations Clause 6.2.
RE, Contractor
(No additional cost)
E&SU
A.3.3 Noise Nuisance Noise control devices on
compressors, percussion
tools; avoid equipment use
after working hours.
Safety, Health &
Clause 6.5.
RE, Contractor

E&SU
A.4 Biological Resources
A.4.1 Conversion or
degradation of a critical or non-
critical natural habitats
Assessment and mitigation
plan under Natural Habitats
Policy Framework.
in COPA, contract drawings
and SFA.
E&SU, DE, RE,
Contractor
(Design
Engineer/Contractor/
Project)
E&SU,
MinWater
&Env.
A.4.2 Damage to biological
resources by construction
equipment
Avoidance through
realignment or pinch points;
restoration of nests, dens or
other small animal habitats.
Safety, Health &
Clause 16.2.2. Issues
identified during screening;
design measures in COPA,
contract drawings and SFA.
DE, RE, Contractor
E&SU
A.4.3 Damage to biological
resources by construction
workers
Contractor employment rules;
information campaigns to RE
and contractor personnel.
Safety, Health &
Clause 4.11.
RE, Contractor
E&SU

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DOCS-0974-04
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A.5 Socio-Economic and Cultural Resources
A.5.1 Tribal Tensions Consultation and negotiation
during during project
preparation.
screening; agreements and
commitments expressed in
SFA.

DE, RE, Contractor,
Beneficiary Committee
E&SU
A.5.2 Land acquisition and
resettlement
Abbreviated or Full
Resettement Plan, as
specified during screening.
Safety, Health &
Clause 5.13. Issues identified
during screening; design
measures in COPA, contract
drawings and SFA.
Procedures specified in
Resettlement Policy
Framework.
DE, RE, Contractor,
Beneficary Committee
Community land donation
& collaboration)
E&SU
A.5.3 Destruction or relocation
of utility services (electricity
and phone lines, water pipes
and wells, etc.).
Design avoidance measures
through pinch points or
alignment adjustment, OR
relocation of utility;
precautionary measures with
construction machinery
during operations.
General Regulations: Safety,
Regulations Clause 16.2.4.
screening; measures in
COPA, contract drawings
and SFA.
DE, RE, Contractor,
E&SU
A.5.4 Public health and safety
at construction site

-Safety and health for the
construction workers.

-Public safety at the site and
interaction between the workers
and the public.

Safety rules for work
operations, such as equipment
operation procedures,
protective hard hats, shoes
and clothing for workers; first
aid and medical kits and
procedures; health and safety
regulations clearly displayed
in English and Arabic.

Public health and safety
measures, such as barriers
and warning signs to borrow
areas or other dangerous
zones;
information campaigns on
health practices and
communicable diseases.
Safety, Health &
Clauses 4, 5 & 6.
Community precautions
defined in SFA.

RE, Contractor, Beneficary
Committee
E&SU
A.5.5 Road closure and detours Traffic management; define
closures and detours with
Beneficiary Committee;
install and maintain warnings
guides to drivers.
Safety, Health &
Clause 7.3; II. Other
Regulations and
DE, RE, Contractor,
E&SU
A.5.6 Graveyards and burials Avoid disturbance through
pinch points or alignment
adjustments; drainage and
design measures to avoid
flooding; barriers during
construction.
Safety, Health &
Clause 7.5. Issues identified
during screening, design
measures in COPA and SFA.
DE, RE, Contractor,
E&SU
A.5.7 Known archaeological
and historic sites and resources
Assessment and mitigation
plan under the Cultural
Resources Policy Framework.
screening; procedures
specified in Cultural
Resources Policy
Framework; agreements and
commitments expressed in
SFA.
E&SU, DE, RE, Contractor,
Beneficiary Committee,
GOAMM
(Design
Engineer/Contractor/
Project)
E&SU,
GOAM
M
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A.5.8 Chance finds of Cultural
Resources or other socio-
economics resources
Application of Chance Find
Procedures to assess
requirements and implement
mitigation.
Chance Find Procedures
specified in Annex 2 of
Cultural Resources Policy
Framework; agreements and
commitments carried out
within the SFA framework.
RE, Contractor, Beneficiary
Committee, GOAMM
E&SU
A.5.9 Gender considerations Womens consultations and
incorporate concerns into
EMP.
screening, design measures
in COPA and SFA.
Women Consultant, DE,
Contractor, Beneficiary
Committee
(RAP CMU/Project)
E&SU
A.5.10 Employment Mechanisms to maximize
local employment benefits
explored during
consultations.
Safety, Health &
Clause 4.11.

DE, RE, Contractor,
E&SU

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B. OPERATIONS PHASE

Impact
Mitigation Responsibility
Mitigation Measures
Contract and Social
Framework Agreement (SFA)
Clauses
Implementation
(Cost/Finance)

Monitoring

B.1 Land Resources
B.1.1 Slope stabilization

Regular maintenance
of stabilization
measures; protection
works
Maintenance measures defined
in COPA c data.
RE, Contractor,
Beneficiary
Committee
(Contractor/Roa
d Fund/local
govt)
E&SU
B.1.2 Agricultural land or
terrace damage during
maintenance
Controlled disposal
of cut and fill during
maintenance;
controlled equipment
operations.
General Regulations: I. Safety,
Regulations Clause 6.6.
RE, Contractor,
Beneficiary
Committee
(Contractor/Roa
d Fund/local
govt)
E&SU
B.1.3 Maintenance contractor
site compounds, materials and
equipment storage

Provision of adequate
living and sanitation
facilities; adequate
materials
management and
safety plan;
limitation of
construction site.
Regulations Clauses 6.1, 6.4; II.
Other Regulations and
Requirements Clauses 17.3,
17.4, 17.5.
RE, Contractor,
Beneficiary
Committee
(Contractor/Roa
d Fund/local
govt)

E&SU
B.1.4 Management of induced
development
Land use planning
and zoning for
intersections and
village extensions.
Not applicable. Beneficiary
Committee,
Local
Government
(Local govt)
E&SU,
MoPW^H

B.2 Hydrology and Water
Resources

B.2.1 Water harvesting Regular maintenance
of water harvesting
structures.
in cdOPA and SFA.
RE, Contractor,
Beneficiary
Committee
(Contractor/Roa
d Fund/local
govt/Community)
E&SU
B.2.2 Blockage of cross
Drains/culverts
Uncontrolled discharge
Regular maintenance
of drainage
structures;
avoid uncontrolled
community
discharges.
Maintenance measures carried
by the beneficiaries defined in
COPA SFA.
RE, Contractor,
Beneficiary
Committee
(Community)
E&SU
B.2.3 Erosion of road platform
from drainage discharge
Maintenance of
retaining structures,
such as walls,
gabions, riprap;
planting of shrubs
and grasses.
in COPA and SFA.
RE, Contractor,
Beneficiary
Committee
(Contractor/Roa
d Fund/local
govt/Community)
E&SU
B.2.4 Pollution from vehicle
diesel and oil spills or
accidents with hazardous
cargo.
Timely clean up
following accidents.

Not applicable.
Beneficiary
Committee
(Community)
N.A.
B.3 Air Quality and Noise

B.3.1 Air pollution from
increased traffic
Vehicle maintenance;
enforcement of
emission controls;
lead free fuels.

Not applicable.
Ministry of
Transport
(National Govt)
N.A.
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B.3.2 Noise Nuisance Speed controls in
populated areas; signs
and warnings in
sensitive areas; driver
information/educatio
n campaigns.
Health & Environmental Reg.
Clause 6.5.
RE, Contractor,
Beneficiary
Committee
(Contractor/Roa
d Fund/local
govt/Community)
E&SU
B. 4 Biological Resources

B.4.1 Increased pressure on
biological resources from
induced development
- Animal road kill
- Destruction of vegetation
Maintenance of speed
reduction measures,
signs and warnings;
planned development
of growth areas;
educational
campaigns.
Local maintenance and actions
defined in SFA.
RE, Contractor,
Beneficiary
Committee
(Community)
E&SU
B.5 Socio-Economic and
Cultural Resources

B.5.1 Increased road accidents Maintenance of speed
reduction measures,
signs and warnings;
Information
campaigns to drivers
and at villages.
Local maintenance and actions
defined in SFA. RE, Contractor,
Beneficiary
Committee
(Community)
E&SU
B. 5.2 Public health and safety
during maintenance

-Maintenance works site risks
to workers and the public

-Health risks from compound
sanitation and communicable
diseases

Safety rules for work
operations, such as
equipment operation
procedures, safety
barriers, warning
signs, protective hard
hats, shoes and
clothing for workers;
first aid and medical
kits and procedures;
appointment of
Safety Officer.

Information
campaigns on health
practices and
communicable
diseases;
health and safety
regulations clearly
displayed in English
and Arabic.
Regulations Clauses 4, 5 & 6.
Community precautions defined
in SFA.

RE, Contractor,
Beneficary
Committee
(Contractor/local
govt; Community
collaboration)

E&SU
B.3 Socio Economic Benefits Monitoring of
benefits.
Consultants contracts to carry
out data collection, analysis and
reporting.
Consultants,
E&SU
(RAP CMU/
Project)
E&SU
B.4 Chance finds of Cultural
Resources or other socio-
economics resources
Application of
Chance Find
Procedures to assess
requirements and
implement
mitigation.
Chance Find Procedures
specified in Annex 2 of Cultural
Resources Policy Framework;
agreements and commitments
carried out within the SFA
framework.
RE, Contractor,
Beneficary
Committee
(Contractor/Roa
d Fund/local
govt;
Community)
E&SU

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APPENDIX 10A-5
SOCIAL FRAMEWORK AGREEMENT

(ADOPTED FROM RAP-SEA)

The Social Framework Agreement is a participative instrument to incorporate social issues in
the standard procedures of road project screening, planning, construction and operation,
including the assessment of impacts and the introduction of mitigation or enhancement
measures in the final design. The SFA is the agreement that formalizes these procedures
through consultations with the beneficiaries during the project design stage. A Committee of
Road Beneficiaries is appointed to negotiate the agreement with all concerned parties. The
SFA lays out all areas of potential social concern, with agreed and specific mitigation or
enhancement measures to address them. The SFA also serves as a framework through which
unforeseen problems will be solved during the course of construction. Separate consultations
are held for men and women. The SFA is appended to the Environmental Management Plan
of each road.

Rural Access Project
Central Management Office

SOCIAL FRAMEWORK AGREEMENT (SFA)
(ENGLISH VERSION)
FOR
Project Name: ........................................

This SFA is carried out in accordance with Law No. 14 (2001) concerning the Agreement
between the Government of Yemen and the International Development Association (IDA)
signed August 2, 2001 for the Rural Access Project (RAP). The project, under the Ministry of
Public Works and Highways (MPWH), will carry out rural road improvements to improve
access of communities in ............District(s) and ............. Governorate to markets and public
services.

The SFA is signed following consultation with the Governor and Chairman of the Local
Council to form a Beneficiary Committee, including members of Parliament, sheikhs, local
councils and women representatives, that will be appointed by Governorate Decree No.
..................... (copy attached).

The SFA is based on the environmental and social studies of the project area and reached on
...................... between: Mr. Hakim Aghbari, General Director for RAP Central Management
Office (CMO), Ministry of Public Works and Highways, and the Chairman of the Beneficiary
Committee,...............................

On the Following:

1. PROJECT DESCRIPTION

1.1 Objectives

The project aims to improve the road for the public to markets and public services through:
Improvement of the existing alignment; and
Maintenance of the improved alignment
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1.2 Existing Alignment

This project starts from ........................(starting point) and will pass through ...........................
(major villages) and will end at ........................(ending point) for a total length of ............km,
which includes ........................(description of preliminary excavation of other works).

1.3 Proposed Works

Proposed works will be mainly on the existing alignment, and will include ................
(describe basic works, such as earthworks, , structural and drainage works, basecourse layer
and type of pavement, such as asphaltic concrete, surface treatment or other).

2. PROJECT ISSUES

2.1 Land Acquisition and/or Building Destruction

The project has a Resettlement Policy Framework, which defines the mechanism for
addressing issues arising out of land acquisition and/or building destruction impacts. If such
impacts are identified, an initial assessment shall determine whether such impacts can be
avoided or minimized through design measures. These may include such measures as narrow
sections or pinch points, in agreement with affected people. If these impacts cannot be
avoided, the Policy provides for the following:

(a) Land assets: In conformance with Yemeni traditional rural practice, owners of
affected lands will not be compensated by the Project in cash for loss of land, but
the affected owners will donate such land for public purposes and community
benefit. However, this donation will occur within the context of a mutually
signed community-based Agreement, which is appended to the SFA, and which
specifies the terms under which the donation is made.
(b) Houses and other structures: Owners of affected houses or other structures will
be compensated in-kind at replacement cost, which is defined as the cost of the
works required to replace the asset in its existing condition. This, in addition to
arrangements for providing the land on which the replacement structure will be
built, shall be stated in a mutually signed community-based Agreement, signed by
the asset owner(s) and appended to the SFA.

Particular application of this Policy to this road is described below.

2.1.1 Narrow sections to avoid land acquisition

The major narrow sections identified along the alignment are at the following locations:
.......... (list narrow sections and pinch points)

2.1.2 Unavoidable land acquisition or building destruction

In the case of unavoidable land acquisition or building destruction, details of locations and
affected persons are presented in the attached Community Based Agreement.

2.2 Other Issues

The following other issues have been identified and will be addressed under this SFA:

For each issue, such as water harvesting systems, existing water pipes, telephone or
electricity poles, obstructing trees, etc., indicate the following:

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Issue:
Location:
Solution:

3. RURAL ACCESS PROJECT RESPONSIBILITIES

The RAP, under the MPWH, will finance and improve the existing road according to the
proposed works mentioned above. The RAP, under MPWH reserves the right to change the
project funding source and/or the project description.

4. BENEFICIARY COMMITTEE RESPONSIBILITIES

According to the Decree creating the Beneficiary Committee, the Committee will:

Approve and sign this SFA and, if necessary a Community Based Agreement related to land
acquisition and building destruction.

Cooperate with the RAP CMO in carrying out the Project improvements.

Assist RAP CMO in avoiding and/or minimize any negative environmental and social
impacts related to project implementation.

Work on solving any problems that may arise during works implementation, either with local
communities, government agencies and local councils.

Give priority for collecting appropriate funds for maintenance through the local council(s).
Continue to collect funds to ensure maintenance works according, to the laws, if other
maintenance funding is not available.

Assist the RAP and the Resident Engineer (RE) in implementing the design and other
necessary project improvements.

Assist the RAP to provide either lands owned by government, local community or trust lands,
for the following:
Temporary camp site and storage of equipment
Temporary diversions during construction period
Haulage roads for borrow areas
Locations for waste disposal to avoid agricultural land destruction
Resources of water for road construction
Any other sites required

Assist the RE and Contractor to obtain approval for relocation of utility services (water pipes,
electricity, telephone, etc.) adjacent to, or on the right of way to avoid damage during
construction, in collaboration with the relevant agencies.

Assist the RE and Contractor to obtain approval for the locations, timing and duration of road
closures.

Assist the RE and Contractor to avoid disturbance of graveyards and, in rare cases, arrange
for graveyard relocation, with approval of, and collaboration with appropriate religious
authorities.

Assist the RE and Contractor to avoid or minimize disturbance of cultural resources and
facilitate chance find procedures.
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Assist in discussions among the RAP, RE and Contractor in reaching appropriate solutions
related to agricultural and domestic use water harvesting systems, such as irrigation pipes and
road bumps, related to the road works.

Assist the Contractor in protecting equipment against theft or vandalism and take appropriate
safety precautions to protect children and the public in and around the work sites.

Carry out any other responsibilities required to ensure successful project implementation.

5. SIGNATURES AND AUTHORIZATION

Position: General Director of RAP

Position: Chairman of Beneficiary
Committee
Name:

Name:
Signature:

Signature:
Date:

Date:

Position: Minister of Public Works and
Highways

Position: Governor
Governorate:
Name:

Name:
Signature:

Signature:
Date:

Date:

ATTACHMENTS

A. BENEFICIARY COMMITTEE APPROVAL

B. PROJECT ALIGNMENT

C. COMMUNITY BASED AGREEMENT FOR RESETTLEMENT (IF NECESSARY)
C.1 Agreement Forms (Land Donation, Building Replacement)
C.2 List of Affected Persons and Resettlement Plan Procedures

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APPENDIX 10A-6
PUBLIC CONSULTATIONS FORMAT AND CHECKLIST

The minutes of Consultations will have the following contents:

Road Name
Date
Location
List of attendees
Summary of issues discussed which may include:

Adopted approach
Substantive issues explored during the local consultations
Discussions with the local communities and concerned individuals
Discussions with local women
Sessions with design engineers and contractors.
Encounters with the Local Government Authorities
Review of current and potential contributions of local NGOs

Sample Questions:

Are you concerned about:
potential loss of private property?
increased traffic and/or speed?
increased noise and/or air pollution?
effect on pedestrian safety?
inconveniences during execution?
effect on agricultural areas? (if any)
effect on natural reserves? (if any)
effect on water resources? (if any)
effect on cultural heritage sites? (if any)

Other concerns or objections
..............................................................................................................................
..............................................................................................................................

As part of this public consultation, how do you expect to participate in the
project?
..............................................................................................................................
..............................................................................................................................

Interviewer: ...............................................................

Reviewed and endorsed by: .......................................

SECTION 11

TYPICAL STRUCTURES AND
DESIGN DETAILS

Section
11

SECTION 12

YEMEN METEOROLOGICAL
DATA

Section
12
Section 12 - Yemen Meteorological Data
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Climatic data for Al Jawf
Station Al Jowf Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec
Latitude 16.15 Tmax (c) 28.8 30.8 33.5 34.7 38.4 40.1 40.5 40.3 37.9 33.2 30.3 27.1
Altitude 1100 m Tmin (c) 11.8 15.2 18.0 19.3 21.7 23.2 25.7 24.8 21.8 17.0 12.5 11.9
Tmean (C) 20.3 23.0 25.8 27.0 30.0 31.7 33.1 32.6 29.8 25.1 21.4 19.5
sunshine 10.4 10.0 10.1 10.4 11.6 11.5 9.4 9.2 10.6 11.8 12.1 10.3
solar rad. (Langly/month) 15301.3 14678.7 17829.0 18257.0 20153.3 19182.0 17555.0 17423.0 17965.7 18549.7 16723.5 14752.0
RHmax (%) 41.5 42.3 40.9 44.2 22.9 24.8 26.2 28.6 18.3 16.2 18.4 35.4
average 1989-91 RHmin ( %) 15.2 16.0 13.2 14.8 7.6 6.8 6.8 6.9 7.6 9.3 10.7 17.5
RHavg (%) 28.4 29.2 27.1 29.5 15.3 15.8 16.5 17.8 12.9 12.8 14.5 26.4
wind run (km/day) 210.4 254.4 251.2 233.6 232.8 264.8 360.8 298.4 228.0 208.0 172.8 175.2
wind speed ( km/hour) 8.8 10.6 10.5 9.7 9.7 11.0 15.0 12.4 9.5 8.7 7.2 7.3
wind speed ( m/s) 2.4 2.9 2.9 2.7 2.7 3.1 4.2 3.5 2.6 2.4 2.0 2.0
precipitation(mm/month) 2.3 4.3 14.3 15.7 3.7 3.0 7.7 2.0 4.3 2.3 1.5 6.5
ET0 (mm/month) 152.7 187.4 217.4 223.6 262.1 286.5 334.2 296.8 249.2 206.3 159.1 133.6
0.5 ET0 (mm/month) 76.4 93.7 108.7 111.8 131.1 143.2 167.1 148.4 124.6 103.1 79.5 66.8
Source: Agro-climate Unit, AREA, Dhamar

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Climatic data for Al-Kod (Abian)
Station Alkod Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec
Latitude 13.08 Tmax (C) 28.3 28.9 30.2 31.8 34.6 35.8 35.3 35.0 34.9 32.7 30.8 29.2
Altitude 20 m Tmin (C) 20.2 20.9 22.5 23.3 25.0 26.0 26.7 25.6 24.9 21.6 19.0 19.9
Tmean (C) 24.2 24.9 26.4 27.6 29.8 30.9 31.0 30.3 29.9 27.2 24.9 24.6
Average 1971-93 RH (%) 77 79 80 80 80 76 76 76 80 78 77 77
windrun (km/day) 154.4 168.2 174.2 153.5 135.9 138.0 155.5 151.2 125.7 127.4 119.1 135.0
sunshine (hour/day) 8.0 8.6 8.5 9.0 10.2 8.7 8.0 8.5 8.6 9.5 10.0 8.6
precipitation (mm/month) 3.8 12.3 7.9 5.1 3.3 0.1 1.8 3.0 6.0 8.2 0.3 1.6
ET0 (mm/month) 104.4 118.6 131.2 142.6 158.3 153.0 149.8 151.6 143.8 132.7 116.0 102.6
0.5 ET0 (mm/month) 52.2 59.3 65.6 71.3 79.2 76.5 74.9 75.8 71.9 66.4 58.0 51.3

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Republic of Yemen
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Climatic data for Hajjah Station
Station Hajjah Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec

Latitude 15
o
43' Tmax (C) 29.6 31.1 33.0 33.2 34.1 35.3 34.3 35.0 35.4 35.0 33.0 30.7
Longitude 43
o
37' Tmin (C) 11.4 13.2 14.9 15.3 16.3 17.0 18.3 17.7 15.6 13.5 12.0 11.9
Altitude 1100 m Tmean (C) 20.5 22.2 24.0 24.3 25.2 26.2 26.3 26.4 25.5 24.3 22.5 21.3
RH (%) 62 61 59 60 57 53 60 62 57 52 55 63
average 1986-89 Sunshine (hr/d) 7.2 5.7 6.9 6.7 8.3 7.1 6.4 7.1 8.4 8.4 7.0 5.6
Wind speed (m/s) 1.0 1.0 1.0 0.9 0.9 0.9 0.9 0.9 0.9 0.9 0.8 0.8
Rainfall (mm/month) 6.6 9.9 61.1 127.8 82.5 27.3 89.6 122.8 16.7 3.1 6.4 10.7
PET (mm/month) 93.0 102.0 121.0 126.0 142.0 135.0 129.0 134.0 134.0 121.0 99.0 83.0
0.5 PET 46.5 51.0 60.5 63.0 71.0 67.5 64.5 67.0 67.0 60.5 49.5 41.5

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Climatic data for Al Hudaidah Station
Station Hodeidah ( Airport ) Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec
Latitude 14.76 Tmax (C) 29.2 29.7 31.1 33.4 35.0 36.4 37.4 36.8 36.9 34.8 32.1 31.4
Altitude 11 m Tmin (C) 20.0 21.7 23.6 25.5 27.4 28.7 29.2 28.9 27.6 25.0 21.4 20.0
Tmean (C) 24.6 25.7 27.3 29.4 31.2 32.6 33.3 32.8 32.2 29.9 26.7 25.7
RH (%) 78.9 77.8 78.6 79.1 77.8 75.0 73.0 72.8 70.1 72.6 73.0 78.1
Average 1983-90 wind run (km/day) 353.3 378.3 380.2 371.5 388.3 313.0 328.8 293.3 280.8 307.7 360.0 350.4
wind speed (m/s) 4.1 4.4 4.4 4.3 4.5 3.6 3.8 3.4 3.3 3.6 4.2 4.1
precipitation (mm/mth) 7.2 7.5 10.3 24.3 1.5 1.2 3.4 7.7 3.6 0.0 0.0 0.7
ET0 (mm/mth) 114.6 128.4 145.7 165.1 179.0 172.2 179.7 177.9 176.7 168.5 147.4 121.5
0.5 ET0 (mm/mth) 57.3 64.2 72.9 82.5 89.5 86.1 89.9 89.0 88.3 84.3 73.7 60.7

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Station: Al Hudaydah
Monthly rainfall (mm)
Year Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec
An.
Total
1963 0.0 0.0 0.6 3.0 27.0 0.0 0.0 6.3 0.0 25.0 25.0 22.8 109.7
1964 0.4 0.0 0.0 11.0 8.9 0.3 56.3 32.1 14.6 0.0 0.0 156.0 279.6
1965 x 0.0 0.0 2.3 5.6 0.5 0.0 23.2 4.2 12.0 6.8 0.0 54.6
1966 x 87.8 22.8 6.1 0.0 0.0 4.0 9.4 0.4 0.0 0.0 0.0 130.5
1967
1968
1969
1970
1971
1972
1973 10.0 0.0 0.0 12.0 x 0.0 27.0 x 0.0 0.0 0.0 0.0 49.0
1974 0.0 0.0 28.0 0.0 x 0.0 8.0 18.5 16.5 x 0.0 0.0 71.0
1975 x x x x x x 0.0 x x 0.0 0.0 0.0 0.0
1976 x x 7.8 0.0 x 0.0 x x x 0.0 8.5 0.0 16.3
1977 1.9 32.7 0.0 0.0 0.0 0.0 0.0 19.4 0.0 34.5 11.5 15.0 115.0
1978 48.2 0.4 0.1 0.0 0.0 0.0 267.9 0.0 0.0 1.1 2.1 78.0 397.8
1979 2.0 0.0 0.7 0.0 0.0 0.0 0.0 0.0 18.4 0.0 0.0 0.0 21.1
1980 2.5 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 2.5
1981 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0
1982 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0
1983 3.3 25.0 0.0 12.9 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 41.2
1984
1985 0.0 1.3 2.0 0.0 10.0 0.0 23.0 0.0 0.0 0.0 0.0 0.0 36.3
1986 0.0 8.5 12.0 15.0 0.0 0.0 4.0 0.0 0.0 0.0 0.0 3.7 43.2
1987 0.8 0.0 0.0 32.5 2.0 0.0 0.0 0.0 0.0 0.0 0.0 1.9 37.2
1988 0.0 0.0 0.0 39.0 0.0 0.0 23.3 61.4 27.5 0.0 0.0 0.0 151.2

average 4.6 9.2 4.1 7.4 3.6 0.0 23.0 10.6 4.8 4.0 2.8 14.6 81.9

x Missing data
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Climatic data for Ibb
Station Ibb Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec
Latitude 14.98 Tmax C 23.4 24.6 26.0 26.0 27.9 28.9 27.5 27.0 26.9 26.5 25.2 24.0
Altitude 1900 m Tmin C 6.5 8.4 10.1 11.0 11.6 12.0 12.8 12.4 10.3 6.8 5.5 6.8
Tmean C 15.0 16.5 18.1 18.5 19.7 20.4 20.2 19.7 18.6 16.6 15.4 15.4
RH % 69.3 70.6 67.8 71.7 69.0 67.6 75.9 76.1 70.3 68.8 69.0 68.8
Average 82-90 wind run km/day 80.0 92.3 85.3 66.3 48.0 45.1 44.4 38.8 29.6 44.8 55.8 64.9
sunshine hours 8.7 8.9 8.9 8.4 7.5 8.0 6.0 6.5 7.0 8.0 8.4 7.8
Precipitation mm/mth 6.3 22.4 40.3 80.0 116.0 133.3 173.7 164.8 111.6 17.0 11.6 4.4
ET0 mm/mth 76.7 91.6 106.6 108.0 105.9 109.0 95.8 97.2 93.7 86.9 76.6 70.6
0.5ET0 mm/mth 38.4 45.8 53.3 54.0 52.9 54.5 47.9 48.6 46.9 43.4 38.3 35.3

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Climatic data for Mahweet
Station Mahweet Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec
Latitude 15.47 Tmax (C) 24.6 26.5 29.7 29.1 34.2 36.2 32.2 32.9 34.9 31.9 26.7 26.8
Altitude 2000 m Tmin (C) 11.1 13.0 15.1 16.2 17.2 18.9 19.9 18.2 16.9 12.7 10.7 10.0
Tmean (C) 17.8 19.7 22.4 22.7 25.7 27.5 26.0 25.5 25.9 22.3 18.7 18.4
solar radiation (langly) 13720.0 14372.0 16794.0 16776.5 19130.0 18164.5 15569.0 15708.0 17353.5 16990.5 14910.0 13435.0
Year average RH max (%) 94 85 87 89 85 87 93 96 100 95 92 88
1988-89 RH min (%) 49 36 30 34 17 17 40 42 25 17 30 25
RHavg (%) 71 60 59 62 51 52 66 69 63 56 61 56
wind run (km/day) 176.4 188.4 205.2 195.6 238.8 253.2 264.0 205.2 198.0 214.8 184.8 172.8
wind run (km/hour) 7.4 7.9 8.6 8.2 10.0 10.6 11.0 8.6 8.3 9.0 7.7 7.2
wind speed (m/s) 2.0 2.2 2.4 2.3 2.8 2.9 3.1 2.4 2.3 2.5 2.1 2.0
Precipitation(mm/month) 0.4 6.8 7.0 138.4 23.2 67.6 118.8 149.2 32.1 2.8 0.6 1.9
ET0 (mm/month) 91.2 122.3 145.9 147.8 192.0 201.9 157.1 143.4 161.6 146.9 111.8 103.7
0.5 ET0 (mm/month) 45.6 61.2 72.9 73.9 96.0 101.0 78.5 71.7 80.8 73.4 55.9 51.9

Republic of Yemen
DOCS-0974-04
12-13

Republic of Yemen
DOCS-0974-04
12-14

Climatic data for Rada
Station Rada Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec
Latitude 14.38 Tmax C 23.3 24.7 25.8 25.5 27.3 29.2 29.8 29.0 27.4 24.9 23.3 23.2
Altitude 2100 m Tmin C 3.3 6.1 9.0 11.5 12.3 13.6 15.3 14.7 11.4 6.0 4.0 4.0
Tmean C 13.3 15.4 17.4 18.5 19.8 21.4 22.5 21.8 19.4 15.4 13.6 13.6
sunshine hour/day 9.5 8.4 8.7 7.9 9.1 8.9 7.5 7.4 8.8 10.3 10.3 9.3
Average 1982-90 RH max % 73 66 71 73 71 60 61 74 70 60 66 73
RH min % 40 35 40 41 35 32 33 38 35 36 40 45
RH % 57 51 56 57 53 46 47 56 53 48 53 59
wind run km/day 104.2 129.7 135.2 129.0 144.4 165.7 190.0 173.8 148.9 117.3 96.5 99.0
wind run km/hour 4.3 5.4 5.6 5.4 6.0 6.9 7.9 7.2 6.2 4.9 4.0 4.1
wind speed m/s 1.2 1.5 1.6 1.5 1.7 1.9 2.2 2.0 1.7 1.4 1.1 1.1
Precipitation mm/mth 7.5 16.6 30.8 51.8 11.0 1.0 16.3 39.1 7.7 3.2 3.3 4.2
ET0 mm/mth 83.5 101.7 116.3 120.5 135.8 150.5 152.0 138.2 130.9 110.9 89.0 79.8
0.5 ET0 mm/mth 41.8 50.8 58.2 60.2 67.9 75.2 76.0 69.1 65.5 55.4 44.5 39.9

Republic of Yemen
DOCS-0974-04
12-15

Republic of Yemen
DOCS-0974-04
12-16

Climatic data for Risaba
Station Risaba Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec
Latitude 15.93 Tmax ( C ) 23.7 24.4 26.2 25.9 27.6 29.8 29.2 28.2 27.9 25.7 24.4 23.7
Altitude 2316 Tmin ( C ) 1.1 3.8 6.5 7.9 8.7 8.7 10.1 10.5 7.4 3.6 0.7 0.7
Tmean 12.4 14.1 16.3 16.9 18.2 19.3 19.7 19.4 17.6 14.7 12.6 12.2
Average 1982-90 RH ( % ) 56.0 45.0 67.0 59.0 40.0 36.0 42.0 55.0 44.0 37.0 39.0 42.0
windrun (km/day) 138.7 156.7 150.2 141.7 157.9 164.5 185.9 169.3 156.5 142.0 122.7 129.0
windspeed (m/s) 1.6 1.8 1.7 1.6 1.8 1.9 2.2 2.0 1.8 1.6 1.4 1.5
sun (hours/day) 9.5 9.2 8.9 7.9 8.6 8.2 6.8 6.9 8.5 10.0 9.8 9.2
precipitation (mm/mth) 7.2 16.3 35.0 70.0 31.9 4.7 40.5 64.8 8.3 4.1 3.0 6.3
ET0 (mm/mth) 83.7 107.9 107.5 116.2 141.9 150.5 122.0 113.6 108.1 118.2 95.1 87.5
0.5 ET0 (mm/mth) 41.9 54.0 53.7 58.1 71.0 75.2 61.0 56.8 54.0 59.1 47.6 43.7

Republic of Yemen
DOCS-0974-04
12-17

Republic of Yemen
DOCS-0974-04
12-18

Station Risaba Years Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec Yearly
Latitude 15.93 total
Altitude 2316 m 1981 0.0 0.0 190.7 64.0 15.8 8.0 30.3 83.3 0.0 0.0 0.0 0.0 392.1
1982 21.9 9.3 103.1 52.8 60.7 2.1 30.4 50.6 2.5 27.9 9.8 13.2 384.3
1983 22.7 19.7 35.3 136.5 47.5 1.2 22.0 79.7 0.0 4.6 0.0 0.0 369.2
1984 0.0 0.0 7.1 3.5 94.3 11.5 5.6 9.2 0.0 0.0 0.0 6.4 137.6
1985 8.5 5.3 15.8 110.3 37.5 1.7 29.9 77.5 5.9 0.0 17.6 0.0 310.0
1986 0.0 28.8 40.9 75.6 14.4 0.0 41.4 66.6 0.0 0.0 0.0 9.7 277.4
1987 0.0 20.1 47.4 45.8 3.7 1.6 41.5 66.4 30.6 0.0 0.0 5.5 262.6
1988 0.0 17.4 0.0 48.6 0.1 12.7 107.3 94.6 23.3 0.0 0.0 0.0 304.0
1989 0.0 7.5 28.0 137.0 19.0 10.0 21.0 105.0 0.0 4.0 0.0 22.0 353.5
1990 11.5 38.8 37.3 19.7 9.9 1.4 65.0 34.0 12.5 0.0 0.0 0.0 230.1

average 6.5 14.7 50.6 69.4 30.3 5.0 39.4 66.7 7.5 3.7 2.7 5.7 302.1

Republic of Yemen
DOCS-0974-04
12-19

Climatic data for Sadah
Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec
Tmax C 23.9 24.4 26.9 28.1 31.6 33.0 33.2 32.8 31.2 27.2 25.4 23.4
Tmin C 6.7 9.8 11.9 13.0 15.0 15.5 17.8 16.5 14.1 9.7 6.6 4.5
Tmean C 15.3 17.1 19.4 20.6 23.3 24.3 25.5 24.6 22.7 18.4 16.0 13.9
solar radation Langly/mth 13483.0 13082.7 16215.3 16049.3 18370.0 17416.0 16119.3 15878.0 16143.7 16088.7 14450.7 13045.3
RH max % 73 69 64 64 40 44 54 69 40 34 37 52
RH min % 21 22 17 19 10 9 10 10 10 13 13 17
RH avg % 47 46 41 41 25 27 32 39 25 24 25 35
wind run km/hour 9.6 11.3 10.8 9.8 10.6 10.3 10.7 9.3 10.8 10.2 7.9 7.0
windspeed m/s 2.7 3.1 3.0 2.7 3.0 2.9 3.0 2.6 3.0 2.8 2.2 1.9
precipitation mm/mth 5.9 2.3 12.4 22.5 6.3 9.8 7.8 10.5 0.5 0.1 0.0 1.9
ET0 mm/mth 112.0 136.1 161.9 166.1 215.4 214.5 210.6 183.8 203.3 169.9 130.9 102.2
0.5 ET0 mm/mth 56.0 68.0 81.0 83.1 107.7 107.3 105.3 91.9 101.6 85.0 65.5 51.1

Republic of Yemen
DOCS-0974-04
12-20

Republic of Yemen
DOCS-0974-04
12-21

Climatic data for Sanaa
Station Sana'a Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec
Latitude 15.48 Tmax (C) 24.5 25.7 27.3 27.0 28.9 30.7 31.2 30.5 29.1 25.9 24.7 24.0
Altitude 2183 m Tmin (C) 3.9 6.9 9.2 10.6 12.2 13.4 14.9 14.5 12.2 6.8 4.2 3.4
Tmean (C) 14.2 16.3 18.2 18.8 20.5 22.0 23.0 22.5 20.6 16.4 14.5 13.7
RH (%) 46.3 49.9 49.4 57.9 43.9 38.3 41.9 47.8 36.9 36.1 39.5 47.0
Average 1983-90 windrun (km/day) 200.2 205.0 204.0 235.7 235.2 292.3 286.6 294.2 236.2 207.4 171.4 175.7
sun (hour/day) 9.9 9.5 8.5 8.3 9.6 8.3 7.5 8.0 9.3 10.5 10.5 9.5
ET0 (mm/month) 107.6 121.2 135.2 136.5 168.5 191.0 186.3 177.3 172.0 140.9 112.4 97.7
0.5 ET0 (mm/month) 53.8 60.6 67.6 68.3 84.3 95.5 93.2 88.7 86.0 70.4 56.2 48.8

Republic of Yemen
DOCS-0974-04
12-22

Republic of Yemen
DOCS-0974-04
12-23

Climatic data for Seiyun
Station Seiyun Elements Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec
Latitude 15.92 Tmax (C) 28.9 31.6 34.6 37.0 39.9 42.0 42.5 41.9 39.8 35.3 31.5 29.2
Altitude 700 Tmin (C) 9.7 12.8 15.9 18.3 20.2 22.4 25.4 25.3 21.1 15.9 12.4 10.0
Tmean (C) 19.3 22.2 25.3 27.6 30.1 32.2 34.0 33.6 30.5 25.6 22.0 19.6
Sunshine (hour/day) 8.6 8.8 8.7 8.9 9.8 8.7 7.9 8.1 9.0 9.2 9.2 8.8
Year average RH (%) 47.6 46.0 40.1 36.5 31.6 29.5 30.7 33.4 33.4 38.0 40.9 46.7
1980-2000 Wind run (km/day) 62.1 74.1 88.7 85.3 89.8 86.3 104.2 95.0 76.0 83.5 55.4 52.5
Wind speed (m/s) 0.7 0.9 1.0 1.0 1.0 1.0 1.2 1.1 0.9 1.0 0.6 0.6
Precipitation (mm/month) 2.6 6.2 17.4 10.9 1.5 4.5 5.7 15.9 2.6 2.5 2.2 0.1
ET0 (mm/month) 92.2 120.7 153.0 171.4 184.5 191.3 205.5 198.2 168.4 137.6 102.6 88.5
0.5 ET0 (mm/month) 46.1 60.3 76.5 85.7 92.3 95.6 102.7 99.1 84.2 68.8 51.3 44.2

Republic of Yemen
DOCS-0974-04
12-24

Republic of Yemen
DOCS-0974-04
12-25

station Years Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec Total

Surdod Rainfall 1987 0.0 0.0 4.0 59.0 51.2 11.3 28.1 102.9 49.9 60.3 35.0 15.3 417.0
mm/month 1988 6.6 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 7.2 0.0 13.8
1989 17.7 10.3 0.0 95.6 26.0 27.6 30.7 136.5 158.0 72.8 3.9 66.3 645.4
1990 0.0 11.0 0.0 0.0 0.0 0.0 36.6 84.9 118.0 34.2 0.0 0.0 284.7
1991 3.0 32.2 0.0 0.0 0.0 0.0 0.0 0.0 101.6 51.0 0.0 26.5 214.3
1992 8.4 0.0 0.0 5.5 10.6 59.3 2.1 170.0 82.4 119.7 7.0 49.4 514.4
1993 2.2 9.0 0.0 3.7 184.9 1.2 56.7 44.0 162.3 74.8 26.0 0.0 564.8
1994 0.0 7.4 30.1 0.5 76.7 13.5 142.6 22.0 86.7 36.2 60.8 0.0 476.5
1995 0.0 0.0 109.7 0.0 55.6 36.4 114.2 135.5 209.7 80.6 0.3 0.0 742.0
1996 0.0 0.0 13.6 53.9 80.7 111.3 60.5 99.9 129.2 67.1 28.2 0.0 644.4
1997 1.1 0.0 0.6 15.2 53.2 121.5 5.0 115.3 159.1 177.0 77.1 0.0 725.1
1998 0.0 0.0 3.3 17.5 5.4 20.7 86.8 162.8 119.0 131.4 14.2 12.9 574.0
1999 0.0 0.0 10.5 8.0 12.0 68.9 59.1 71.6 76.6 53.5 27.0 0.0 387.2

average 3.0 5.4 13.2 19.9 42.8 36.3 47.9 88.1 111.7 73.7 22.1 13.1 477.2

Republic of Yemen
DOCS-0974-04
12-26

Climatic data for Taiz
Station Taiz Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec
Latitude 13.57 Tmax (C) 26.2 27.5 29.4 30.7 32.0 33.1 32.1 31.8 31.6 30.3 28.5 27.0
Altitude 1400 m Tmin (C) 13.4 14.3 16.1 17.5 18.5 19.3 19.6 18.8 17.6 15.7 13.9 13.6
Tmean (C) 19.8 20.9 22.7 24.1 25.3 26.2 25.9 25.3 24.6 23.0 21.2 20.3
RH (%) 62.3 60.2 56.2 52.1 51.1 50.2 53.7 56.4 55.8 51.8 52.0 58.7
Average 1983-2000 wind run (km/day) 170.9 183.0 220.6 211.7 172.2 180.4 207.9 179.9 144.6 171.2 179.6 183.7
wind speed (m/s) 2.0 2.1 2.6 2.5 2.0 2.1 2.4 2.1 1.7 2.0 2.1 2.1
ET0 (mm/month) 107.0 125.0 154.0 167.0 165.0 164.0 161.0 154.0 143.0 145.0 130.0 112.0
0.5 ET0 (mm/month) 53.5 62.5 77.0 83.5 82.5 82.0 80.5 77.0 71.5 72.5 65.0 56.0

Republic of Yemen
DOCS-0974-04
12-27

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