(Architecture Ebook) Land Development Handbook PDF

Table of Contents
Cover ------------------------------------------------------------------------------------------------------------------------ 1
PART I: OVERVIEW ---------------------------------------------------------------------------------------------------- 4
1 OVERVIEW OF THE LANDDEVELOPMENT PROCESS----------------------------- 8
PART II: FEASIBILITY AND SITEANALYSIS -------------------------------------------------------------------- 24
2 COMPREHENSIVE PLANNING AND ZONING------------------------------------------ 38
3SITE PLAN ORDINANCES,SUBDIVISION REGULATIONS,AND BUILDING
CODES------------------------------------------------------------------------------------------------ 66
4EXACTIONS,INFRASTRUCTUREENHANCEMENTS, AND FEES --------------- 72
5REAL PROPERTY LAW ----------------------------------------------------------------------- 78
6 ENGINEERING FEASIBILITY ---------------------------------------------------------------- 98
7ENVIRONMENTALREGULATIONS -------------------------------------------------------- 138
8ENVIRONMENTAL SITEASSESSMENTS ----------------------------------------------- 146
9HISTORIC ANDARCHAEOLOGICASSESSMENT ------------------------------------ 154
10MARKET ANALYSIS ANDECONOMIC FEASIBILITY ------------------------------- 160
11 THE REZONING PROCESS ---------------------------------------------------------------- 174
P A R T III: CONCEPTUAL DESIGN-------------------------------------------------------------------------------- 194
12 DEVELOPMENT PATTERNSAND PRINCIPLES-------------------------------------- 198
PART IV: SCHEMATIC DESIGN------------------------------------------------------------------------------------- 228
13 BOUNDARY SURVEYS FORLAND DEVELOPMENT ------------------------------- 232
14 CONTROL SURVEYS ------------------------------------------------------------------------ 250
15 TOPOGRAPHIC SURVEYS----------------------------------------------------------------- 276
16 PRELIMINARY ENGINEERING ------------------------------------------------------------ 300
17 ENVIRONMENTAL ANDNATURAL RESOURCES ---------------------------------- 306
18 HISTORIC PRESERVATION AND ARCHEOLOGY ---------------------------------- 324
19ENVIRONMENTALCONSIDERATIONS ------------------------------------------------ 338
PART V: FINAL DESIGN----------------------------------------------------------------------------------------------- 358
20 SUBURBAN STREET DESIGN ------------------------------------------------------------ 360
21STORM DRAIN DESIGN --------------------------------------------------------------------- 412
22DESIGN OF STORMWATERMANAGEMENT FACILITIES ------------------------ 480
23 FLOODPLAIN STUDIES --------------------------------------------------------------------- 540
24 GRADING AND EARTHWORK------------------------------------------------------------- 550
25 WASTEWATER COLLECTION------------------------------------------------------------- 600
26 WATER DISTRIBUTION --------------------------------------------------------------------- 654
27 WASTEWATER TREATMENT ------------------------------------------------------------- 710
28 WATER SUPPLY ANDTREATMENT ---------------------------------------------------- 750
29 EROSION AND SEDIMENTCONTROL ------------------------------------------------- 776
30 CONTRACT DOCUMENTSAND SPECIFICATIONS -------------------------------- 832
31 CONSTRUCTION COSTESTIMATING -------------------------------------------------- 836
PART VI: PLAN SUBMISSIONAND PERMITTING ------------------------------------------------------------- 860
32 SUBDIVISION SUBMITTALS --------------------------------------------------------------- 862
33PLAN SUBMITTAL, REVIEW,AND APPROVAL PROCESS ----------------------- 872
34ENVIRONMENTAL PERMITS -------------------------------------------------------------- 886
PART VII:CONSTRUCTION ------------------------------------------------------------------------------------------ 896
35 CONSTRUCTION STAKEOUTSURVEYS----------------------------------------------- 898
36BUILDING PERMITS ANDCERTIFICATES OFOCCUPANCY ------------------- 932
PART VIII:TECHNICAL APPENDICES ---------------------------------------------------------------------------- 934
37 GEOSPATIAL DATA -------------------------------------------------------------------------- 936
38TYPES OF DRAWINGS USEDIN LAND DEVELOPMENT ------------------------- 966
39SOILS --------------------------------------------------------------------------------------------- 990
40CASE STUDY:UNION MILLS --------------------------------------------------------------1054
41TECHNICAL APPENDIX ---------------------------------------------------------------------1098
Source: LAND DEVELOPMENT HANDBOOK
PART I
OVERVIEW
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OVERVIEW

PART I
OVERVIEW

OVERVIEW

CHAPTER 1
OVERVIEW OF THE LAND

DEVELOPMENT PROCESS
Sidney O. Dewberry, P.E., L.S. / Dennis Couture, A.S.L.A, R.L.A.
LAND DEVELOPMENT approach to land use planning, analysis, and engineering is

Urban design experts plan the cities and communities of known as land development design. Land development is the
today and tomorrow. The many specialists involved are entire process, from concept through design and construc-
highly educated and experienced in several fields. They tion.
handle a host of tasks, encompassing feasibility studies,
The Conversion of Land
zoning applications, environmental regulations, designs,
permits, and the hundreds of steps necessary to design and Since the early 1950s, the conversion of land to a different
construct a project. use has generally meant a more intensive use. The definition
formerly applied almost exclusively to residential, commer-
cial, retail, industrial, and employment center land uses. It
Just What Is Land Development? did not take long, however, before city planners and resi-
The conversion of land from one use to another is the gen- dents alike echoed Daniel Boone’s call for elbow room and
erally accepted definition of land development. As used in clamored to have areas preserved for recreational, educa-
this book, it is confined to land conversion associated with tional, social, and cultural activities as well as for the road-
the modern communities that are being constructed, or re- ways and services to support them. And while the typical
constructed, for people to live, work, worship, shop, play, land development definition was broadened to include such
and with other supporting land uses. This age-old process activities as conversion of rural land to agriculture use, con-
began when ancient societies organized themselves into struction of major transportation and utility systems, or
tribes, settling on and claiming land, forming villages and even central city redevelopment, the meaning for the pur-
primitive towns, for the mutual protection and livelihood poses of this Handbook is the conversion of land from one
of all. The great civilizations of Egypt, Greece, and Rome use to another, usually of greater intensity, and is typically
can be traced to humble beginnings in tribal communities. applied to residential, commercial/retail, industrial, and
Their growth in size and complexity is typical of urban employment centers with supporting uses and supporting
development and not unlike what we are experiencing to- infrastructure.
day in the United States. With their complex roadways, Land development design is the systematic process of
aqueducts, commercial markets, and residential areas, the collecting data, studying and understanding the data, ex-
ancients battled problems of transportation, waste disposal, trapolating the data, and creating on paper the plans for
drainage, water supply, population densities, and a host of reshaping the land to yield a land development project that
others. One can be certain that complaining neighbors ex- is politically, economically, and environmentally acceptable
isted then as now. Yet today, the process for finding solu- to the client and the public. Persuasion, salesmanship, and
tions and developing scenarios that serve the greater good negotiation are part of the process. For the purposes of this
is systematic and, to a large degree, uniform in principle, Handbook, architectural design is included only insofar as
and beginning to be uniform in practice. The systematic it provides preliminary or schematic elements sufficient to
3
OVERVIEW OF THE LAND DEVELOPMENT PROCESS
4 O V E R V I E W
define size, bulk, shape, and densities. Appearance, heights, valuable reference tool. But before we proceed with where
setbacks, and aesthetics factor into the final product, and we are today, a bit of background is in order.
for this reason architects are frequently members of land
development design teams. However, the detailed design of HISTORY OF SUBURBAN GROWTH1
buildings is a subject for another time and another author.
At the heart of all suburban growth is land development—
The Land Professional the conversion of rural or vacant land to some sort of res-
With the advent of land use regulations, significant envi- idential use. The process involves property owners, specu-
ronmental constraints imposed by federal, state, and local lators, banks, private lenders, builders, and buyers. As land
values at the center of the metropolis rise, individual parcels
governments, and the heavy involvement of citizens im-
either produce the higher yields to hold their place, or in
pacted by new developments, dedicated land use profes-
the course of a few years, more profitable businesses move
sionals must be prepared to draw on a wealth of resources in on the site. By the same token, if much the same yield
to design a project that is appealing to both the end user can be earned at a peripheral site of lower value, there is
and the surrounding community yet be cost effective to the little incentive to remain in and around the central business
client. These professionals must be adept at balancing the district. The pattern of urban land investments affects the
objectives of the client with the expectations of the citizenry value of outlying farmlands, which either increase yields by
and public approval agencies. They must be prepared to more profitable crop, or, as is the usually the case, they give
handle a diversity of projects, from the relatively simple way to more lucrative subdivision and real-estate develop-
conversion of vacant land to residential sites to the devel- ments ( Jackson, 1985).
opment of in-fill sites and complex, large-scale mixed-use
projects. These words describing the fundamental interrelation-
The skills, innovative thinking, and creativity needed to ship of real estate, suburbanization, and land development
make a land development project successful are gained were realized and practiced throughout the 19th century
through years of experience and encompass the entire spec- much as they are today. From ancient Mesopotamia to co-
trum of activities from land acquisition, rezoning, planning, lonial America, one can find residential suburbs in every
engineering, and surveying to construction. The talents of culture, yet the systematic evolution of suburbanization—
many specialists, including environmentalists, architects, the ‘‘process involving the systematic growth of fringe areas
land surveyors, civil engineers, landscape architects, ar- at a pace more rapid than that of core cities, as a lifestyle
chaeologists, historians, geotechnical engineers, arborists, involving a daily commute to jobs in the center’’ ( Jackson,
land use attorneys, and noise abatement technicians, just to 1985, p. 13)—did not really materialize until the very early
name a few, contribute to a project’s success. 19th century in the United States.
Two significant factors influenced the suburbanization of
This Handbook America. First is the advancement of modern transporta-
Undeniably, the land development design process, however tion. Second is the rapid population increase in cities dur-
systematic it is, varies considerably throughout the United ing the first half of the 19th century (see Table 1.1).
States due to the diversity of state and local regulations
controlling land use and land subdivision. Yet within the The Move to Suburban Life
process there are many elements common throughout the In the 1700s, homes, shops, public buildings, hotels, places
jurisdictions. Even if it were intentionally written for a par- of worship, and commerce were interspersed throughout
ticular microregion, no book could present the specific de- urban areas. This pattern reflects a lifestyle whose primary
sign process due to the dynamics of the regulations. This modes of transportation were the horse and foot. Shop-
book is a presentation of a typical design process, but in keepers usually lived above their stores, and those who
no way should it be construed as the design process. didn’t generally lived within one mile.
It is our hope that this Handbook will aid you in antic- Before the 19th century, in most cities throughout the
ipating the multiple issues and requirements you will no world, the distinction between the city and the country, that
doubt encounter as you progress through the various stages is, the suburbs, was both social and economic. The aristoc-
of project development or as you seek to broaden your racy lived at the prestigious addresses located in the core
professional understanding of the complexities of land de- of the city near the places of culture and commerce. The
velopment. For the developer, it will be an invaluable tool denizens of the outer fringes farther away from available
to understand the services he or she will be acquiring from services were perceived to be inferior to those closer in.
various design specialists and will prepare him or her for
the regulation maze ahead. For those entering the land de-
sign profession, whether in the public sector or as a con- 1
A comprehensive treatise on suburban growth in the United States is Kenneth T.
sultant, this Handbook will aid you in the development of Jackson’s Crabgrass Frontier: The Suburbanization of the United States (Jackson,
the skills needed. For the practitioner it will prove an in- 1985). The following has been adapted from Jackson’s book.

1 䡲 OVERVIEW OF THE LAND DEVELOPMENT PROCESS 5
TABLE 1.1 Population of Principal Cities 1800–1850 (U.S. Census Bureau)

LOCATION 1800 1810 1820 1830 1840 1850
Boston, Mass. 24,937 33,250 43,298 61,392 93,383 136,881

.....................................................................................................................
New York, N.Y. 60,489 96,373 123,706 202,589 342,710 515,547
.....................................................................................................................
Philadelphia, Pa. 69,403 91,874 112,772 161,410 220,443 340,045
.....................................................................................................................
Baltimore, Md. 26,114 35,583 62,738 80,625 102,313 169,054
.....................................................................................................................
Washington, D.C. 3,210 8,208 13,217 18,827 23,354 40,001
.....................................................................................................................
Cincinnati, Oh. 750 2,540 9,642 24,831 46,338 115,436
.....................................................................................................................
New Orleans, La. ...... 17,242 27,176 46,310 102,193 116,375
That soon changed with an expanded population and and country was fading. The evolution of new technologies
transportation network. Congestion and the need for better, in transportation changed the character of the city from a
more affordable living accommodations forced people to the walking city to a commuter city. As the outer fringe areas
periphery of the city, where land was more available and became accessible there was a shift in residential status. The
less expensive. In the 1820s, the distinction between city suburbs were no longer perceived as the residence for the
F IGURE 1.1 An antique omnibus. (Chicago Historical Society)

6 O V E R V I E W
lower ranks but rather the destination for upper-class fam- ments were freed from the limitations of the rail lines. Co-
ilies who wanted to move away from the inner city’s unat- incident with the boom in automobile ownership, between
tractive squalor.2 1922 and 1929 new homes were begun at the rate of
883,000 per year, a rate more than double that of any pre-
The Role of Modern Transportation vious seven-year period. The automobile increased the
The new modes of mass transit began with the omnibus, amount of developable land by providing access to the va-
which was later replaced by the horsecar and eventually cant land between the rail corridors.
superseded by the electric streetcar. Steam ferries were used With more land available and traveling convenience sig-
in cities divided by rivers, and commuter railroads were nificantly improved, densities of suburban developments
used for longer-distance commutes. Omnibus mass transit decreased and lot sizes increased. Areas accessible only to
was established in 1829 in New York; Philadelphia’s system cars were relatively less expensive. New construction tech-
followed two years later. Boston had one by 1835 and Bal- niques such as the balloon frame house revolutionized pro-
timore in 1844. The omnibus is the urban counterpart of duction and served to lower the cost of a new home
the stagecoach, and although the ride was often rough and significantly. Add to that such other innovations such as
unpleasant, it gave rise to a new category of traveler, the power lines and sanitary sewer services and one can un-
commuter. derstand the burgeoning demand. Builders rushed to take
During this same period, steam railroads came into use. advantage of this new market opportunity.
Because steam locomotives required substantially long stop-
ping and starting distances, the suburban developments Success—Suburban Style
that sprang up along the tracks had to be several miles The preference for rural life over the city was characteristic
apart. High fares associated with commuter trains further of the middle class of the latter part of the 19th century.
limited the migration to outlying suburbs along these rail The suburban single-family dwelling was viewed by many
lines to those who could pay the fares. families as a sign of success and the reward for hard work.
The horsecar, a combination of the steam railroad and The new attitude towards suburban living and the availa-
the omnibus, became popular during the 1850s. Smoother bility of relatively inexpensive housing had an impact on
and faster than the omnibus, the horsecar could move at the architectural style of houses as well. Instead of city-like
6–8 mph. It served to push the fringe even further outward row houses with no yard or the rural farm type with veg-
from the central city. etable-herb gardens, manicured lawns and picturesque gar-
With transportation improvements opening new areas dens became the norm.
for growth, many would-be homeowners and real estate Early suburban developments reflected the gridiron
specialists became active in the city-building process, lob- street patterns of most cities. The system was simple, max-
bying city governments to extend the infrastructure, pres- imized the number of lots, and was easy to survey. How-
suring streetcar companies to build tracks to suburban area, ever, new progressive philosophies evolved in the late 19th
and setting the property lines. With municipalities involved century. These new ideas were based on preserving natural
in paying for infrastructure, development and the public beauty by providing open space within the development
process became inextricably linked. and using curvilinear street patterns. Grandeur was accom-
By the turn of the century, the electric streetcar had re- plished by wide streets and minimum setback distances of
placed the horsecar. The average speed of travel increased the house from the street. Zoning restrictions were not an
to 10–15 mph. Despite the improvement, the pattern of issue at the time; therefore, legal covenants in the property
suburbanization was still linear due to the rails and power deeds set the minimum distances.
lines needed for operation. Although the motor car was
invented before the electric streetcar, trolley lines were es- The Beginnings of Land Development Design
tablished in many areas within 10 years of its invention; One of the first planned picturesque communities to capi-
acceptance of the motor car took much longer due to high talize on this new trend was the brainchild of Llewellyn S.
vehicular costs, regulations, and lack of adequate roads. Haskell and Alexander Jackson Davis. Haskell owned 400
acres in the eastern foothills of New Jersey and employed
Enter the Automobile Davis to prepare the site plan for a development called
With the advent of Ford’s assembly line in 1914, the price Llewellyn Park. Davis’s layout included two heretofore un-
of the Model T dropped from $950 in 1910 to $290 in heard of features: curvilinear streets and 59 acres of natural
1924. Automobile registrations increased from 1 million in open space. Both features took full advantage of the natural
1913 to 26 million by 1927. Because people no longer had landscape. Additional open space was provided by the av-
to wait or walk to rail transportation, suburban develop- erage lot size of 3 acres.
To enhance even further a pleasant environment, Haskell
and Davis stipulated in the covenants that no factory, shop,
2
Today, in the early part of the 21st century, the outer fringes of a metropolitan city slaughterhouse, or other place of industry would be per-
is 20 miles or more. In the early 19th century the outer fringes were only one to mitted in the planned community. Property owners were
two miles from the central business district. able to landscape their lawns freely but were encouraged to
F IGURE 1.2 Horsecar of 19th century. (Chicago Historical Society)
F IGURE 1.3 Typical electric streetcar. (Chicago Historical Society)

8 O V E R V I E W
harmonize their property with the character of the land.

Fences were prohibited, however, because they interfered
with the natural scenery.
Frederick Law Olmstead was another advocate of main-
taining the natural character of land. He employed this
technique in his first development, Riverside, a 1600-acre
site located outside of Chicago. Together with his partner
Calvert Vaux, they molded the development into their con-
ception of a well-planned proper residential district. Riv-
erside included curvilinear streets, generous 100 ⫻ 225-ft
lots, and such amenities as a lake and a total of 700 acres
for parks and recreation of which one was a 160-acre park
along the Des Plaines River. Houses were set back 30 ft
from the street and homeowners were required to maintain
immaculate gardens.
Haskell, Davis, and Olmstead, like their successors at the
turn of the 20th century, were not unlike the land devel-
opers of recent times. Rarely did a single individual (or
firm) buy land, generate the site plan, construct the infra-
structure and houses, and then finance sales to the ultimate
owners. Typically an engineer or surveyor was hired to de-
sign the site. The finished lots were then sold, usually at
auction, to buyers who would build the houses for sale or
for their own occupancy or hold the finished lots as
speculation/investment.
The End of the First Boom and the Beginning of Federal

Financing Assistance
The stock market crash of October 1929 ended the housing
boom of the 1920s. Between 1928 and 1933 construction F IGURE 1.4 Advertisement for a streetcar subdivision. (Chicago
of residential property decreased by 95%. The virtual col- Historical Society)
lapse in the housing industry prompted action by Congress
to stabilize the housing industry and the economy. The
Emergency Farm Mortgage Act of 1933 was intended to the war, marriages and birth rates increased dramatically,
reduce rural foreclosures. The Home Owners Loan Corpo- creating a high demand for affordable housing. The Serv-
ration (HOLC) provided low-interest loans for owners to icemen’s Readjustment Act of 1944 created a Veterans Ad-
recover homes lost through forced sale. The loans were ministration mortgage program similar to FHA. The
long-term and self-amortizing with uniform payments assurance of federal mortgage guarantees resulted in hous-
spread over the life of the debt. In the 1920s the typical ing starts to skyrocket to 1,015,000 in 1946. By 1949 hous-
length of a mortgage was 5 to 10 years. The HOLC program ing starts had reached an all-time high of 1,430,000.
increased the repayment period to 20 years. To meet this demand for housing, designers developed
Another significant action by Congress was the National innovative mass production techniques. The Levitt family
Housing Act of 1934, which created the Federal Housing did for the housing industry what Henry Ford did for the
Administration (FHA). An FHA secured loan required only automobile industry three decades earlier. The development
about a 10% downpayment, only a third of what saving of Levittown on Long Island transformed 4000 acres of po-
and load associations required. The repayment period for tato farm into 17,400 dwellings. This massive undertaking,
the guaranteed mortgages increased to 25 to 30 years with the biggest private housing project in the United States,
loans fully amortized. Additionally, the FHA set minimum began in 1946.
construction standards for houses that were mortgaged un-
der the program. The effect on the construction industry Back to the Future—Where Do We Go from Here?
was evident by the 332,000 housing starts in 1937. By The land development industry is the direct result of the
1941, housing starts were up to 619,000. ongoing need for housing and services as communities ex-
pand their borders and the population pursues the Ameri-
The Impact of Federal Mortgage Guarantees can Dream. Suburbanization in the 19th and early part of
World War II forced another slowdown in residential con- the 20th century evolved as a result of a combination of
struction. Housing starts declined to 139,000 in 1944. After factors such as increased population, the need for affordable

housing, and the innate American desire to own one’s own broker, describe his proposed project and ask the broker to
castle rather than rent. Science and technology in the form find him a suitable piece of land. More likely, a real estate
of new types of transportation, building materials, and in- broker will contact the developer and offer a certain piece
novative construction methods lowered the cost of housing. of land that might support the style, amenities, and overall
Together with innovative financing programs, these ad- goals of the developer’s particular project. The developer is
vancements helped more and more middle class Americans usually experienced, either having been in business several
achieve that dream. years or having been employed by another developer where
The challenge for those of us in land development is to he gained the relevant experience. The first thing the de-
understand the factors contributing to the demand for veloper will do, if he is not already familiar with the neigh-
growth and expansion and be able to remain flexible borhood, is visit the site and familiarize himself with the
enough to respond to the changing needs of the market. piece of land. On first inspection, does it appeal to the eye
Part of that understanding includes knowing where the in- and appear worth pursuing? Is the proposed sales price
dustry has been and how it evolved into the practices and comparable to the existing neighborhood? Utilities availa-
procedures of today. The other part is understanding the ble? What is the zoning? Is the asking price in the ballpark?
nature of the land development industry and how to main- These are the first in a host of other very preliminary ques-
tain the standards of quality, flexibility, and value that we tions. If the preliminary inspection proves promising, the
have attained. Design professionals must meet the chal- next step is to employ an engineer to do a feasibility study.
lenges of today while not losing sight of yesterday’s lessons This feasibility study can be a one- or two-hour visit with
and today’s high standards. the engineer or a 45- to 60-day process. If the engineer is
familiar with the general area and is able to answer suffi-
It used to be that a home builder depended largely on cient questions, the developer may be able to proceed with
a surveyor to lay out the lots, and the local city or town to
negotiations to purchase the property within a relatively
extend utilities and streets into the subdivision. That is no
short period, since a detailed analysis of the site can be
longer the case.
Following World War II and the Korean War, there has performed in several days or weeks.
been a continuous and large demand for housing, caused The experienced developer will usually perform a brief
by retiring veterans, rapid migration to our cities, smaller analysis of the property that addresses essential items and
families and changing life-styles. This demand has required then proceed immediately to get the property under con-
a revolutionary approach to financing of all facilities contract, with the final purchase contingent on a number of
nected with housing. With government leadership and sub- items. Speed is often critical to get the property under con-
sidies, huge mortgages with minimum down payments have tract to prevent a competitor developer from gaining con-
been made available to Americans of all income levels. The trol.
large amount of capital generated by this process has rev-
During this study period, the developer is very busy do-
olutionized home construction and ownership in America
in the past 30 years. Other major public works programs, ing a complete analysis for the property. This analysis could
such as the interstate highway system, mass transit, pollu- include a market survey, financing options, sales potential,
tion control, and clean water acts, are all small in compar- pro forma financial models of the proposed project, and,
ison to the billions which go into housing every year. While not least, a detailed engineering feasibility study. There is
the social changes of these public works programs are vast usually a limited number of days to do this feasibility study
and historical, home building and related construction has (from 15 to 45 days is quite common), during which time
been the largest single industry in the United States for at the purchaser can release his option to purchase the prop-
least three decades (Dewberry, 1979). erty for any number of reasons.
During this engineering feasibility study, detailed infor-
THE LAND DEVELOPMENT PROCESS mation must be developed. What is the zoning? Can the
Overview of the Land Design Process developer reasonably expect to be able to get the desired
This book is, in its entirety, an overview of the land design rezoning? How many lots will the project yield? What is
process as it applies to engineering, planning, and survey- the cost of providing the needed infrastructure to the site,
ing. The engineer, planner, and surveyor are an intimate both on-site and off-site? What is the history of support or
part of the development team. One or more of them is opposition to similar projects by citizens/neighbors in this
usually the first on the site and the last to leave after com- area?
pletion. They help guide and direct the process from start After the developer has satisfied himself on all of the
to finish. As an aid in understanding the overall land design questions, he may then proceed with the contract. If the
process in as few words as possible and without having to feasibility study or other analysis indicates the potential for
peruse this lengthy book, consider a hypothetical project. problems, renegotiations may be necessary. Oftentimes dur-
Imagine there is a developer or owner who wishes to ing a feasibility study period, items are discovered that will
construct and sell residential houses in a certain price range cause the developer to drop the contract or renegotiate the
in a certain region. He may initially contact a real estate terms based on the new information.

10 O V E R V I E W
The next step in the process usually involves hiring a The next step is construction. The surveyor is involved
surveyor to do a boundary and topographic survey. The in giving lines and grades to the contractor to make sure
boundary survey is required to transfer title, while the to- that the completed project complies with the intent of the
pography survey is required to accomplish design. final construction drawings. Sometimes the engineer will
The planner, whether it be the surveyor, engineer, ar- provide on-site inspection to ensure that specifications are
chitect, or landscape architect, will then proceed to do a fully honored, although in most jurisdictions the developer
schematic design of the proposed project working closely must pay a permit fee that covers the cost of inspection.
with the developer and all members of the team. The inspection or inspections are then performed by the
If rezoning is involved, the developer must mobilize his jurisdictions’ own inspectors.
entire team and develop a winning strategy. Chapter 11 in In residential development, model homes are used to
this book touches on this subject in detail. show potential buyers the types of floorplans and upgrades
Once rezoning has been obtained, the next step is prep- available within the community. In some cases, floor plans
aration of a detailed preliminary plan. The schematic de- and rendered drawings are used as the only sales tool. De-
veloped earlier or during the rezoning process is usually the velopers and lenders do not like construction to get very
basis for this plan, with more details of such things as sewer far ahead of sales.
and water connection required to be shown. Other details The final step, after all construction of the infrastructure
to be addressed include. How is storm runoff to be han- has been completed and the streets have all been paved, is
dled? What about erosion and sedimentation control, ac- to conduct an as-built survey and set final property corners.
cess, turning lanes, right turn lanes; building set backs, lot Final inspections and the engineer’s certification are the last
sizes, and treatment of soils? All of these questions and official actions in the process.
more are related to the preparation of the final plans are This overview of the land design process is of course
addressed in the detailed preliminary plans. simplified for ease of communicating what the entire pro-
The preliminary plans must then be processed through cess is. It is meant to be an overview. The details of the
all the affected agencies and approval sought. Most of the specific technical aspects can be found in the appropriate
time revisions are required before approval is granted. chapters.
These requested revisions are sometimes mandatory but
more often are negotiable. It is here that the skilled con- Communication Skills
sultant can make a big difference by successfully managing No discussion of the land development process would be
revisions before the project reaches final design. Sometimes complete without addressing the critical need for solid com-
it is necessary to present this preliminary plan, once again, munication skills.
to the affected citizens even though they may have been Overlooked and unemphasized in land development are
involved in the rezoning. This aids in gaining community good communication skills. The process requires members
support and once again should be completed prior to em- of the team to be in constant communication with each
barking on final design. other, with approval agencies, and with citizens. A project
Once all required approvals of the preliminary plan have undergoes many changes between its inception and com-
been obtained, preparation of detailed construction plans pletion. These changes occur very rapidly and for many
can proceed. There may be several separate different plans, reasons. It is imperative to communicate the changes and
or all may be included on one comprehensive set of draw- updates to the proper people at the proper time. To do this
ings. Often water and/or sewer systems must be engineered effectively, one must ultimately know not only what has
separately and reviewed and approved by that particular transpired technically but who should know what facts and
agency or authority. This same procedure will likely occur what actions should follow. The ability to communicate ef-
during the design of the streets and drainage. Several chap- fectively through letter writing, report writing, and technical
ters in this book are devoted to detailed preparation of these writing is a very important credential for the land devel-
final plans. opment professional.
Concurrent to the engineer preparing these final plans, Equally important is the ability to present your ideas
the architect may be preparing detailed architectural plans clearly and precisely. Good public speaking skills before
for review and approval, on a parallel path, by the agencies. small and large groups are important in many professions
Once the final plans have been approved, the developer but are particularly important in land development, where
must post a bond guaranteeing the work will be completed presentations to public approval agencies often make or
in accordance with the approved plans (see Chapter 37). break a project. This includes skills in adapting material for
The engineer usually assists the developer in preparing cost a technical audience, nontechnical group, or a mixture of
estimates for budget and bonding purposes. Frequently the the two. Accuracy should be unquestioned and enthusiasm
developer will engage the engineer to oversee selection of a key ingredient. As always, respect for the time available
a contractor or contractors to perform the construction. is essential. Where appropriate, the use of humor can go a
This may be through a closed-bid process or negotiated long way in easing tensions and building the relationship
basis. necessary to ensure the project receives a fair hearing. The

FExample: detailed preliminary plan.

1.5 IGURE
11
12 O V E R V I E W
ability to communicate effectively whatever the media is the program for tax lawyers and accountants, the regulatory
mark of a leader and an essential quality for today’s land environment surrounding land development has created a
development professional. large cadre of experts, both in and outside the agencies.
Forty years ago, for a typical suburban house, the cost of
Public Involvement engineering, planning, and surveying, including fees paid
In today’s land development practice, a working knowledge to agencies, was about the cost of a refrigerator. Today it is
of the public process is essential for success. Public agencies probably greater than the total cost of all of kitchen and
are really part of the design team. Even though the rela- other electronic appliances combined. Another amazing
tionship is mostly regulatory, in many jurisdictions they phenomenon is that the fees paid to various agencies, just
have the power to shape projects, deny applications and for review and approval of plans, frequently exceed the fees
grant approvals. The smart designer will establish an early charged by consultants preparing the plans! This does not
rapport with all agencies from which he or she will require include special assessments for sewer and water hookups,
later approval. The best way to establish this rapport is to school assessments, transportation, and so on.
understand their regulations thoroughly and submit plans Citizens have become much more involved in the pro-
that comply with these regulations, plans that are clear, easy cess of approvals for a project. Citizens are very skillful in
to read, and complete. Resist the urge to avoid compliance opposing projects they do not want. They often have ex-
to reduce costs or save time. This will only result in delays, perts of their own, skilled in the complexity of land designs
which will result in turn in lost time and dollars. If you and versed in the myriad of regulations a developer must
disagree with the regulation and have a good valid reason, handle in order to gain final approval. These regulations are
or if the regulation simply does not apply under the de- open to differing interpretation by different experts, and it
velopment conditions you face, waivers or variances can is very common for petitions to be made to the courts for
often be obtained by confronting the issue squarely and final resolutions.
working with the approval agencies to obtain a solution. It is important to establish early relations with citizens
Involvement by public agencies is pervasive and must be who many be interested in the development of a particular
understood thoroughly by the land designers, as there are piece of land. Early participation by these citizens can usu-
many agencies involved, often with conflicting agendas. Ap- ally lead to modifications in a plan that will be acceptable
provals must be obtained from all involved agencies before to both the citizens and developer. It is not always what
the project can proceed. Compliance with applicable rules you do but how you do it that is all important to affected
and regulations is often required by regulations, ordinances, neighbors. Many things can be offered citizens or neighbors
or local, state, or federal law. A brief description of repre- that will make the project more amenable to them. Discus-
sentative agencies and selected rules is included throughout sions of this are covered throughout the book, but more
the book but particular Chapters 2, 3, and 5 of the Planning particular in Chapter 3 of the Planning Section.
Section and Chapter 12 of the Engineering Section.
The nature of public agency involvement varies greatly BASIS FOR DESIGN
from jurisdiction to jurisdiction and agency to agency. Fed- ‘‘Quality design’’ is a much used and many times misused
eral regulations, however, are reasonably consistent. Each phrase. In today’s world, quality design is much more than
state has its own set of rules that are dissimilar to those of the ability to ‘‘determine precisely how best to develop our
other states. Even within a state, each county, town, and program on the site selected, in specific forms and mate-
city can be different. Areas that are more urban and sub- rials.’’ ECKBO 1969, 11. Quality design is a result of the
urban in nature generally have a more detailed set of reg- design team’s ability to produce a plan that not only con-
ulations. Sometimes regional authorities have jurisdiction forms to the client’s established development program,
for such services as sewer or water. It is imperative that the goals, and objectives, recognized site constraints, laws, or-
land designer thoroughly understand the rules of all the dinances, regulations/policies, accepted design standards,
agencies having jurisdiction over a project. and market considerations but has also withstood the test
The length of time involved in actual planning, engi- of private and public special interest groups’ scrutiny.
neering, and surveying is short compared to the length of At the risk of oversimplification, the prerequisites for
time required to gain all the necessary approvals. Many pol- undertaking quality site design are predicated on a de-
iticians have been elected on platforms pledging to cut and signer’s level of familiarity and dexterity in dealing with a
streamline regulations, not only for private projects but also core of base information that is required throughout the
for public projects such as highways and utilities. Regard- process. The information base may be loosely categorized
less of these good intentions, the regulatory process contin- under the following major topics: Development Program,
ues to expand as new regulations and agencies that enforce Site, Planning and Regulatory Controls, and Design Team.
them continue to be created.
The costs for land design and final approvals have Development Program
changed dramatically since the days of Levittown. Just as The development program is initially a determination on
contemporary humor labels the federal tax code a welfare the part of the client/owner as to what type of development

is expected for a given parcel of land. For the most part, commence without a thorough knowledge of the appropri-
such preliminary determinations are based on a cursory re- ate regulatory ground rules. Issues relating to local com-
view of zoning, planning, and market considerations as ap- prehensive plans, zoning, and subdivision ordinances and
plied to a specific property. This development program other regulatory controls are first analyzed during the feas-
concept is presented to the project design team for discus- ibility and programming stage of the design process and
sion and refinement. The challenge of project design is for- remain an influence until final site plan approval.
mulating a response that simultaneously seeks to balance Other regulations and legal requirements have varying
the highest and best land use with the character of the site degrees of impact on site design. Restrictive covenants that
and its environs, client and consumer expectations, eco- have been placed on a given property may dictate a site
nomic and marketing factors, and public/private approval design with standards more stringent than those of state or
requirements. local jurisdictions. Existing planned developments may
Land uses and their associated building types need to be mandate that the designer work within previously estab-
consistent with current construction practices and con- lished design guidelines. Further, special development con-
sumer and user requirements. Market conditions, devel- ditions may have been agreed to or imposed upon the land
opment costs, and numerous alternatives in development at a previous time in the development review and approval
technologies afford the designer the opportunity to develop process. Such conditions may direct or influence design on
distinctly different designs for any given property. Design a particular site in a manner atypical of other sites with
should be predicated upon a thorough understanding and similar uses.
appreciation of the success associated with previous land Finally, statutes and policies of state and federal govern-
development designs. Such awareness strengthens the pos- ment provide regulation of such items as wetlands, coastal
ture of the land development designer. The intent is not to zones, hazardous waste, air and water quality, noise and
mimic that which has proven to be successful, but rather handicapped accessibility, to cite a few. These considera-
to gain an understanding as to the reasons for success and tions, coupled with varying building code requirements rel-
expand on those attributes. The fundamental requirement ative to building access and spacing, can have a significant
of land design rests in a working knowledge of the physical/
influence by creating site design constraints and opportu-
functional characteristics and locational constraints associ-
nities.
ated with specific building product types. While certain
It is imperative that the designer bring as much infor-
base considerations, such as adequate vehicular access, rep-
mation to the design effort as possible. All appropriate rules
resent a common requirement to all land use types, the
and regulations that may affect the design aspects of a spe-
appropriate design response varies substantially as one pro-
cific project must be understood at the outset of the design
ceeds from detailing low density single family residences to
process. While manipulation of select site characteristics
the more complex urban mixed use development.
and development program components may allow a degree
The Site of interpretation and flexibility, statutory and/or legal re-
The site, that piece of real estate on which a development quirements are not as forgiving. The ultimate test of a suc-
program will be implemented, affords a special set of re- cessful design effort is whether it can be approved by the
sources and opportunities for project design. Each site is appropriate public agencies and constructed.
unique and requires an understanding of and appreciation
for the specific characteristics to elicit a tailored design re- Design Team
sponse. Consideration should be inclusive of both surface Who are these experts following in the footsteps of Haskell,
and subsurface characteristics, as well as the dynamics as- Davis, and Olmstead? Oftentimes the key player for land
sociated with the natural and cultural processes which it design is the civil engineer and/or land surveyor. This is
makes unique. Attributes of a site normally considered rel-
especially true for smaller projects and in less urbanized
evant to land development activity include those that bear
areas. Originally, the engineer and/or surveyor played an
on the land’s ability to absorb specific development program
overall role. However, today, the story is a bit different. The
elements. These include both on-site and off-site consid-
acceleration of American urbanization, with an increasingly
erations. Site considerations brought to the design table
complex and regulated planning and design process
range from site configuration to adjacent land uses and are
wherein citizens are deeply involved, has resulted in many
discussed in more detail throughout this book.
players being involved in the process and on the design
Regulatory Controls team.
Knowledge of the public regulatory controls, design stan- In a typical project, the land development team might
dards, and technical requirements associated with land de- consist of any of the following:
velopment, as well as preexisting legal requirements or
1. Client
development conditions associated with a given property, is
necessary to successful project design. Site design can not 2. Financial institution

14 O V E R V I E W
3. Land surveyor are important. The client’s degree of familiarity with project
design and the land development process may have signif-
4. Civil engineer
icant bearing on the latitude extended to their design con-
5. Landscape architect sultants. It is prudent to confirm what services are expected
from the design consultant at the beginning of the process
6. Architect
to minimize the opportunity of false expectations. Fre-
7. Project designer quently, several individuals within an organization may rep-
resent the client interests. If the client is to be represented
8. Attorney—land use and other
by others, it is important to establish an appreciation of
9. Urban planner each member’s role and responsibilities, particularly in
terms of ascertaining who will ultimately make the deci-
10. Transportation planner
sions that affect the project design.
11. Environmental specialists Project Designer. Generally the principal site designer/
planner has been schooled in the physical design aspects of
12. Market analyst/researcher
land planning, with education and/or training in either
13. Real estate brokers landscape architecture, architecture, urban design, civil en-
gineering, or a related discipline. While the project designer
14. Real estate specialist
is responsible for the actual preparation of a design re-
15. Economist sponse, it is generally done in close cooperation with other
members of the client design team. The core design team
16. Public approved agencies
may be composed of professionals from a single firm offer-
17. Citizens ing multiple discipline services or representatives of dif-
ferent firms providing specialty design or engineering
18. Sociologists, recreational specialists, cultural and
consultation.
education specialist, other engineers, architects, etc.
In addition to having knowledge of the physical design
19. Geotechnical engineer/geologist aspects, the designer must also understand and be respon-
sive to the client’s likes and dislikes in accomplishing the
20. Structural engineer
established development program. The client is key, how-
21. Archeologist ever, even when the client program is more ‘‘seat-of-the-
pants’’ than a reflection of sound planning, zoning, and
Land development has become a very complex industry, design principles. It is, in part, the designer’s role to re-
and the design team requires a comprehensive understand- spond tactfully to the initial proposed development pro-
ing of it. Persons involved in this undertaking have had to gram with a plan that conforms to planning and zoning
become specialists, but to participate in the overall process, regulations, is marketable design, and meets the client’s
the specialists should have a broad knowledge of the pop- needs.
ular terms and principles used in the industry. It is man- Attorney/Legal Counsel. The complexity of regulatory
datory that certain of the essential professionals have an controls and public administrative procedures has
overall knowledge of all facets of the process. These would prompted an increase in the participation of legal counsel
certainly include the planners, engineers, and surveyors, as in the land development process. While they may be pri-
well as the land use attorney and, of course, the client. marily responsible for the preparation and review of doc-
Others who play various roles, depending on the project, uments associated with legal or procedural requirements,
include the financial institution providing the financing, they may have a potentially significant role in project de-
real estate specialists, geotechnical engineers/geologists, sign. First, by virtue of their prior exposure to a variety of
structural engineers, archaeologists, sociologists, recrea- design efforts, they may have knowledge of comparable
tional specialists, cultural and education specialists, and, of projects that have been successful in securing public ap-
course, architects. We will confine our discussion here to a proval. Secondly, depending on their personal relationship
few, but others are elaborated on throughout this book. with the client, they may be positioned to influence deci-
Client. While the land development client may be the end sion-making during the project design process.
developer or builder, it is not unusual for the designer to Engineers. Civil engineers have a very important techni-
operate under the general direction of a representative of a cal role in the project design and site planning process. In
major corporate, institutional, or financial interest. As a key the early stages of design, civil engineers provide valuable
to establishing a successful working relationship, a designer information in terms of the location, routing, and sizing of
must understand his client’s familiarity and past experience various site infrastructure, including street improvements,
in land development and project design. In addition, the stormwater management facilities, sanitary sewerage, water
client’s knowledge of the development activity within the systems, and other utilities. The engineer’s involvement in
subject jurisdiction and his expectations of the design team the early design stages is important because technical de-

F IGURE 1.6 Overlapping disciplines of the design team, etc. (Urban Land Institute 1979)
cisions will be carried through to final site plan design and signer and civil engineer are met. It has often been said that
ultimately certified by a registered professional engineer. the surveyor is the first and the last on the job as he sets
Given their typical responsibility in the preparation of the the final permanent monumentation and prepares the ‘‘as-
final site plans and construction documents, their contin- builts’’ when the project is completed.
uing participation in the design process is essential. Urban Planners. Given the increased complexity of local
Surveyors. Prior to about 1950, the surveyor was the key zoning and planning documents, the urban planner’s role
player in laying out a standard subdivision. The suburbs in the design process has increased notably. Based on
were still largely rural, and development, which pushed out knowledge of the local zoning/planning requirements, the
from the fringes of the urban core, was usually a matter of urban planner is in a position to guide the design team by
laying out lots, cutting in the streets, installing roadside interpreting the impact of governmental regulatory require-
ditches, and some cross-draining of culverts. As developments on the design process. Often, the urban planner will
ment intensified and new regulations for better streets, team up with the project attorney to act as a front-end team
clean water, and sewer systems were promulgated, survey- to carry the design documents through the public review
ors began to become civil engineers or to add civil engineers process. Due to his or her involvement in local planning
to their staff. The basic services of the land surveyor are and zoning initiatives, often the urban planner is able to
still very important to the overall success of the project. It cultivate a positive relationship with administrative staff and
is the surveyor who provides the boundary survey and top- elected officials. This relationship is important to the design
ographic information that the designers must have in order team as the urban planner gains access to staff and elected
to begin. Not only is the exact computation for street and officials to promote project advocacy.
lot alignment the job of the surveyor, but so is the final Transportation Planners. Concern about the impact of
horizontal and vertical alignment of all the infrastructure new development on the existing vehicular transportation
and buildings to ensure that the specifications of the de- networks has made transportation planners an integral

16 O V E R V I E W
member of the design team in many communities. This has mission requirements associated with routine public review
been prompted by requirements that proposed develop- and approvals.
ment activity be subjected to a rigorous assessment of pro- The level of detail and sequence required for submission
jected traffic impacts and documentation of associated documents for public review may vary somewhat from ju-
roadway improvements necessary to sustain a acceptable risdiction to jurisdiction, and different terminology may be
level of service. The nature and extent of required on- and used in identifying the documents. However, the traditional
off-site road improvements varies with the size and specifics sequence of design resolution includes the following stages
of each project. Suffice it to say that there is financial and of evolution of a project design, all of which will be elab-
design coordination associated with such required improve- orated upon later in this chapter.
ments that may have significant consequences in developing
the appropriate design response. Feasibility and Programming
Environmental Specialists. Some level of environmental This initial step in the process requires an understanding of
assessment is usually required as part of land development the proposed development program and an overview of the
activity. Historians, archaeologists, botanists, acoustical spe- site characteristics and surrounding area. The base objective
cialists, arborists, geologists, hydrologists, and other envi- of the feasibility and programming stage is to become fa-
ronmental scientists have increasingly become participants miliar with existing site conditions, the jurisdiction’s com-
in the design and development process. Their participation prehensive plan recommendations, and local zoning
may occur throughout the design process, commencing at ordinances and other regulatory and/or physical elements
preliminary site investigation and extending through to final of the property that may influence the initial proposed de-
design with the formulation of measures to mitigate the velopment program.
impacts of development. The environmental scientist’s role
varies from project to project. However, given the increased Site Analysis
emphasis on protecting the environment through preser- A site analysis is conducted to provide the designer and the
vation, conservation, buffering, and other mitigation mea- entire design team with a complete understanding of the
sures, their role is important. opportunities and constraints associated with a property.
Market Analyst/Researcher. Market analysts often pro- The physical characteristics, including site configuration,
vide varying levels of feasibility studies that assist in the topography, soils, hydrology, utility availability, and adjacent
formulation of project-specific building programs. Their land uses, are evaluated in the context of the client’s pro-
role in project design can range from actually determining posed development plan. The results of the site analysis also
and describing the details of the development program to may offer opportunities to identify alternative development
providing guidance in locating uses on the site. The im- programs for review by the client.
portance of this discipline varies with the proposed use or
development program. A market study may be required to Conceptual Design
obtain development financing in addition to providing the The objective of the conceptual design is to establish a pre-
client/designer with advice relating to the established de- liminary framework depicting the distribution, organiza-
velopment program. tion, and arrangement of the development program in a
Public Review/Approval Agents/Citizens. Representa- manner that honors the development constraints and takes
tives of the public interest have a significant role in project advantage of the opportunities identified in the site analysis
design. While jurisdictional regulations establish the ground stage. The resultant sketch plan or plans may include al-
rules, required public agency review and interpretation of ternative strategies that illustrate possible arrangements of
public policy and performance criteria, as well as citizen principal land uses and infrastructure requirements. This
concerns, have a significant influence on many aspects of exploratory stage deals with general distribution of uses.
project design. The sketch plan or plans at this stage are generally ‘‘blob’’
diagrams that identify usable area, type of development,
TRADITIONAL STEPS IN THE LAND DEVELOPMENT points of ingress and egress, site circulation patterns, and
PROJECT DESIGN PROCESS major infrastructure facility that may be required. This stage
Land development design has traditionally been composed in the process is based on a ‘‘what-if’’ mindset and proceeds
of several distinct steps or stages leading to the final plan. to explore alternatives to assist in formalizing the preferred
While structured to be orderly and sequential, like other project design.
problem-solving endeavors it seldom follows a straight-line
path to solution. It requires sufficient overlap in the per- Schematic Design
formance of select tasks to ensure the timely availability of This level of project design is a refinement of the selected
relevant information. Based on a sequence of activities tra- conceptual studies that provides more precise scale and site
ditionally characteristic of the design professions of archi- detail of program components and supporting site improve-
tecture and landscape architecture, the land development ments. The detail included in the schematic design is based,
project design process and resultant products must be sen- in part, on information obtained during the feasibility and
sitive to both client decision-making and the general sub- site analysis stages and provides further assurance that the
development program and goals can be achieved. Included of being constructed and must provide a financial incentive
in the schematic design is a site layout, which details and to warrant its undertaking. No one profession possesses a
dimensions the arrangement of program components. The monopoly on the diverse body of knowledge and resources
site layout should confirm that the development plan is that is required to achieve quality land development design.
consistent with the goals and objectives established by the Land development is a process that is dependent on diverse
client and conform to all regulatory requirements. disciplines and an extraordinary commitment to promote
An important element of schematic design is preliminary all aspects of the project with equal fervor.
engineering. The purpose of the preliminary engineering
analysis is to verify and document the technical aspects of Design Elements
the schematic design. The resultant of this study usually is Every development program is composed of elements that
in the form of a graphic such as a preliminary site plan or define, shape, and establish the essence of that use. The
rezoning development plan. Checklists and/or reports are constituent parts include both the physical—dimensional—
often prepared as well. These documents represent a final building blocks that house principal activities and the an-
check of the development program just prior to proceeding cillary or support elements, which are necessary to sustain
with more detailed final engineering. the principal use. The former are the major space-taking
Final Design elements that characterize a land use and its related build-
ing components. For example, the dwelling unit is the prin-
After the client and local governing agencies have reviewed cipal building module in residential development. The
and accepted the schematic design and preliminary engi- accessory uses include such considerations as connection to
neering study, the civil engineers prepare the final design. vehicular or pedestrian circulation systems and utility re-
The final design reflects the detail necessary for project requirements necessary to maintain a certain quality of life,
view and approval by local governing agencies, which au- such as water, sewer, power, and light. Collectively, they
thorizes the final commencement of construction. The site constitute an operational whole. Project design must ad-
plan developed during the final design represents the final dress all of these elements. There may be a number of ways
documentation of the land development design process. to orchestrate a design that satisfies some of the basic re-
The main components of final design are suburban street quirements associated with a given land use or product
design, storm drainage design, design of stormwater man- type. However, the successful response seeks to reduce any
agement facilities, floodplain studies, grading and earth- conflict with program objectives and optimizes the relation-
work, wastewater collection, water distribution, wastewater ship between all component parts. This approach applies
treatment, water treatment, and erosion and sediment con- to large-scale and mixed-use projects as well. The manner
trol. Contract documents, construction specifications, and in which a site design response addresses these require-
cost estimating are also elements of the final design pro- ments should be a result of a conscious decision and not
gram. an insensitivity or ignoring of any component or relation-
DESIGN: UNDERSTANDING OF BASIC REQUIREMENTS ship.
Project design requires an ability to understand the rel-
The amount of reference material focusing on land devel- ative needs and physical attributes of the program compo-
opment and specifically project design is extraordinary. nents. More homogeneous uses at lesser densities or
Similar is the case with the volume of resource materials, intensities are generally more easily dealt with than mixed-
which more singularly focus on specific development and use programs at higher densities. As an example, there is
building prototypes such as residential, commercial, indus- significantly more flexibility in siting a single-family resi-
trial, office, recreation, mixed use, planned communities, dence on a large lot than there is for more dense residential
waterfront, and golf course developments. Basic to the suc- projects. The challenge of site design rests in both a knowl-
cess of project design is the need for the designer to have edge of the requirements associated with a given land use
an appreciation for the concepts and standards identified in or building type and an ability to make valid judgments
that body of information. A design response premised on and establish priorities as to which requirements should
anything less must be recognized and valued as the tech- take precedent in formulating the design response.
nical solution it is. Historically, land development is steeped
in technical solutions. They satisfy a multiplicity of func-
tional and regulatory requirements inherent to site engi- REFERENCES
neering and ultimately program constructability. However, Dewberry, Sidney O. 1979. ‘‘The Firm’s Direction,’’ DND News-
they do not necessarily address the environmental, social, letter, No. 1, p. 1.
sensory, or visual dimensions, which are fundamental com- Jackson, Kenneth T. 1985. Crabgrass Frontier: The Suburbaniza-
ponents of the built environment. Design solutions need to tion of the United States, Oxford University Press, New York.
be based in a sensitivity to basic sociocultural, physical,
economic, and political concerns while reflecting the im- ADDITIONAL READING
portance of economic and marketing constraints. In private Booth, Norman K., Basic Elements of Landscape Architectural
sector land development activity, a design must be capable Design, Elsevier Science, New York, 1985.
18 O V E R V I E W
Chudacoff, Howard P., and Judith E. Smith, The Evolution of Torre, L. Azeo, Waterfront Development, Van Nostrand Reinhold,
American Urban Society, 3d ed. Prentice Hall, Englewood Cliffs, New York, 1989.
N.J., 1988. Untermann, Richard, and Robert Small, Site Planning for Cluster
De Chiara, Joseph, and Lee E. Koppelman, Site Planning Stan- Housing, Van Nostrand Reinhold, New York, 1977.
dards, McGraw-Hill, New York, 1978. Urban Land Institute (ULI), The Community Builders Handbook,
Eckbo, Garrett, The Landscape We See, McGraw-Hill, New York, ULI, Washington, D.C., 1968.
1969. Urban Land Institute (ULI), Industrial Development Handbook,
Engstrom, Robert, and Marc Putman, Planning and Design of ULI, Washington, D.C., 1975.
Townhomes and Condominiums, Urban Land Institute, Washing- Urban Land Institute (ULI), Land Use in Transition, ULI, Wash-
ton, D.C., 1979. ington, D.C., 1993.
Gold, Seymour M., Recreation Planning and Design, McGraw-Hill, Urban Land Institute (ULI), Office Development Handbook, ULI,
New York, 1980. Washington, D.C., 1982.
Jensen, David R., Zero Lot Line Housing, Urban Land Institute,
Urban Land Institute, (ULI), Project Infrastructure Development
Washington, D.C., 1981.
Handbook, ULI, Washington, D.C., 1989.
Lynch, Kevin, and Gary Hack, Site Planning, MIT Press, Cam-
Urban Land Institute (ULI), Recreational Development Handbook,
bridge, Mass., 1984.
ULI, Washington, D.C., 1981.
National Association of Home Builders (NAHB), Cost Effective
Urban Land Institute (ULI), Residential Development Handbook,
Site Planning: Single Family Development, NAHB, Washington,
ULI, Washington, D.C., 1990.
D.C., 1982.
National Association of Home Builders (NAHB), Land Develop- Urban Land Institute (ULI), Shopping Center Development Hand-
ment 2, NAHB, Washington, D.C., 1981. book, ULI, Washington, D.C., 1977.
Simonds, John Ormsbee, Landscape Architecture: A Manual of Site Urban Land Institute (ULI), Working with the Community: A De-
Planning and Design, McGraw-Hill, New York, 1983. veloper’s Guide, ULI, Washington, D.C., 1985.
Tomioka, Seishiro, and Ellen Miller Tomioka, Planned Unit Devel- Warner, Sam Bass, Streetcar Suburbs: The Process of Growth in
opments: Design and Regional Impact, John Wiley & Sons, New Boston (1870–1900), Harvard University Press, Cambridge,
York, 1984. Mass., 1978.

PART II
FEASIBILITY AND SITE

ANALYSIS
Dennis Couture, A.S.L.A., R.L.A.
INTRODUCTION preliminary plans have been reviewed and approved

One of the most significant changes to the second edition by the client and the local governing agencies, engi-
of this book is its format. As stated previously, the first neers finalize their design plans such that their level
edition grouped the various steps in the land development of detail is sufficient enough to construct all aspects
process by the discipline for which they pertained, whereas of the project.
this edition presents the material in the chronological order
of the land development process. While site design is a When a parcel of land is being developed, feasibility and
continuous process, it can be broken down into at least five site analysis seemingly go hand in hand. Typically, the de-
distinct steps (or stages), each one producing a specific developer will perform both simultaneously or in near con-
liverable documenting the migration through the design currence to one another. While the book’s format groups
process. these steps together, we will address them separately in the
following brief introduction to delineate their differences
S T E P 1 : Feasibility/programming provides for the and indicate how each step serves a distinct purpose in land
initiation of the process with a general review of design.
program and site considerations and assurance that
appropriate base line and base map information is STEP 1: FEASIBILITY
available for design.
The initial step in the development design process requires
S T E P 2 : Site analysis results in the identification an understanding of the general development intent and
of both the physical and regulatory site constraints characteristics of the site. During this phase, the design
and opportunities and establishes a usable site area team reviews all available feasibility and impact studies that
in which to fit one or more of the client’s /designer’s may have been previously undertaken for a given property.
development concepts. The designer and other members of the design team work
S T E P 3 : Conceptual design is based on feasibility with the client to fully explore and describe the proposed
and site analysis information and presents the initial development program in conjunction with preliminarily
organization of the development program. identified opportunities and constraints.
The feasibility effort requires investigation and docu-
S T E P 4 : Schematic design/preliminary site layout is mentation along three main avenues. These include confir-
a refinement of the initial study sketches that adds mation of micro and macro site characteristics, program
scale and precise testing of specific uses, including
components and development intent, and applicable plan-
building arrangements and dimensions.
ning and regulatory controls. Once this information base
S T E P 5 : Final design is the final step in land de- has been established for a specific site, the formulation of
sign. At this stage of the design process when the a design response can proceed.

FEASIBILITY AND SITE ANALYSIS
20 F E A S I B I L I T Y A N D S I T E A N A L Y S I S
Usually the designer is charged with several important been compiled by local jurisdictions or the U.S. Geologic
tasks that will assist in initial development discussions. Survey, should be obtained. The latter source is more suit-
These include: able at conceptual design stages for larger land holdings as
the scale of the map is 1 in.: 2000 ft with topographic
䡲 Preparation of the base map intervals of 10 ft. Municipalities may have more usable base
䡲 A contextual reference of the site and its surround- information at 1 in.: 200 ft with contour intervals of 5 ft.
ing area The designer should continually be aware of scale and ac-
curacy limitations imposed by secured base information.
䡲 The assembly of secondary source information that Despite the variety of technologies available to enlarge base
will assist in determining site use potential materials, it is preferable to work with information that was
䡲 The completion of an overall site analysis that fo- originally compiled at a scale close to that which the de-
cuses on the identification of development opportuni- signer is using in his studies. The scale of a base map may
ties and constraints associated with the subject site vary depending on both the size of the subject property
and recognition of ultimate plan submittal requirements
Base Map necessary as part of a public review and approval process.
For site design, a base map (see Figure II.1) that details the While there are many reasons for selecting a particular scale
property configuration and terrain is a fundamental require- for the base map, one should never lose sight of (1) the
ment. Ideally, a property survey and topographic map will need for the base to satisfy public submission requirements;
be available from the client. If not provided by the client, and (2) a scale that is consistent with the designer’s need
boundary information available through local property tax to present a level of accuracy in reviewing the various de-
map sources and topographic mapping, which may have velopment considerations.
F IGURE II.1 Example of a base map.

FEASIBILITY AND SITE ANALYSIS 21
Property limits, from either a field run property survey, ▫ Are there problem soils or soil/slope relation-
research and plotting of existing deeds and records, or avail- ships that reflect potential instability, unusual con-
able parcel tax maps, together with topographic information struction practices or excessive costs, or
constitute the primary elements of the base map. This in- development restrictions imposed by local govern-
formation should be augmented with secondary informa- ment?
tion including such items as road rights of ways/pavement
widths, existing structures, vegetation, bodies of water, ▫ Do soils indicate the potential for wetlands or
streams, adjacent property boundaries and surrounding other unique surface characteristics?
parcels, and utility rights of ways and easements. ▫ What implications does the topography have on
In addition to the information provided on the base utility and drainage consideration? Confirm the lo-
map, another important aspect of project design is an cation of major and minor ridge lines or drainage
awareness of existing and future conditions/uses of a given divides.
property. Current land use plans, zoning maps, road and
utility plans, and public facility plans are important and 䡲 Property configuration:
should be analyzed during the feasibility and programming ▫ Are there constrictions or dimensions that may
step. Information regarding adjacent property is also helpful inhibit the utility or usability of the site for the in-
in evaluating the client’s proposed development program. A tended program?
current quality air photograph can be of immeasurable as-
sistance in verifying preliminary information and augment- 䡲 Existing vegetation:
ing site research and field observations. If previously
▫ Confirm the location and character of existing
performed preliminary feasibility studies are available, they
vegetation.
should be reviewed. If an extended period of time has
lapsed since the report was prepared, it is prudent to cor- ▫ Does the vegetation type vary within the site?
roborate the accuracy of the information. Refer to Chapters
▫ Does the quality and distribution of existing
2 and 4 for detailed discussion of comprehensive planning
and regulatory functions and feasibility studies. vegetation afford opportunities to enhance the in-
tended use(s) by incorporating the existing vegeta-
STEP 2: SITE ANALYSIS tion in the design?
The purpose of the site analysis is to provide the designer ▫ Do the prevalent species indicate probability of
with a full understanding of the opportunities and con- poor or wet soils?
straints associated with a property. A field visit is the best
means of ensuring site familiarity. This should be done with ▫ Does the existing vegetation afford natural op-
a base map in hand on which appropriate annotations can portunities for screening or buffering of internal or
be made in the field. The visit should ideally be completed external views within the site?
after a review of previously available site data to provide
䡲 Hydrology, drainage, water, wetland, floodplains:
the designer with a sense of what to expect on site as well
as allow for field verification of previously compiled infor- ▫ Do the size, location, distribution, or quality of
mation. Ideally, the site analysis notes should be on a base water-related site elements provide opportunities or
map that is at the same scale as the ultimate conceptual constraints in regard to the intended use program?
design studies.
Typically, a site analysis is conducted following the es- ▫ Confirm general condition of site runoff. Are
tablishment of the proposed development program and par- there indications of erosion or intermittent ponding?
ameters that allow for realistic assessment of the property. ▫ Is stormwater detention/retention required on-
While this is not always possible, it is advantageous to con- site? If so, what type and size facility will be re-
duct more intensive site investigation after the initial range quired and will its location serve as a site constraint
of desired uses for a given site has been established. The or opportunity?
checklist of site characteristics that may pose potential con-
sequence to later site design may include the following 䡲 Views, visual characteristics:
characteristics and associated considerations.
▫ Document and qualify the existence of internal
䡲 Topography, slope, soils: and external viewsheds.
▫ Is the topography fairly uniform throughout the ▫ Evaluate the potential for openness or enclosure
site? associated with development opportunities.
▫ Are there areas where the existing topography is ▫ Will the removal of existing vegetation extend
not conducive to the proposed program? viewsheds or detract from site visual quality?

▫ Will it be possible to screen undesirable views? as deed restrictions, covenants, and design guide-
lines?
䡲 Climate, site orientation, and exposure:
䡲 Other regulatory requirements:
▫ What are the prevailing wind directions/pat-
terns? ▫ The Fair Housing Accessibility Guidelines and
the Americans with Disabilities Act Accessibility
▫ Are there on-site conditions that prompt micro-
Guidelines have significant consequences on layouts.
climate nuances particular to the subject property?
These and similar issues should be reviewed as part
▫ Are there on-site opportunities to promote pas- of the site analysis step.
sive solar techniques?
Following the assessment of the site characteristics listed
䡲 Adjacent land uses: above, the results are generally presented in a series of ex-
▫ Are the adjacent land uses compatible with the hibits and/or a single summary site analysis which docu-
program considerations for the subject site? ments the site’s development opportunities and constraints.
This information may be summarized in composite maps,
▫ Is there a need or opportunity to extend exist- diagrams, or other exhibits to depict development oppor-
ing or planned community systems into the site, tunities and constraints graphically. Figure II.2 provides ex-
such as parks or pedestrian trails? amples of the various site analysis maps that could be
▫ Are there visual or acoustical conflicts associated developed to show various site characteristics. An example
with surrounding uses/activities? traffic noise? air- of a composite map is provided in Figure II.3.
port flight patterns? conflicts that will require miti- In conclusion, the site analysis should provide an over-
view and initial delineation of those portions of the site that
gation strategies focusing on the provision of
are capable or not capable of supporting various elements of
additional setback and buffers, or unique building
the development program. This assessment should result in
design or site layout concessions?
an ability to quantify areas of the site deemed ‘‘usable’’ for
䡲 Access, potential, circulation patterns: program development. Often this quantification is referred
to as the net buildable area of the site. It represents that
▫ Does the property have existing public street
portion of the entire gross acreage of the site that the de-
frontage?
signer and other members of the design team have deter-
▫ Where are opportunities to access the commu- mined can reasonably be used in the proposed development
nity vehicular (and pedestrian) circulation systems? program.
▫ Will potential connections meet applicable stan-
Appreciation of Program
dards?
As part of a multidisciplinary team, the designer may be an
▫ Does the site terrain suggest or mandate desira- initial participant in orchestrating the research and back-
ble alignments for internal circulation systems? ground information that leads to describing the develop-
䡲 Utility locations, existing easements: ment program. However, with increasing frequency the
program is being spearheaded by the client alone or in con-
▫ Are existing utilities available in the vicinity to cert with his market consultant. The designer is, however,
serve the development program? How and where in a unique position to assist the client team in refining the
would these systems access the site? Is the topogra- use associated with the development program based both
phy conducive to these routings? on site characteristics and public planning, land use, and
▫ Would some utilities require individual systems regulatory controls.
on-site (i.e., well and/or septic)? In order to ensure a firm understanding of the devel-
opment program, the designer should elicit from his client
▫ Are areas of the site more suitable for on-site as much information as possible at the inception of project
utilities? design. It is insufficient to begin design activity mindful
▫ Will additional easements be required to route only of the generic or seat-of-the-pants agenda of land use
types desired. Clients generally have strong preconceived
utilities to the site?
ideas regarding the character of the project they wish de-
▫ What are the cost implications in getting the veloped. At a minimum they can relate their expectations
utilities to the site? relative to existing projects they believe most resemble their
current proposal. Even the most unseasoned client has cer-
䡲 Existing development encumbrances on-site:
tain base development objectives that have prompted the
▫ Are there additional design or development cri- initiation of a specific development effort. The designer
teria that will govern the site design response, such should discuss these expectations with the client, including

Example of series of site analysis (seven maps).

II.2
F IGURE
23
(Continued) Example of series of site analysis (seven maps).

II.2
F IGURE
24

II.2
F IGURE
25

II.2
F IGURE
26

II.2
F IGURE
27

II.2
F IGURE
28

II.2
F IGURE
29
Example of composite map showing opportunities and constraints analysis.

II.3
F IGURE
30
FEASIBILITY AND SITE ANALYSIS 31
an inventory of objective criteria such as unit or building of a site design will be measured to the extent it optimizes
type, building dimensions, architectural finish, parking ra- client objectives against those of public sector expectations
tios, and amenity elements, and more subjective statements and standards. It is a benefit to no one to foster question-
regarding the desired character or ambiance of the finished able expectations associated with unreasonable program
product. Although clients will often indicate the density or formulation.
intensity of the development they desire, more often than This step is a precursor to design. It is, in reality, an
not it is insufficient to initiate a site design. Most clients information-gathering stage, but information gathering with
have completed at least a rudimentary assessment of the specific purpose and direction. Information is expensive to
possible return on their investment for a project prior to compile and time-consuming in its review. Therefore, it is
the initiation of discussion with a design team. The design important to undertake the site analysis effort with a clear
focus on the judicious expenditure of time and resources.
team should attempt to verify the anticipated yield, as well
At this juncture in the design process, all available existing
as preliminary budgetary allowances for such items as util-
information, including base maps, aerial photographs, en-
ity construction, amenity development, and landscape, to
gineering information and controls, and planning reports,
understand better the anticipated character and quality of should be assembled.
development. The end product of this phase of project activity includes
It is similarly important that program objectives be dis- a clear understanding of the proposed development pro-
cussed in the context of existing planning and regulatory gram and options, the identification of site constraints and
controls. Land use type and use intensity should be re- opportunities, assurance that all regulatory requirements
viewed with a clear understanding of existing jurisdictional can be satisfied in conjunction with refinements to the pro-
comprehensive plans and zoning. Based on this discussion, posed development program, and a positive finding that the
the development program or alternative programs should physical and functional characteristics envisioned by the cli-
reflect a realistic proposed land use. Ultimately, the success ent can be realized.


PART II.A ALLOWABLE USE OF SITE
CHAPTER 2
COMPREHENSIVE PLANNING
AND ZONING
Lawrence A. McDermott
INTRODUCTION Note that two states, Maryland and Virginia, surround the
Prior to the land development consultant putting pencil to District of Columbia. Each state operates under a different
tracing paper, and hopefully before the land developer’s sig- legislative process and constitutional mandate. Within those
nature appears at the bottom of a land purchase contract, two states, there are 13 adjacent or nearby counties and 4
both parties must understand the effect of local planning, major cities and a significant number of independent towns
zoning, and other regulations. Planning and zoning stan- and villages of varying sizes. Due to the post-World War II
dards and controls adopted by local government affect growth in the region, several once-rural counties have be-
everything from the uses allowed on a site to the drainage come integral parts of the region. The merging of the Wash-
ington and Baltimore economic regions and the advent of
of stormwater. In some jurisdictions, even the amount of
commuter rail have dramatically expanded the market
traffic generated by the development is subject to detailed
boundaries within which a Washington developer can rea-
review regulation.
sonably operate. Metropolitan-based land development and
Under our federal system of governance, where states
building companies now reach as far west as the eastern
control all powers not granted to the U.S. government un-
panhandle of West Virginia, south to Richmond, north to
der the Constitution, local land use regulations are the
the Pennsylvania border, and across the Chesapeake Bay
product of what is permitted by state planning enabling
Bridge to undertake new projects. Each of the jurisdictions
legislation. This legislation pertains to what kind of land of the region is unique in its economic base, its citizens’
use regulatory powers local governments can exercise. attitudes, and its government’s priorities. Perhaps more to
Given the differing state authorizing legislation, local gov- the point, each of these jurisdictions within the metropol-
ernments operate in different ways. Much of this diversity itan area has its own unique set of planning and zoning
results from the size of the jurisdiction, the structure of its regulations. The breadth and expansion of the Washington
government, and the legislative authority granted by the market is not unique; similar situations exist in most met-
state. In addition, each jurisdiction has unique problems ropolitan areas.
and priorities. Residents have varying levels of affluence and Differences in government budgets and the size and so-
sophistication and different attitudes toward their commu- phistication of review staff and commissions also have
nity and government. These all have an impact on the way broad implications for the development team. These differ-
local governments regulate land development. ences affect not only the number of public officials and
Even within a single region, the land developer and land agencies the development team must come in contact with,
development consultant may operate in several jurisdic- but also the level of scrutiny given to the proposed rezoning
tions. Consequently, they will encounter a broad variety of documents or development plans. As the government’s size
plans, ordinances, regulations, policies, and procedures that and structure grows, so does the potential for conflict be-
can all affect project design, economics, and plan approval. tween its administrative and elected officials. Each official
Figure 2.1 depicts the Washington, D.C., metropolitan area. or department manager reviews rezoning and development
33
COMPREHENSIVE PLANNING AND ZONING
within which the company operates. Absent this expertise,

the consultant cannot offer the developer sound advice or
produce plans or proposals that can win government ap-
proval. It is the consultant and the land use attorney to
whom the developer looks to be an expert on local policies
and the controls applicable to each new project. Even con-
sultants with prior local government work experience must
keep track of newly evolving priorities, policies, regulations,
and standards. Furthermore, as government workload in-
creases and operating funds decrease, development review
staffs are forced to limit their efforts to technical review.
They are unable to devote considerable time or energy to
shepherd applicants through the jurisdiction’s regulations or
review procedures. This places a heavier burden on the land
development consultant to develop independence and ex-
pertise in the local land development review and approval
process.
Developing a clear understanding with local plans, pol-
icies, and requirements may seem a monumental task. It is
impractical for one person to be sufficiently familiar with
all local regulatory programs in the region. This would re-
quire extensive research into past practices and countless
hours in government boardrooms. Acquiring an overall fa-
miliarity with the basic structure of government function
and regulations makes it easier to assimilate this informa-
tion. However, effective land development consulting firms
F IGURE 2.1 Jurisdictions in the Washington, D.C., metropolitan designate team leaders with extensive local experience. Each
area.
of these people becomes responsible for knowing and mon-
itoring development and regulatory activity within the ju-
proposals with a different constituency or agenda in mind. risdiction where the firm maintains a presence. Absent a
Each has competing needs and generates competing con- clear understanding of a community and its attitudes and
clusions. This bears directly on the time it takes to secure politics, the land development process can become a frus-
zoning approval. trating exercise, with false starts and blind alleys that can
As a jurisdiction matures, political or civic leaders often prove costly to both consultant and developer.
demand more exacting standards for development and con- This chapter addresses only the most typical planning
struction. The government responds by tailoring zoning and zoning regulations, ordinances, and procedures. As
regulations and procedures to address new priorities. Some- mentioned above, it is neither practical nor possible to ad-
times these new rules and standards take effect even while dress all variations that exist throughout the nation. How-
a proposed zoning project is well underway. These new ever, there are basic similarities in the structure of each type
standards and/or regulations, coupled with increased re- of regulation. This text focuses on their differing impacts
view time and sometimes circuitous approval procedures, on land development and the manner in which regulations
can increase the future land development costs dramatically. or procedures are implemented.
The land development team must frequently adjust design
and construction budgets during the rezoning process as COMPREHENSIVE PLANNING
well as the life of the project. The comprehensive plan, sometimes called the master plan
In an attempt to minimize risk, it is not uncommon for or general plan, serves as a formal statement of the com-
land developers to specialize in several locations within a munity’s goals and objectives. The plan establishes policies
region, while avoiding projects in other jurisdictions. De- and procedures relating to the community’s future growth,
cisions to avoid certain jurisdictions may be made because including new development of land and maturation of ex-
of market characteristics, unfavorable tax rates, or restrictive isting neighborhoods. The plan represents the collective in-
development regulations. However, it is increasingly rare for put of public and private sector attitudes, needs, and
all but the smallest developer to operate within a single desires. Its recommendations are based on extensive anal-
jurisdiction. ysis of economic, social, demographic, and other forces ev-
Given these differences, the land development consultant ident in the community. The plan attempts to provide an
must become familiar with the land use planning and zon- adopted vision of the community for some distant point in
ing documents and regulations in effect in each jurisdiction time, perhaps 10 or 20 years. The comprehensive plan pro-

2 䡲 COMPREHENSIVE PLANNING AND ZONING 35
vides valuable guidance for those making important eco- businesses and employers look to the plan for an expression
nomic decisions, including local officials, land developers, of long-term commitment to business. Like the residents,
existing and prospective residents, employees, and business the land developer also views the comprehensive plan as a
operators. In most states, the comprehensive plan is a guide protection of property value. It suggests what decisions will
that is advisory in nature and not a legally binding regu- be made that are beyond his or her control. More impor-
lation, such a zoning ordinance, which indeed is law. How- tantly, however, the developer uses the plan to identify new
ever, in a minority of states, the comprehensive plan is opportunities. The developer is in the business of convert-
directive in nature, requiring conformance, and rises to the ing raw or underutilized land to new uses. The land de-
level of law. velopment consultant and the developer use the
To government officials, the comprehensive plan serves comprehensive plan to determine the suitability of pur-
several purposes. It defines a general pattern of projected chasing specific land for new projects based on the planned
land use for the community. It recommends policies that land use and their particular development program.
alternatively encourage desired development or discourages Many land developers specialize in a specific land use
inappropriate use or intensity of development. It establishes and product; therefore, the plan is an important tool in
and reinforces community standards for appearance, de- identifying the area, and sometimes the specific parcels, that
sign, delivery of public services, and protection of the en- are best suited for the particular development program be-
vironment, and it serves as an important guide for allocating ing pursued. The availability of public facilities and services
resources used for the provision and distribution of public is an important part of identifying the potential of a piece
facilities and services. The overall objective of the compre- of property. Similarly, the compatibility and impact of ad-
hensive plan is to establish and achieve goals that result in jacent use is an important factor in selecting property for
a high quality of life for both the residential and business development. Just as a homeowner is concerned with the
communities. neighborhood, so too is the developer concerned about the
Land development, infrastructure management, and the character of the community. For example, a luxury office
operation of community services involve extreme public, developer may not believe that an adjoining industrial or
private, and personal investment. As a result of this invest- warehouse facility is a suitable neighbor. The plan helps
ment, the court systems have placed increased importance define the market area of a site. The developer uses this
on the comprehensive plan as either a guide for develop- information to determine whether there are sufficient em-
ment or a binding source of legally mandated land use reg- ployees, residences, or customers to make the project a suc-
ulation. Therefore, most local officials rely heavily on the cessful venture. Later chapters discuss market analysis and
plan. Its recommendations form the basis for making rea- project feasibility in detail.
soned and predictable decisions about land use and budg- As the developer’s agent, the land development consult-
ets, rather than those that may be challenged in the courts ant is responsible for understanding the comprehensive
as arbitrary and capricious. plan and its various components. The consultant must also
To the community’s residents, the comprehensive plan be familiar with the planning process itself. The information
represents a blueprint for the quality of life they expect to used in planning and the events that lead to the plan’s adop-
enjoy. It creates identity for the neighborhoods in which tion form an important foundation for project design. The
they live and defines the services they expect to receive. consultant must understand not only the impact of the
The decision to move to a community and purchase a home plan’s recommendations to the land use, but how the juris-
is perhaps the most important of personal investments diction will enforce its recommendations.
made, and the comprehensive plan is viewed as a way to The plan provides other critical information without
predict the soundness of that investment. It identifies the which the application of other regulatory tools could be
location of new neighborhoods, office and retail centers, meaningless. This information relates to general design re-
new roads, and schools that may affect that investment. The quirements imposed on a project beyond simple use and
plan offers more certainty and provides a way of anticipat- scale. These include conditions for reducing environmental
ing intrusion or impacts that could reduce property value. and service impacts of the development. The plan also aids
For the business sector, the comprehensive plan is an the developer by projecting when public and private infra-
essential source of information on potential new markets. structure and services will be available to the site.
The future locations of new centers of employment or res-
idential communities are particularly important to Community Planning: A Participatory Process
businesses operating support, supply, and service establish- Since the plan is intended as a reflection of community
ments. The plan provides information that can be used to attitudes and desires, the process usually involves several
determine the potential customer base available to the busi- opportunities for citizen participation and input. The pro-
ness community. Large employers in need of properties with cess that some municipalities follow to adopt or revise the
room for expansion also rely on the comprehensive plan comprehensive plan is often lengthy and controversial. Even
for guidance. Existing and future labor force and sales mar- when this is not the case, it is important for the land de-
kets can be determined from the plan. At the same time, velopment team to become involved in that process.

Whether or not projects are underway or envisioned, it is tunity for a project of grander scale than anticipated in the
important to participate in the process because the results plan. The planning staff and other involved groups consider
will shape or constrain development opportunities for years these proposals in preparing the plan. The planning staff
to come. The information gathered and attitudes voiced are and other involved groups consider these proposals in pre-
an invaluable resource for preparing future proposals. paring the plan. Supporting documentation and testimony
Although in some cases a close monitoring of the plan- presented by the development team form an important
ning process is sufficient, full participation in the process component of the analysis.
may be preferable. Coming from residential citizens of the As the planning staff prepares preliminary drafts of the
municipality and members of its business community, the comprehensive plan, the governing body often schedules
team’s input is a critical and rightful component of com- town meetings, informal public hearings, or similar forums
munity thinking. The policies and subsequent regulations to allow public input and comments. The purpose of these
and procedures that the plan will recommend must reason- meetings is to gain a sense of the community’s reaction to
ably coincide with development practice and not serve as the plan. Frequently, the planning staff compiles testimony
a hindrance to future success. Where communities are en- and comments presented at these meetings and responds
couraged to accept the practical expertise offered by devel- with an analysis of issues and conflicts. As the process
opment professionals, the plan and its policies are more draws to a conclusion, formal, statutorily mandated public
effective in achieving the community’s goals. hearings will be held by either or both an appointed plan-
Most medium- and large-sized municipalities employ a ning commission or similar board and the governing body
professional planning staff that coordinates the overall plan- of the municipality. Throughout these hearings, the infor-
ning effort, while smaller communities often retain outside mation presented by all segments of the community pro-
consultants for this purpose. The governing body relies vides an important record upon which to base subsequent
heavily on the recommendations of its planning staff, al- land development decisions.
though decisions about the plan and policies will ultimately Depending on the size of the community, the entire pro-
be its own. A timetable for the plan and framework for the cess can take several months to several years. To spread the
analysis will be prepared. Sometimes working with an ad demanding workload, many municipalities update their
hoc task force composed of the community’s civic, business, comprehensive plans, or portions of it, on a cyclical time-
and political leaders, the staff undertakes extensive data col- table. Some state legislation mandate the time within which
lection. The staff will compile the demographic and eco- the jurisdiction must review and update the comprehensive
nomic inventory statistics needed for the analysis, as well plan, such as every five years. Opportunities for property
as review existing development patterns and activity. owners to seek out-of-turn or off-schedule plan amend-
The comprehensive planning process often provides for ments may be limited. The land development consultant
a period of open nominations, during which citizens can must be familiar with local practice to advise development
suggest new or revised development policies and specific clients properly.
parcel recommendations for inclusion in the plan. For the
land development design team, this is perhaps the most Composition and Characteristics of the Comprehensive
important part of the planning effort. During this period, it Plan
may be possible for citizens to recommend, and the gov- Most comprehensive plans consist of six major parts:
erning body to consider, new or revised land use designa-
tions for properties under the control of the developer. This 1. Statements of the community’s goals and objectives
could result in a downplanning, or reduction in the land 2. Inventories of its existing characteristics, features,
use or development intensity recommended in the compre- land uses, and facilities
hensive plan. Conversely, this forum provides the land de-
velopment design team with the opportunity to suggest a 3. Projections of trends expected within the life of
different and perhaps more intensive use of the property the plan
and strive to have the comprehensive plan recommendation 4. Text describing policies to be applied in order to
revised accordingly. Depending on existing parcel zoning, achieve the plan’s goal
future projects could be drastically altered if development
intentions are not confirmed or defended by the land de- 5. Maps and text depicting and discussing the com-
velopment design team during this nomination period. munity, showing current and future land use, the loca-
As stated above, this nomination period also provides an tion of future public facilities, environmental resources,
opportunity for citizens as well as landowners to introduce and other features
new proposals for future development of the holdings of 6. Text describing how the community intends to
the developer. Circumstances unforeseen in prior plans, carry out the goals of the plan
such as expansion of an airport, revitalization of a business
center, decline of a neighborhood, or influx of new industry, The statement of goals and objectives is a reflection of
may justify a change. Similarly, assembly of smaller parcels attitudes towards the elements that interact to form the built
into a large development tract may also suggest an oppor- environment. Typically, these elements include:
䡲 Population 18 goals formed the basis for a 3-year, multiphased review

of the county’s comprehensive plan. In contrast to the Anne
䡲 Housing
Arundel goal, a typical goal in the adopted Fairfax plan
䡲 Employment follows:
䡲 Retail activity Transportation—Land use must be balanced with the sup-
porting transportation infrastructure, including the regional
䡲 Industrial output
network, and credibility must be established with the public
䡲 Transportation and private sectors that the transportation program will be
implemented. Fairfax County will encourage the develop-
䡲 Recreation and open space ment of accessible transportation systems designed, through
䡲 The environment and natural resources advanced planning and technology, to move people and
goods efficiently while minimizing environmental impact
䡲 Public utilities, services, and facilities and community disruption. Regional and local efforts to
achieve a balanced transportation system through the de-
Many communities add goals addressing: velopment of rapid rail, commuter rail, expanded bus ser-
vice and the reduction of excessive reliance upon the
䡲 Economic development automobile should be the keystone policy for future plan-
䡲 Social or human services ning and facilities. Sidewalks and trails should be developed
as alternative transportation facilities leading to mass transit,
䡲 Historic preservation high density areas, public facilities, and employment areas.
(Fairfax County, 1990)
䡲 Major institutional uses, such as airports, colleges,
or government installations Whatever the form of the goal statements, they set a
䡲 Other important indigenous issues or land uses, standard against which the actions of both the land devel-
such as agriculture, mineral production, or maritime oper and local governing body are judged. In preparing the
activities client’s plans, the land development consultant must con-
sider how those plans address these overriding goals. The
䡲 Intrajurisdictional and intraregional relationships team representative will likely be called upon to justify the
and responsibilities proposal and must be sure the plan is characterized as a
solution rather than an exacerbation of a problem identified
Establishment of Goals and Objectives in the plan.
The goals statements themselves are usually broad. They are
often criticized as being innocuous ‘‘motherhood and apple Inventory and Trends
pie’’-type assertions. For example, in 1978, Anne Arundel Inventory and trends analysis provides a starting point or
County, Maryland, adopted a new comprehensive plan with snapshot of the community and its citizens’ mindset. The
three goals described as ‘‘the foundation for this Plan.’’ One inventory is a valuable resource to the development team
of the goals, the overall social goal, was to ‘‘provide the best because it includes a demographic analysis of the popula-
possible opportunities for all of the people to earn a living, tion of the community. It shows statistics such as age dis-
to have a comfortable home, and to enjoy physical and tribution, household formation, income, labor force, and
emotional health, personal security and safety, access to new home and automobile ownership. Along with a large-scale
skills and knowledge, and control over their own lives’’ map showing existing land use, the plan describes land use
(Anne Arundel County, 1978). Certainly the goal is impor- characteristics, including a breakdown of number and type
tant. However, it offers little in the way of advice for those of housing units, structural condition, and land and build-
making development decisions, either in the public or pri- ing area of nonresidential uses. The plan also provides ec-
vate sector. onomic data, such as retail sales and manufacturing output.
In some jurisdictions, however, the goals are very fo- Many plans contain information on real estate absorption
cused. They reflect strong attitudes about shortcomings or and conversion rates, property sales, and leasing activity,
conflicts in prior comprehensive planning efforts or the rate while others also offer statistics on commuting patterns and
of growth being experienced in the community. The Fairfax transportation use. With the help of the land development
County, Virginia, Board of Supervisors in 1987 appointed consultant, the developer uses the inventory to determine
20 civic and business leaders to a countywide Goals Advi- the needs of residents and business, and their financial ca-
sory Commission. The action was a response to a divisive pacities and limitations.
conflict over the county’s explosive growth and government The premise of comprehensive planning is that, by iden-
efforts to control it. The panel spent 11 months in intense tifying growth patterns and adapting land use and economic
analysis and dialogue about county and industry past prac- controls, it is possible, if determined good public policy, to
tices. In addition, 11 months of controversial public hear- alter the patterns. The application of these controls may
ings were held by the commission, the county’s Planning involve redistribution of public resources in accordance
Commission, and the Board of Supervisors. The resulting with reordered priorities. Strict controls and disincentives
may be considered to prevent or deter specified develop- To eliminate some of the ambiguity created by scale and
ment actions. Conversely, policies may be adopted that pro- time, many communities undertake a multitiered and mul-
vide incentives to land developers and users that succeed tiphased planning effort. This effort narrows its vision, often
in altering their actions to achieve the goals of the plan. at several intermediate steps, in order to examine smaller
Incentives may simply take the form of public support subsections of the community. At its extreme, the plan
for a desired change in zoning. Policies contained in the makes parcel by parcel recommendations on land use, den-
plan may suggest density or other bonuses that provide sity, compatibility, and the facilities that serve them. When
financial incentive to the land developer in exchange for this happens, the comprehensive plan begins to resemble
public benefit. The plan may suggest that public funds be the zoning ordinance more than a plan to guide future de-
applied to critically needed public works improvement pro- velopment. However, even at this scale, the plan still serves
jects in areas where growth is desired. It may recommend only as recommendation for future development, albeit a
the timing of development to keep pace with those im- strong one.
provements.
Plan Implementation
Land Use Maps Although the goals statements in the plan represent the
Accompanying the comprehensive plan text is the proposed community’s vision of quality of life and future develop-
land use map. Often color-coded or shaded, the generalized ment, the plans for implementation are the key to that vi-
land use maps of the community represent a graphic de- sion’s realization. Despite its detail and breadth of coverage,
piction of the relationship of existing and future land uses the comprehensive plan is, in fact, only a guide in most
and facilities. The map divides geographic areas into desired jurisdictions. The governing body should strongly consider
and projected uses and intensity. These areas usually rep- the plan’s recommendations when making land use or fiscal
resent the broad categories of land use, such as residential, decisions. However, it does not, in most jurisdictions, carry
commercial, industrial, and other employment centers. the force of legislative acts adopted by the jurisdiction, such
Subcategories of development intensity show the gradation as the zoning or subdivision ordinance. Despite this, the
of land use patterns. For instance, the map may show that link between those ordinances and the plan is important,
an area of high-density residential is a desirable future use as most communities rely on the findings in the compre-
adjacent to an existing commercial center. The map defines hensive plan when considering zoning and development
the boundaries of the area and provides a range of relative applications. The zoning ordinance may mandate that the
densities. The map frequently shows the proposed location land developer consider the detailed provisions of the plan
of significant facilities, such as transit centers, proposed and address those issues in the development proposal. In a
freeway interchanges, regional shopping malls, and schools. minority of states, sometimes referred to as plan confor-
It offers a snapshot of what the community would like to mance jurisdictions, the plan is a mandatory directive for
be at a distant but determined point in time. Figure 2.1 land use regulations and, by law, zoning decisions must
provides an example of a section of a comprehensive plan conform to the plan’s mandates. For purposes of the follow-
map. ing discussion, the majority rule that the plan is a guide
The mapping of land use at large scale often generates will be studied.
considerable controversy. By its nature, a map provides ge- The existing zoning of a parcel takes precedence over
ographic references and landmarks to which people can re- the recommendations of the comprehensive plan in almost
late—the corner down the street, the area across from the all cases. This is true even where the use and intensity pro-
shopping center. The generalized land use map, therefore, visions of the plan are more restrictive than those in the
appears to fix geographic location for the information it zoning ordinance. For this reason, an important role of the
presents. Consequently, many community residents look to comprehensive plan is to recommend the adoption of
the map as a tool to control land use and as a source of changes to ordinances that regulate land use and develop-
absolute information. ment. The governing body of a jurisdiction may amend
Often, however, land development does not conform to zoning and subdivision ordinances without specific direc-
the finite categories shown on the map. The plan map may tion from the comprehensive plan. However, the courts of-
propose that an existing residential neighborhood is rede- ten find that such actions are an abuse of authority when
veloped to a higher density or a major facility is shown in they are accomplished without the rational basis offered by
a location that concerns some in the community. Citizens comprehensive planning analysis.
often lose sight of the fact that the plan serves as only a To the land development consultant, the comprehensive
guide. So, too, the fact that the plan spans a 5- to 20-year plan is more than just a guide to a community’s future phys-
period is often forgotten. Some properties may undergo sev- ical growth. Rather, the plan represents a historical depic-
eral use changes awaiting conditions favorable to the ulti- tion of the community and a retelling of the planning
mate land use. Reference to the plan’s designations for process that the community undertook to develop its vi-
broad sections of the community ignores the fact that the sion. It represents an invaluable resource in the data and
plan, in some instances, intends for individual parcels to direction it offers, yet the language in the text, whether it
develop differently. relates to an overall policy or a recommendation for the
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F IGURE 2.2 Example of a comprehensive plan map.

developer’s parcel, is often vague. Frequently, the plan leads overlay and work in conjunction with the underlying plan
to varying interpretation by regulatory officials, citizens, or and parcel-specific findings.
the developer. This adds to the considerable challenge fac- All documents and maps that relate to jurisdiction-wide
ing the land development consultant and the developer in issues must be assembled by the land development team
preparing the proposed development proposal. and analyzed for possible impact on a specific parcel
planned for development. Table 2.1 demonstrates the va-
What to Look for and How to Use the Comprehensive riety of plans produced in a given municipality.
Plan The consultant must obtain the most recent version of
Depending on the size of the community and its particular the plan and keep it current. Local governments periodi-
planning and zoning authority, the comprehensive plan may cally revise their comprehensive plans, both in their entirety
consist of one or several documents and maps. Many large and on a piecemeal basis. Minor small-area amendments
localities will segment the land area into several planning may have been adopted in response to new information or
areas or sectors. Where this occurs, the text provides ex- circumstances or by another developer’s or citizen’s pro-
tensive discussion of both jurisdiction- and sector-wide pol- posal. Because the governing body frequently acts on these
icies, issues, and opportunities. amendments apart from a more extensive plan review pro-
Some communities identify smaller areas that warrant cess, interim amendments will usually not appear in printed
special study, such as business districts, industrial areas, versions of the plan. The planning office or town clerk is
transit centers, areas of important institutional use, or other required to maintain an index and file of plan amendments.
significant concentrations of population and employment. Comprehensive plans with a multitiered structure most
Such areas often have unique circumstances deserving often provide a parcel-by-parcel analysis that offers detailed
closer examination due to their overall importance to the use, intensity, and design recommendations that apply to
community. Finally, there may be distinct functional plans the development of each parcel. The identification and eval-
that address partial elements of the plan that are of special uation of these recommendations as they may affect a
importance to the community, including transportation, proposed development is one of the most important re-
sewer and water, the environment, urban design, and even sponsibilities of the land development consultant.
trail systems. As is the case with the area plans, these also Jurisdiction-wide comprehensive plan maps and text
examine issues and opportunities and provide a set of pol- usually limit their scope to broadly defined geographic areas
icies considered in development review and budgeting. The and identify density or intensity ranges that apply within
plan specifies how the community intends to achieve its these areas. The more narrowly focused sector plan may
specific goals. These functional plan recommendations attach a more specific range or absolute maximum density
TABLE 2.1 Listing of Montgomery County General, Master, Sector, and Functional Plans
The type and number of plans available from various public agencies which can aid in the early design stages of a
project vary widely according to the municipality. For example, this list describes the types of plans available for
Montgomery County, Maryland.
.....................................................................................................................
General Plan:
Identifies, in broad terms, those areas suitable for various types of land uses, e.g., residential, commercial, agricultural,
open space, etc.
.....................................................................................................................
Local Area Master Plan:
Are available for each of the county’s 27 planning areas. The local area master plans include a statement of planning
policies, goals and objectives, and description of the planning area. Plans also include maps outlining recommended
land uses, zoning, transportation facilities, recommended general locations for public facilities and possibly even include
recommendations for scheduling financial capital improvements.
.....................................................................................................................
Sector Plans:
Are comprehensive plans for a portion of the Master Plan area. They describe the relationship of various land uses to
transportation, services, and amenities. Plans may include maps or other graphics, text, and design guidelines.
.....................................................................................................................
Functional Master Plan:
Shows details of a specific system such as major highways, drainage, and stormwater management systems.

for a targeted area or parcel. Of particular importance are ZONING

recommendations for project density or intensity or other Introduction
conditions required to achieve full potential development.
Despite the effort involved in adopting a comprehensive
The plan may include techniques to reduce potential im-
plan, legally, in most jurisdictions, it serves only as an ad-
pacts on the neighborhood and community.
visor recommendation. In these majority jurisdictions, the
The land development consultant must understand how
plan does not have the force of law needed to protect the
the community prepares its land use maps and the intent
citizens’ health, safety, or welfare and is not an exercise of
of their graphic representations. For example, a symbol pro-
a jurisdiction’s police powers. That task falls to the com-
posing a regional shopping center site on the comprehen-
munity’s zoning ordinance. The zoning ordinance is the leg-
sive plan’s generalized land use map may not necessarily fix
islative means by which a community sets detailed
its location. The text may refer to specific circumstances or
requirements to all aspects of the use of land. These re-
conditions that are favorable to another site in the general
area of the symbol. Furthermore, specific land use maps, quirements include layout and intensity of each parcel of
within the area or sector plans, may make explicit recom- ground within the government’s jurisdiction.
mendations for specific parcels. Although zoning is the primary means by which the
Land uses different from those shown on the maps are comprehensive plan is implemented, it is the comprehen-
often permitted and encouraged, depending on circum- sive plan’s recommendations that are the primary guide for
stances and conditions identified in the text. For example, making zoning decisions. While in majority jurisdictions a
the map may show a broad geographic area identified as decision-making body may disregard the recommendations
low-density residential, but text may explain that nonresi- of the comprehensive plan, it does so at the risk of losing
dential uses, such as neighborhood shopping or service fa- regularity and uniformity in its zoning practices. In its sim-
cilities, are appropriate. In such cases, the plan specifies plest form, zoning separates different or incompatible land
conditions that the land developer must consider in devel- uses and serves as a nuisance-prohibiting device. Its pur-
oping such uses. pose is to reduce the likelihood of one use creating a nui-
The land development consultant must review the dis- sance or having an undesirable impact on occupants or
cussion of available public facilities such as roads, water, future occupants of adjoining property. For instance, op-
and sewer. The existence of such facilities, system capaci- eration of a business such as a grocery store requires the
ties, and timing of future improvements is important where installation of signs, lighting, parking, and trash disposal
these entities are needed to support the proposed devel- facilities and generates traffic from both customers and de-
opment. In some communities, the adequacy and phasing livery trucks. If that grocery store operates next to a resi-
of public facilities expansion controls development. For in- dence, the occupants’ use and enjoyment of their property
stance, Anne Arundel County, Maryland, adopts a sewer is diminished. The traffic, noise, activity, and lighting are
and water master plan as a functional element of its com- likely to become a nuisance that infringes upon the resi-
prehensive plan. This master plan shows areas of existing dential character expected by the homeowner. As a resi-
service and planned expansion of service areas in 5-, 10-, dence, its location has become less desirable than that of
and 20-year increments. Therefore, even when the compre- others in the neighborhood. The business may reduce the
hensive plan and actual parcel zoning agree on land use value of the adjoining residence. However, it may also have
and density, the sewer and water master plan dictates lot the simultaneous effect of increasing the value of the land
size and project density. Consequently, the final project may upon which the house is built by generating pressure to
be significantly less intense than envisioned, unless the de- expand the commercial area and thus increase the value of
veloper can expand the system or defer the project to a the property. Zoning seeks to prevent such conflicts by pro-
consistent time frame with the adopted comprehensive viding greater separation between incompatible uses. Where
plan. Policy language in the plan often prohibits the devel- greater distance cannot be achieved between incompatible
oper from constructing needed improvements to advance use, the zoning ordinance requires other techniques to re-
project development. Anne Arundel County uses this ap- duce impacts, such as a different architectural solution,
proach to discourage premature development in areas smaller signs, a larger yard between the building and prop-
where growth is not anticipated or desired. erty lines, fencing, landscaping, or restricted hours of op-
The land development consultant must identify the tech- eration.
niques and procedures that the local government uses to The zoning ordinance achieves separation by defining
accomplish plan recommendations. These procedures may categories of land use that relate to agricultural, residential,
range from new or revised regulations or disincentives to commercial, office, and industrial uses. The ordinance is
discourage development to incentives that provide greater usually organized in a hierarchy that reflects intensity and
economic return to the developer in exchange for features operating impacts on the community. Typically, the zoning
that provide public benefit. The land development consult- categories are further broken down into zones or zoning
ant must consider the fiscal impacts of these recommen- districts. These represent the differing types and intensity
dations in determining project feasibility. of uses possible within the broad category. The regulations

for each district specify what uses may or may not be con- on the ordinance to anticipate potential conflict or impact
structed or undertaken on property within its boundaries. upon their own property. These standards become an es-
The most common zoning ordinances present an exhaustive sential element in the design of a project. Figure 2.3 is
list of land uses permitted in each zoning district. The zon- exemplary of the detailed control language found in the
ing ordinance also regulates how much density and inten- typical zoning ordinance.
sity of development are acceptable on property in each
specific zone. The Zoning Map
For instance, under the broad category of residential, an Zoning does more than just prevent conflicts between land
ordinance might specify districts for low-, medium-, and uses. Through the adoption of a detailed map (an example
high-density development. Each zoning district would spec- is shown in Figure 2.4), zoning is also used to achieve the
ify a maximum number of housing units allowed on each land use patterns endorsed in the comprehensive plan. The
parcel of land. The text usually expresses this as a minimum map that accompanies the zoning ordinance text shows the
lot size or number of dwelling units per acre. The ordinance division of the entire jurisdiction into the zoning districts
may also list types of permitted residential development, defined in the text. These zoning districts reflect the actual
such as single-family detached and single-family attached, zoning of the land. Applications to rezone property are rou-
garden or high-rise apartments. In addition, the ordinance tinely viewed in terms of the specific recommendations em-
sets standards for the size and arrangement of structures on bodied in the approved comprehensive plan. The zoning
each lot or parcel. These might include the maximum area ordinance and the zoning map are both tools essential to
of lot coverage permitted for buildings and the setback of the realization of the comprehensive plan’s goals.
those buildings from adjoining roadways and property How communities create the zoning map varies. Many
lines. Zoning ordinances regulate maximum building jurisdictions adopted the first zoning map simply as a
height, distance between buildings, required off-street park- graphic representation of land use patterns that existed at
ing, and similar features. The community adopts these stan- the time. Areas of vacant land were frequently zoned to a
dards as a protection to adjoining property owners who rely district similar to the surrounding area. In some commu-
F IGURE 2.3 Example of zoning district text.

F IGURE 2.3 (Continued) Example of zoning district text.
nities, the adoption of the comprehensive plan is followed responds to a variety of problems and constituents’ issues.
by a comprehensive, jurisdiction-wide rezoning. In such Most jurisdictions publish periodic text amendment up-
cases, the zoning map closely mirrors the land use patterns dates, with a page numbering system designed to ease in-
recommended in the comprehensive plan. In this way, the sertion in a master document. These are sometimes
community encourages development to follow the plan rec- available on a subscription basis. Others reprint the ordi-
ommendations because a rezoning of the property is not nance in its entirety only after the governing body adopts
required. The developer need only process project plans in a substantial number of amendments. This requires that the
accordance with other development controls, such as sub- land development consultant maintain a file of amendments
division and building permit regulations. For jurisdictions until the reprint is available.
that do not practice comprehensive rezoning, the zoning The zoning map is often available in several forms and
category assigned to vacant property often represents the scales. A generalized zoning map is usually a single-sheet
least intense land use. This is often a low-density residential depiction of the community, perhaps at a scale of 1ⴖ ⫽
category. Any more intense use requires that the developer 2000⬘. The map shows major roadways, landmarks, and
seek a rezoning to a higher classification. Chapter 11 ad- natural features, with zoning district boundaries identified
dresses rezoning and the map amendment process in more by various symbols. Each district is labeled with the name
detail. of the zone that corresponds directly to the ordinance text.
Frequently, the district name is a shorthand indication of
What to Look for and How to Use the Zoning Ordinance the use and intensity of the district. While the meaning of
and Map these labels is consistent within a single jurisdiction, they
The zoning ordinance is usually a separately published title often vary between jurisdictions. For instance, a district la-
or chapter in the jurisdiction’s code of laws. The land de- beled ‘‘R-5’’ might be a residential district with a permitted
velopment consultant must be sure to use the most current density of five dwelling units per acre, or it may mean a
version of the zoning ordinance. Many communities adopt residential district permitting minimum lot sizes of 5000
text amendments on a continuing basis as the government ft2. Or it may simply be the fifth in a hierarchy residential

F IGURE 2.4 Graphic illustration floor area ratio (FAR).
district. Although this type of map is useful for understand- properties, and major water bodies. Are these areas zoned,
ing broad zoning and land use patterns in the community, and do zoning boundaries fall on centerline or on property
it is less useful in verifying actual parcel zoning because the line? This is important in calculating density for projects
map in some jurisdictions omits property lines. In addition, where right-of-way abandonment or surplus public prop-
zoning lines frequently bisect properties. erty disposition is a factor.
A large scale map, often at 1ⴖ ⫽ 200⬘, may be main- The text associated with each zoning district will usually
tained by the planning or zoning office, town clerk, or sim- describe the purpose of the zone. This determines the in-
ilar office of records. Maps at this scale will frequently tended magnitude and character of the development, as
include parcel boundaries or may reference a tax map des- well as the intended service or market area of nonresidential
ignation for the property. In some jurisdictions, the official uses. In addition, the text will provide a listing of land uses
map shows additional information, such as previous and allowed in the district. These include:
pending zoning special exception or special permit appli-
cations as well as subdivision activity. 䡲 Uses that are permitted by right
Some jurisdictions use metes and bounds or other de-
䡲 Uses that are permitted by right if certain specified
scription to maintain zoning district boundary records.
conditions apply
Compare these to actual parcel boundaries to verify prop-
erty zoning. 䡲 Uses that are permitted by special exception
Eliminate doubt! Have the appropriate government
agency certify parcel zoning in writing. In some jurisdic- 䡲 Uses that are permitted by special permit
tions, a certification of zoning may become a legally binding 䡲 In some cases, uses that are prohibited in that zone
decision unless appealed.
Check the jurisdiction’s practice about the zoning of In undertaking a project where the use is allowed by
street and railroad rights of way, public and institutional right, the land developer need only show compliance with

the requirements of the zoning ordinance. This usually ap- tire parcel, a two-story building covering half the par-
plies whether the development is a single home, an entire cel, or some other configuration. Yard and height
residential subdivision, or a commercial facility. To secure requirements affect the actual parcel layout. An FAR of
approval from the jurisdiction, plan review is accomplished 0.5 for this same parcel would allow 20,000 square
through the normal administrative procedures incorporated feet of building area. Figure 2.4 is a graphic depiction
in the subdivision ordinance and building permit proce- of FAR.
dures. These ordinances are discussed later in this chapter.
䡲 Maximum lot coverage, either by buildings or by
When the intended use requires review as a special ex-
impervious surface, often expressed as a percentage.
ception or special permit, approval authority usually rests
with an elected or appointed body, or both. These are most 䡲 Minimum required open space, again as a percent-
frequently the jurisdiction’s governing body, its planning age, referring to parcel area unencumbered by build-
commission, a zoning appeals board, or a zoning hearing ings or parking.
officer. In addition to a review by the professional planning 䡲 Minimum front, side, and rear yard requirements
staff, the governing body usually holds public hearings to that define the building envelope. These refer to the
assess the attitudes of neighbors and civic groups towards distance of building setback from property lines, in-
the project. Using plans prepared by the land development cluding street rights of way and waterfront. In some
consultant, the developer must justify the appropriateness communities with waterfront property, the yard facing
of the proposed use. The approving authority may impose the water is considered the front yard. The ordinance
conditions to lessen potential impact, whether perceived or may specify when structures or architectural features,
real. Following approval, the normal administrative proce- such as porches and steps, may extend beyond the set-
dures for subdivision and construction will apply. back line. The front setback line is also called the
Uses requiring approval of a rezoning or special excep- building restriction line.
tion application must conform to the recommendations
incorporated into the comprehensive plan. The zoning 䡲 Minimum lot width at the building restriction line.
ordinance provides details on the administrative and legis- If the lot is shaped so that its width at the normal set-
lative approval procedures for these development proposals. back line does not meet the minimum standard, the
These specify the required information needed for the prep- building restriction line is forced to be located farther
aration of plans and supporting documentation for rezoning from the front property line, to a point where the
and similar applications. Ordinance provisions also provide width complies with the standard.
the methodology for amendments to the zoning ordinance 䡲 Maximum or average building height, in feet and/
text. Text amendments can change development potential or stories.
as much as map amendments. Both amendment procedures
may be initiated by either the governing body or individual 䡲 Angle of bulk plane or similar representation of re-
appellant. Chapter 11 describes these procedures in more lationship of building height to property line. This pro-
detail. tects adjoining property views or access to sunlight
Minimum or maximum standards cover virtually every and airflow. Figure 2.5 illustrates angle of a bulk plane
detail in project design for each type of land use. Typical as applied to building restriction lines.
criteria identified in the zoning district text include lot size, The ordinance text identifies general criteria that might
density, coverage, and bulk requirements. These require- apply to all development, such as required setback from
ments strive to protect and preserve the character of the highways and railroads or other unusual conditions.
environment by preventing overcrowding, reducing con- The ordinance describes the functional requirements or
flicts between neighbors and neighboring properties, and standards applicable to all development. These include off-
guarding against encroachment on streets and intrusion of street parking, landscaping, screening, buffering, and tree
traffic noise. Examples of these are listed below. preservation. These are frequently located in separate sub-
titles of the ordinance.
䡲 Minimum of average lot size and lot width. Special exception or special permit uses have minimum
䡲 Maximum density or intensity of development, standards and criteria listed separately in the text. Identify
usually expressed in dwelling units per acre for resi- criteria for size and intensity, proximity to other properties
dential uses and floor area ratio (FAR) for nonresiden- or facilities, landscaping, screening, and similar conditions
tial uses. Floor area ratio is the relationship of building that mitigate impact.
area to parcel size. For example, on a 40,000 ft2 par-
cel, if the zoning ordinance allows a maximum FAR of Zoning Administration
1.0, then it would be possible to construct a building An important principle of zoning is that a property can be
or buildings totaling 40,000 ft2 of floor area. This developed to any land use that is allowed by right in the
could result in a single-story building covering the en- district, provided that the development meets district stan-

that exceed the standard specified for the underlying zoning

district, and a specification of the activities permitted in
conjunction with a special exception use. The authority em-
powered to grant rezoning approval is usually the same one
that grants special exception approval as well. As with re-
zoning, this may be the governing body, a planning com-
mission, or a zoning hearing officer. These bodies also hold
public hearings to solicit input from community residents.
In contrast to uses allowed by right, most ordinances
specify that uses needing special exception approval must
comply with the community’s comprehensive plan. These
requirements subject development proposals needing a spe-
cial exception to the broad variety of policies and restric-
tions in the plan that might not otherwise apply. These
could include density controls, requirements for specific en-
vironmental measures, constraints on traffic generation, or
desirable public improvements. Frequently, these apply
even to existing land uses proposed for redevelopment or
expansion of long-established uses. As with rezoning ap-
plications, because of this direct connection to the require-
ments of the plan, many local governments try to expand
the application of special exception procedures to a wider
range of uses.
Some jurisdictions administer a separate special permit
process. Projects that involve uses listed as needing a special
F I G U R E 2 . 5 Graphic showing setback and building restriction permit must go through an approval process not unlike the
lines and angle of bulk plane. special exception. However, the governing body frequently
delegates its authority to a board of appeals or zoning staff
administrator. Approval of a special permit comes with con-
dards and complies with other development policies and ditions attached that, like a special exception, help to re-
regulations. By-right uses are those that are explicitly per- duce incompatibility between the use and adjoining
mitted in each zoning district and are fundamental to the neighborhood. Typically, opportunities for public hearings
district’s character. How those uses are determined differs, are incorporated into the process, allowing affected neigh-
as does the subsequent process of development review by bors to voice support or opposition to the issuance of the
the jurisdiction. The land development practitioner must permit.
understand how the local government applies its ordinance. A variance to zoning ordinance requirements may be
The variations dictate what land use options exist and how granted by the governing body, a subordinate body to
project design is undertaken and affect the way in which whom that power has been delegated, or, in some jurisdic-
local government approves development projects and the tions, a quasijudicial body appointed by judicial officials.
durability of that approval. A special exception is a specific As with other zoning applications, opportunities for public
use permissible within a zoning district subject to the grant- comment are normally provided. Most variance applications
ing of a site-specific permit request. A special exception is address building setbacks or similar technical requirements
one that generates additional impacts to the surrounding of the ordinance. These usually occur in expanding or re-
neighborhood and warrants special consideration. Despite constructing existing land uses, where changes to the zon-
the potential for impacts, the principle underlying the clas- ing ordinance make it difficult to adhere strictly to the
sification of special exception uses is that, if properly reg- current ordinance. In some instances, complying with
ulated, they are acceptable uses in the zoning districts newly adopted ordinances imposes a hardship on the prop-
where they are permitted. They adhere to the character in- erty owner, who is otherwise unable to use the property in
tended by the zoning district, as well as the comprehensive the manner permitted prior to the change in the zoning
plan. They may be desirable to the community and add to ordinance.
its convenience, but due to possible impacts such as noise, A variance should not be confused with rezoning, al-
traffic, or visual disruption, most zoning ordinances estab- though a few jurisdictions allow use variance applications
lish conditions that apply in the development of special as well as the more common variance to standards. A var-
exception uses. Such conditions may include a limitation iance may be granted if the applicant can prove that, be-
on the hours of operation, landscaping, buffers and barriers cause the owner is unable to comply exactly with the

zoning ordinance, an undue hardship exists. The hardship Among these two types of zoning ordinances, there are sev-
must be peculiar to the property, and the variance must be eral important distinctions in ordinance structure and
necessary to allow reasonable use of the land. A purely ec- administration. Conventional ordinances, often called pre-
onomic hardship does not normally satisfy this hardship scriptive or Euclidian1 zoning, set rigid parameters. These
test. The approving authority may impose conditions on prescribe very specific land uses and building configura-
development. In granting the variance, it must ensure that tions that are permitted on a parcel of ground and the stan-
the variance will not change the basic character of the area dards applied to development. Performance zoning
or weaken enforcement of the ordinance. Financial loss is incorporates flexibility into land use control. This type of
usually not considered a sufficient factor in determining zoning addresses more the impacts of the final development
hardship. and use of a parcel, based upon its unique physical and
A nonconformity is an existing lot, use, or structure that environmental characteristics. Rather than imposing strict
does not fully comply with the requirements of the zoning standards, such an ordinance requires that the developer
district in which it is located. This situation often occurs a meet specific standards of performance. These standards of-
new zoning ordinance is adopted, text or map amendment ten relate to stormwater runoff, industrial pollution or
is made after a subdivision plat is recorded, or a land use noise, traffic, population, or other factors important to the
is legally established. In most instances, the goal of the com- community. Like Euclidian zoning, a performance zoning
munity and governing body is to eliminate nonconforming ordinance usually specifies use and intensity. However, with
uses or structures. Where that is not practical, most ordi- performance zones, the land developer has greater latitude
nances also include provisions that explain the conditions in determining the detailed requirements, such as lot size
under which such uses may continue to operate or expand. and building arrangement. To secure project approval, the
There are two types of nonconformities, nonconforming developer must show how the proposed project meets the
as to standards and nonconforming as to use. The first case performance standards.
addresses uses permitted in a district whose development Conventional Euclidian zoning has the advantage of
standards have since been revised in the ordinance. This greater certainty in both end product and project approval,
frequently occurs in older residential areas or established but it suffers from rather uniform developments that often
commercial areas when the lot size, density, parking, or result. This is particularly true in residential uses, where
setback requirements have been changed in the zoning or- large developments commonly have a cookie-cutter ap-
dinance. Most ordinances usually allow these uses to con- pearance. This approach to zoning does not allow the flex-
tinue, provided they are not expanded or enlarged, but ibility that a developer needs to address environmental
require that future additions comply with the new require- concerns in site development. Nor can the developer re-
ments. For instance, a new garage added to a house would spond to shifting market activity or preferences. In addition,
have to comply with new setback provisions, unless a var- the number of zoning categories and individual zoning dis-
iance is granted. A developer constructing a new depart- tricts is greatly increased with Euclidian zoning.
ment store addition to an existing strip shopping center Performance zoning, on the other hand, provides flexi-
might be required to adhere to the newer off-street parking bility and often succeeds in attracting more variety and in-
requirements. In a zoning district requiring lot sizes of one novative projects. Greater protection of environmental
acre, the zoning ordinance will usually allow a house to be resources and open-space areas can be achieved through the
built on a smaller existing lot of record; however, the struc- performance zoning process. Its disadvantage, however, is
ture must otherwise fulfill all other requirements of the or- that it may result in greater expense in upfront analysis for
dinance. both the community and the developer. To community res-
Sometimes the actual use of a property becomes non- idents, it sometimes does not provide the desired clarity
conforming due to a text amendment eliminating the once- and certainty with respect to expected development.
permitted use. Typical ordinance provisions allow the use Cumulative Zoning. Variations of this type of zoning may
to remain but prohibit any expansion or enlargement. Re- be most common. As the density and land use intensity
pairs and limited reconstruction is allowed, although most increases in the zoning district hierarchy, the range of per-
require a nonconforming use to be terminated if a substan- mitted uses expands. Thus, a more intense district will per-
tial, greater than 50%, portion is destroyed by fire or other mit all uses listed within that district, plus all uses in
casualty. Some communities also adopt a schedule to en- districts of lower hierarchy. One of the shortcomings of cu-
force the removal and/or amortization of nonconforming mulative zoning is that the community may not attain the
uses that they consider undesirable, such as billboards or desired separation of uses and may suffer the resultant im-
mobile homes.
Zoning Concepts
1
Named after the landmark 1926 Supreme Court decision in the case of the Village
of Euclid, Ohio v. Ambler Realty Company, 272 U.S. 365 (1926), which established
Zoning ordinances fall into two general classes, although zoning as a valid exercise of police powers to protect public health, safety, and
many communities’ ordinances have evolved into a hybrid. welfare.

pacts caused by lack of separation. In a commercial district, Floating Zones. Many ordinances describe zoning dis-
for instance, it could be possible to construct single-family tricts that are unmapped but become fixed in the process
residences. of rezoning. These zones have a special purpose and most
While separation is one of the basic intentions of zoning, usually respond to a specific comprehensive plan recom-
economic and market forces usually work to discourage sig- mendation. Floating zones may provide transition between
nificant disparity in use. The principle of highest and best uses, as described above, or they may address problems in
use generally works to discourage development to a use geographic areas that have unique opportunities or con-
with lower economic return. Full development potential is straints, such as an environmental resource or commercial
the most widespread indicator of land prices. In addition, or transportation center. Planned unit development is a typ-
marketability of the lesser use declines if users perceive the ical type of floating zone, although communities apply it in
proximate higher use to be incompatible or an undesirable varying ways.
neighbor. In some respects however, the mix of uses per- Planned Unit Development. This is a development form
mitted by this type of zoning may be beneficial because the that attempts to enhance both flexibility and functional re-
extreme separation of residences from employment or ser- lationships between land uses. With conventional zoning
vices has, in large part, been responsible for the rapid patterns, the land developer cannot easily respond to the
growth in suburban sprawl and increased dependence on changing market demand associated with shifts in the econ-
the automobile. This dependence has worsened roadway omy of the region. Nor can the developer address consumer
congestion by forcing more traffic onto major roadways. preferences for other than a single lot size or housing type.
Those communities that recognize this respond by estab- Individual projects, undertaken in a small geographic area
lishing mixed-use districts that encourage a variety of by different developers sometimes lack cohesiveness, caus-
compatible uses. Strong government controls usually ac- ing community identity to suffer. In addition, the extreme
company the development of mixed-use districts. However, separation of land uses that results from conventional zon-
even as some jurisdictions attempt to encourage mixed use, ing, often places unnecessary stress on community facilities.
many local governments now try to narrow the range of The planned unit development, a mix of land use, build-
permitted uses in each district. The rationale for this posi- ing type, and intensity can be constructed within a single
tion is the need for greater certainty in planning for the
project. It is most often applied in the development of larger
community’s infrastructure.
tracts of land, undertaken by a single land developer. Typ-
Transitional Zoning. Many communities draw zoning dis-
ically, a planned unit development can include single-family
trict boundaries in a step-down fashion. This pattern seeks
detached, single-family attached, multifamily housing, and
to provide gradation between two disparate uses, usually
light neighborhood serving commercial retail uses. In larger
residential and commercial or office. In one approach, the
projects, local zoning regulations may permit other more
community may create zoning districts of intermediate in-
intense uses.
tensity between the incompatible classifications. This re-
Planned unit development allows the land development
duces the most significant conflicts between the more
consultant the opportunity to consider design in a compre-
extreme uses. Figure 2.6 represents a zoning map with
hensive manner, rather than treat each use individually and
property divided into several districts between the most in-
separately. Planned unit development also presents design
tense commercial zones and least dense residential zones.
The permitted intensity of commercial use reduces in each opportunities to address broad functional relationships,
of several districts as distance from the most intense com- both between land uses and between land use and facilities.
mercial area increases. Similarly, residential density may also These include entrances to the community, vehicular and
increase for properties in districts located closest to com- pedestrian traffic, stormwater management, and other sys-
mercial areas. tems. The land development consultant has greater control
Some jurisdictions establish districts that provide for over placement of uses, their design, and access between
flexibility as well as a mix of uses and appearance where them. In-depth discussion on these issues is found in Chap-
zoning classifications meet. These transition zones serve as ter 1.
buffers against the intense use. For example, townhouse- Unlike those in conventional development, the uses in a
style offices may be required on commercially zoned planned unit development interrelate in a common and
property adjacent to residential areas. This encourages ar- controlled setting. The consultant addresses elements that
chitectural compatibility in both scale and configuration affect community appearance and identity with a unified
with the existing residential community. The ordinance may approach including architectural style, landscaping, street
also provide for changes in housing type; for example, furniture, open space, and signage. This comprehensive ap-
townhouses or garden apartments may be allowed as part proach to design and construction of planned unit devel-
of the transition. In either case, the text of the zoning or- opments allows for a more efficient use of the land. In
dinance often imposes additional landscaping and screening addition, the developer is in greater control of product mar-
requirements as additional protection for the lower density/ keting and the business environment. Due to this design
intensity uses. flexibility, cost savings in streets and utilities design, con-

FZoning map showing zoning transition.

2.6 IGURE
49
struction, and maintenance may be a result to benefit both subdivision design. The density specified in the zoning or-
the developer and public agencies. dinance is unchanged. Communities that allow cluster de-
Some communities delineate planned unit development velopment by right set specific standards that are applied
districts on their zoning maps. Ordinance provisions set use in subdivision or other administrative ordinances. This
and intensity conditions that reflect the district’s relation- gives the development team the flexibility to design a plan
ship to other uses. Other communities have the zone float. that can accommodate unique site conditions or address
It becomes fixed during the rezoning process, frequently market desires. As a result of the design flexibility, the de-
where the applicant has assembled several properties and veloper can realize construction cost savings using cluster
the project may take on the general characteristics of the development. The finished product reflects these savings.
underlying zones. A planned unit development in an oth- Final purchase prices can be reduced, or site amenities and
erwise residential area may still be required to incorporate housing design features can be added that would normally
primarily residential uses. However, housing type and ar- be more expensive to the consumer.
rangement may deviate from conventional district require- Despite this, some communities that once allowed clus-
ments. Often, limited neighborhood serving retail areas will ter by right now require either rezoning or special exception
also be allowed. Planned unit development provisions may approval for cluster development. Where this change has
also address areas intended to be primarily shopping cen- been made, local legislators have acted in response to citi-
ters and industrial and office parks. Some jurisdictions al- zens’ fears that the smaller lots somehow diminish adjoining
low planned unit development as a special exception that property values. Others are concerned that cluster may al-
most closely resembles the floating zone, with the process- low the developer to create more lots than otherwise pos-
ing and administration differing among jurisdictions. sible, despite the overriding control of zoning district
Conversely, the flexibility associated with planned unit density. The delay and exposure, in terms of both time and
development often means that the final development may money, associated with these processes often serves to dis-
be viewed as less predictable to the community. Conse- courage land developers from using cluster development,
quently, planned unit development approvals often involve despite its benefits. The development team must balance
extensive review procedures that might discourage their ap- these competing demands. Chapter 13 describes cluster de-
plication. Considerable up-front design costs may be en- velopment design in detail, including a graphic comparison
countered by the developer, with no guarantee of project of the differences between the traditional and cluster zon-
approval. Frequently, planned unit development provisions ing.
also require the developer to provide additional on-site Overlay Zones. Communities sometimes use overlay
amenities, such as open space, recreational facilities, and zones to address areas with special problems or unusual
land for public facilities such as schools and fire stations. physical characteristics. In addition to the conventional dis-
However, many jurisdictions recognize the benefits of trict boundaries, overlay zones are either mapped or de-
planned unit development to the community. Zoning or- scribed in the ordinance text. Typical situations that suggest
dinances often provide land developers with incentives to the use of overlay controls include airports, historic areas,
assemble smaller parcels of land into larger tracts. These highway corridors, and floodplains. The development must
incentives come in the form of higher densities, relaxation conform to both sets of zoning district criteria, or the more
in lot size requirements, more intense uses, and increased restrictive if conflicts are apparent. Figure 2.7 provides a
flexibility in design. graphic representation of a typical overlay map.
Cluster Zoning. Cluster is an alternative control for resi- Transferable Development Rights (TDRs). Historic, agri-
dential developments. Like planned unit development, it is cultural, and similar resources are often prime development
an attempt to allow greater variety and flexibility in land sites. Most communities place a high priority on the pro-
development. Cluster regulations frequently allow smaller tection of these properties and often attempt to discourage
lots in exchange for more community open space and a their development. Consequently, owners of these proper-
more pleasing community setting. At the same time, cluster ties could not realize the value of these properties if
can provide greater public benefit, such as preservation of development were to be prohibited. Therefore, some com-
sensitive environmental features. Cluster has also been suc- munities have adopted a system that enables the transfer of
cessfully applied to save historical sites and productive development potential elsewhere in the community, while
farmland. leaving the property itself undisturbed. These development
Cluster differs from planned unit development in that it rights are usually sold to developers of property elsewhere
is a change in neither land use nor housing type. If the in the jurisdiction, allowing the original landowner to keep
underlying zoning district specifies single-family detached the underlying property and profit from its value. This prac-
residences, townhouses or apartments usually cannot be tice also allows the jurisdiction to focus its financial re-
built. Those cluster ordinances that do allow a change in sources for public facility improvements in its more
housing type clearly identify the conditions and require- developed areas, where they can efficiently serve the pop-
ments that apply. This is merely a reconfiguration of the ulation. It should be noted that TDRs involve a land reg-
technical lot size and setback standards that apply in ulatory process outside the scope of traditional zoning

Example of an overlay zone on a map.

2.7
F IGURE
51
enabling acts. Therefore, special legislative authority is nor- setbacks, and maximum building coverage and housing
mally required to legitimize TDR regimes. type. Take the example of a 100-acre site that is zoned to
In its comprehensive plan, the community defines send- permit a density of four dwelling units per acre. If a 20%
ing and receiving areas. Sending areas are those areas to be density bonus is granted, it may not be physically possible
preserved. Underlying zoning or a similar indicator deter- or desirable to build 480 single-family detached homes on
mines the development potential of the property. Property the property. Modifying the ordinance to allow a percentage
development rights are made available for sale to landown- of the units to be built as townhouses means that a more
ers in receiving areas. Selling the development rights of a attractive project may be possible and still allows the de-
property prevents the sending property from undergoing veloper to earn a profit, while accommodating the afford-
future development. able units.
Developers who acquire TDRs may increase project in- Zoning Changes. While Chapter 11 discusses the actual
tensity accordingly. Maximum densities and other condi- rezoning process, discussion about the effect of zoning
tions established in both the comprehensive plan and the change is presented here. In order to secure rezoning to a
zoning ordinance regulate development of the receiving different classification, the land developer uses plans and
property. This type of zoning most closely resembles the applications prepared by the land development consultant
floating zone. Additional development rights need not be and files an application or request for legislative change
purchased, but new criteria apply when they are. Devel- with the local governing body. These materials describe the
opment conditions in the community’s ordinance protect proposed rezoning and demonstrate the rationale for the
property owners near the receiving area, who may face change. The application often represents that the developer
greater impacts and higher densities than anticipated. intends to construct a specific use on the subject property.
Exclusionary Zoning. Exclusionary zoning specifically The plans and drawings show how the project will look
prohibits a particular use from a district that might other- once built. If the governing body approves the rezoning,
wise permit it. This prevents a use that might have extreme future development of the property is controlled by the new
impact, such as noise, odor, or pollution. However, the district regulations.
more familiar use of the term has a negative connotation However, some communities have found that while the
that applies to ordinances that limit housing choices for low developer is bound to the new zoning, there may be no
and moderate-income families. Exclusionary zoning may obligation to develop the property as shown in rezoning
restrict large lot zoning, require minimum house sizes, pro- application. Consider the example of a commercial zoning
hibit mobile homes, or exclude apartments. Such ordi- district that permits both an automobile service station and
nances indirectly discriminate against minority and a lumberyard. The developer may already have a service
economic groups, and, as such, exclusionary zoning is be- station operator as a client, to whom he intends to sell the
coming the subject of court challenges. Coupled with high property once it is rezoned. During the rezoning process,
land prices and development costs, exclusionary ordinances the developer may have successfully demonstrated that the
also work to restrict a community’s labor force. By limiting service station was both appropriate and needed in the
housing opportunities for office and service workers, they community. The land development consultant prepared the
force employees to commute greater distances, which places client’s plans showing how the final product would look
an increased burden on regional transportation systems. once completed. After the zoning is approved, the client of
Inclusionary Zoning. Inclusionary zoning tries to expand the developer may build the service station, but backs out
access for households of low and moderate income. This is of the project for economic reasons. In view of the fact that
accomplished by adopting provisions that encourage de- the zoning district allows a variety of uses by right, the
velopers to provide housing and facilities in affordable price developer is free to establish any of the land uses that the
ranges. The simplest way to achieve this is to amend the district permits. He or she may sell the property to another
zoning ordinance to allow greater variety of housing op- developer, who finds that construction of a lumberyard may
portunities other than single-family homes on large lots. be more appropriate. This flexibility enables the developer
However, because of other factors that affect housing cost, to respond to changing market conditions. However, com-
this is not necessarily effective in and of itself. munity residents may find the lumberyard incompatible
One approach that is gaining in popularity is the adop- with their community and lead to further commercializa-
tion of so-called affordable dwelling unit ordinances. These tion of the neighborhood.
require the developer to provide for a certain number of In another situation, the comprehensive plan may rec-
controlled-price dwellings in exchange for a density bonus. ommend that an area zoned for low-density residential use
The additional density compensates the developer for the is more appropriate as a multifamily project. However, the
added construction cost of the affordable units. To imple- increased density will create the need for new roadways to
ment such an ordinance, the community must modify serve the community, funding for which the local govern-
zoning district design requirements to accommodate the in- ment cannot afford. When the rezoning is approved, resi-
creased number and type of units that may be constructed dents of the jurisdiction become frustrated because traffic
on the site. These changes most frequently include lot size, congestion is worsened by new projects in the area. These

scenarios have led many communities to seek the adoption Contract Zoning. Unlike conditional zoning, which binds
of state enabling legislation to create several hybrids. These only the landowner, contract zoning binds both the land-
are characterized by the granting of rezoning to districts of owner and the governing body to agree on conditions in
higher density or more intense use in exchange for greater exchange for certain zoning concessions. Some courts have
certainty, increased amenities, or facilities that serve the ruled this type of zoning invalid, arguing that the governing
public health, safety, and welfare. These typically involve body does not have the power to bargain away its police
extensive negotiation between the developer, the governing powers. This form of rezoning can result in spot zoning to
body, and, in some instances, the citizens of the community. accommodate private interests and is often challenged as
These types of ordinances, and rezonings granted under being capricious and arbitrary.
their provisions, are occasionally the subject of court chal-
lenges on constitutional grounds. Citizens sometimes be- RELATED TECHNIQUES IN DEVELOPMENT REGULATION
lieve that the governing body has bargained away too much,
and developers are concerned that they have been unfairly Adequate Public Facilities Ordinances
treated. Therefore, a local land use attorney frequently takes As noted earlier, some communities have found that rapid
a lead role on the land development team. However, the growth has outstripped their ability or commitment to pro-
land development consultant should become familiar with vide the public infrastructure needed to support develop-
the administration of local ordinances, past practices, and ment. One technique used to address this problem is the
existing case law. adoption of an adequate public facilities ordinance. Such an
In states that allow conditional zoning, the governing ordinance requires that the developer defer a project if the
body has the power to grant a rezoning if the developer projected demand on public services exceeds the total ca-
agrees to meet certain conditions. Most often, the local gov- pacity or funding approval of any of the systems. The typ-
ernment imposes or allows the developer to offer these con- ical systems covered by an adequate facilities ordinance
ditions voluntarily to reduce the impacts of the proposed include transportation, water, sewer, and school systems. As
use or existing uses and future public facilities. Conditions with the TDR’s process, adequate public facilities regula-
can improve compatibility between adjoining uses or re- tions involve a land regulatory process outside the scope of
duce the project’s demand on support facilities and infra- traditional zoning enabling acts. Consequently, special leg-
structure. The developer is compensated for the extra cost islative authority is normally required to legitimize adequate
of these conditions by the higher economic returns ex- public facilities ordinances.
pected from a project of greater intensity or density. Critics Implementing such an ordinance first requires that the
of conditional zoning suggest that it may be abused by the governing body conduct studies to determine the total ca-
governmental agency to obtain numerous concessions while pacity of public systems. This is derived by adding to the
exceeding reasonable expectations of the developer. capacity available in existing systems those facility improve-
Proffered Zoning. Used extensively in the urbanizing por- ments that are planned, budgeted, or funded within a spec-
tions of Virginia, proffered zoning is similar to conditional ified period. Most ordinances use the time span covered by
zoning but mandates that the development conditions be the community’s capital improvements project budget, typ-
volunteered in writing by the developer prior to action on ically four to six years. For some systems, capacity can be
the rezoning request. The significant difference is that the determined by direct measurement, such as by measuring
developer proffers (pro-offers) to bind development of the design capacity for sewage or water treatment. For others,
property to a specific development plan or set of textual a policy must be established concerning level of service be-
conditions. In addition, the developer sometimes offers to fore the calculation of projected use is made. For instance,
construct improvements to public and private facilities that the governing body must determine the number of students
reduce demand generated by the development. The devel- per classroom that is acceptable to the community before
oper may also provide operational and aesthetic incentives determining total capacity of the school system. Similarly,
to the community as a condition of rezoning approval. The determining the capacity of the transportation system re-
final plan and proffers are usually the result of extensive quires considering the level of service/congestion that will
negotiation with community residents and the governing be tolerated by the community.
body. The jurisdiction must then determine the existing use of
The proffered conditions must be in writing, be signed, those systems, again either by direct measurement or by
relate to the rezoning itself, and be in accord with the com- estimated usage. In estimating current demand, the juris-
prehensive plan. If the governing body accepts the proffers diction might determine the average use generated by each
and approves the rezoning, the proffered conditions then residence and equivalent nonresidential operation. It is pos-
run with the land. Thus, both current and future owners sible to calculate per unit demand by analyzing historical
or developers are bound to the approved plan and condi- data, field research, and demographic information such as
tions agreed to during proffer negotiations. Any change to housing type or number of bedrooms.
the development plan or the actual proffers must be accom- The community must also estimate the projected de-
plished through a subsequent rezoning. mand for projects that are committed but not completed.

These are projects that are approved but not built, or over vention from the jurisdiction, usually through civil court
which the government has no control because a discretion- suit by the parties to the agreement.
ary approval, such as rezoning, is not required. These are The most common examples of restrictions and cove-
called projects in the pipeline. nants are the homeowner and condominium association
The final step is determining available capacity and sys- agreements that a developer creates as part of a develop-
tem adequacy. If, after current and committed demand from ment project. The agreements often place limits on what
the total system capacity is subtracted from capacity re- purchasers may do with their property as a way of main-
mains, then the facility is considered adequate. However, taining aesthetic controls. When homeowners take title to
each development proposal must demonstrate that its de- their property, they also assume certain obligations to con-
mand on systems will not exceed that available capacity. sider the rights of others in the community. The restrictions
Again, this is done by determining per-unit demand, such may limit the size of structural additions and control paint
as average gallons per day of water use or number of vehicle colors, landscaping, and other features to ensure that in-
trips per day of traffic generation. dividual actions are in keeping with the character of the
In communities with an adequate public facilities ordi- community. These agreements may be more stringent than,
nance, a project cannot be approved if its demand will ex- and often supersede, government zoning regulations.
ceed the available capacity. In some cases, however, the During the initial stages of project occupancy, it may be
developer will be allowed to finance improvements that will the developer who enforces the restrictions. While project
increase system capacity, thus allowing the project to meet sales are underway, maintaining the appearance and char-
the adequacy test. Another option available to the land de- acter of the project is essential. After project buildout, how-
velopment team may be the implementation of measures ever, it falls to the residents of the community, who are
that reduce the demand that will be generated by the pro- parties to the agreement, to enforce the restrictions. Design
ject. An example of this is the creation of a shuttle system review committees are appointed by many homeowners as-
to transport residences to a mass transit station, thereby sociations to control the activities of individual homeowners
reducing the number of work trips that a new residential in a development.
project will generate. Developers often use similar covenants as part of an
overall marketing plan in projects where the developer is
Development Review Point Systems not the builder. When portions of the development are sold
A criticism often lodged against zoning is that it is too in- to a number of different builders, agreements control the
flexible. As noted earlier, zoning often does not allow suf- actions of builders within a large project. These often ad-
ficient leeway for the developer to adjust to unique site dress architectural style, amenities, and housing price range.
conditions, changing economic/demographic conditions, or The covenants frequently control builders’ activities during
consumer preference. In response, a number of communi- construction, as well as the operation of builders’ on-site
ties have initiated comprehensive development review sys- model homes and sales offices.
tems that rate projects according to the success or failure In a commercial development, restrictions may be im-
with which they address certain criteria. Fort Collins and posed on signage, operating hours, or similar activities.
Breckenridge, Colorado, are among those jurisdictions that Covenants take on importance in a commercial venture be-
have enacted this type of ordinance. cause of the potential impact of one business on another.
The criteria to judge development applications in these The success of a retail center relies heavily on tenant mix,
communities focuses on compatibility, design, and demand and operations and covenants are an important means of
on public facilities and environmental impact. The jurisdic- ensuring that the character of a retail center is maintained.
tion attaches discrete weighting factors to each of the cri- In addition, the developer may have been required to es-
teria, based on their relative importance to the community. tablish them as a condition of the government’s rezoning or
Each project is then given points based on its success in subdivision approval. Again, these are privately enforced,
addressing the issues identified. Those that achieve a min- although the government may play a role if conditions of
imum threshold of points will be approved for develop- approval are violated.
ment. Covenants are established in two ways. They are often
indicated on the final subdivision plat that is recorded in
Deed Restrictions and Covenants the jurisdiction’s land records. If the covenants are exten-
Government regulations are not the sole means of control- sive, a plat reference will indicate where in the land records
ling land use and development. Private controls imposed the covenants are located. They form a private contract
by the landowner, developer, or subsequent lot purchasers agreement that applies to all the lots in the subdivision, and
are also an effective way to establish and enforce desired any purchaser of the land automatically becomes party to
development patterns. Deed restrictions and covenants are the contract. The covenants have an important role in com-
typical private controls. These are agreements between in- munity design and appearance. Consequently, the land de-
dividuals that create self-imposed restrictions on design, velopment consultant should assist in drafting them. In
use, and alteration. Enforcement is pursued without inter- order to ensure that the covenants are legally binding and

in conformance with the state’s real estate laws, an attorney region of the country has unique needs and wide choices’’
must review and conduct final drafting of the documents (Downs, 2001).
prior to recordation. The smart growth debate has intensified during the late
A second way of establishing covenants is through the 1990s and into the new millennium. ‘‘Last November there
action of individual landowners, who can place restrictions were no fewer than 240 anti-sprawl ballot initiatives around
within deeds of conveyance. Groups of landowners can also the country, most of them passed. Some stripped local au-
act together and attach restrictions to their lots, usually for thorities of the power to approve new subdivisions without
their mutual benefit. These covenants are also recorded in voter assent. Others okayed tax money to buy open land
the land records of the jurisdiction. It should be noted that before the developers get it’’ (Lacayo, 1999).
a limited number of jurisdictions in the country have cho-
sen not to adopt zoning ordinances. In the early 1990s, a Fundamentals and Principles
zoning ordinance in Houston, Texas, was defeated in a ref- Smart growth principles, according to the National Asso-
erendum, and Houston consequently remains perhaps as ciation of Home Builders (NAHB), include meeting the na-
the largest American city without a zoning ordinance. In tion’s housing needs, providing a wide range of housing
such areas, deed restrictions and covenants regulate land choices, a comprehensive process for planning growth, and
use and development. While the city relies on covenants both planning and funding infrastructure costs. Other in-
and deed restrictions to regulate land use, it also exercises terest groups place more emphasis on protecting the envi-
covenant enforcement powers. ronment, preserving open space, redeveloping of inner core
areas, encouraging new forms of urban design which create
SMART GROWTH and/or restore a sense of community. The range of princi-
ples is wide and varied, but the common thread is to pro-
Introduction
vide the housing need for the increasing population while
Since the end of World War II, land use patterns have en- at the same time protecting the environment and enhancing
couraged low-density developments where the American the quality of life for all. ‘‘The goal of Smart Growth is not
Dream of owning a home could be realized. However, a no growth or even slow growth. Rather, the goal is sensible
partial result of capturing the American Dream has been an growth that balances our need for jobs and economic de-
abandonment of our major cities by the middle and upper velopment with our desire to save our natural environment’’
middle class and the resultant ‘‘racial and economic segre- (Glendening, 1997).
gation, . . . disinvestment in urban cores, environmental The literature on smart growth presents a wide variety
damage, and inaccessible housing, employment, transpor- of issues, statistics, and legal analysis, and suggests methods
tation, and services’’ (National Neighborhood Coalition, of implementation of smart growth principles. Each interest
2000, p. 1). group has its own set of priorities in terms of the issues of
Further, due to a rapid increase in population over the most importance and methods by which the principles of
past four decades and the continuing expansion of the sub- smart growth should best be implemented. David O’Neill
urban rings around major metropolitan areas, communities of the Urban Land Institute (ULI) suggests that although
throughout the nation are debating methods and laws to there is no universal definition, there are the follow-
address suburban sprawl. The issue of how to address sub- ing smart growth features with common characteristics
urban sprawl has been on scores of ballots in cities and (O’Neill, 1999):
states across the nation during the past decade. Due to this
concern with suburban sprawl, local, state, and federal 䡲 Development is economically viable and preserves open
growth management groups have focused on the concept space and natural resources.
䡲 Land use planning is comprehensive, integrated, and
of ‘‘smart growth.’’
regional.
Dependent on one’s views and social and economic in- 䡲 Public, private, and nonprofit sectors collaborate on
terests in growth patterns, smart growth has a wide range of growth and development issues to achieve mutually
definitions and interpretations of what is and how it should beneficial outcomes.
be implemented. According to Anthony Downs, those de- 䡲 Certainty and predictability are inherent to the devel-
bating the essence and implementation of smart growth fall opment process.
into four basic groups: (1) anti- or slow-growth advocates 䡲 Infrastructure is maintained and enhanced to serve ex-
and environmentalists; (2) pro-growth advocates; (3) inner- isting and new residents.
city advocates; and (4) better-growth advocates. Although 䡲 Redevelopment of infill housing, brownfield sites, and
obsolete building is actively pursued.
these four groups are diverse in their interests and goals
䡲 Urban centers and neighborhoods are integral compo-
and certainly do not agree on many of the elements of smart nents of a healthy regional economy.
growth, ‘‘there is always cause for optimism. Even with dif- 䡲 Compact suburban development is integrated into com-
ferent goals, the different groups may be able to reach a mercial areas; new town centers, and / or near existing
middle ground, especially if they keep in mind that each or planned transportation facilities.

䡲 Development on the urban fringe integrates a mix of of growth. To address these issues, smart growth encourages
land uses, preserves open space, is fiscally responsible, suburban development that takes place in the context of a
and provides transportation option. local and regional land use strategy. Smart growth seeks to
accommodate this growth in a manner that promotes eco-
O’Neill goes on to observe that in order to truly under- nomic vitality, protects environmental resources, and pre-
stand smart growth, one must overcome a number of myths serves each community’s quality of life.
that have been perpetuated by the various interest groups. Myth #3: Smart Growth Creates Another Layer of Govern-
The following discussion of eight myths associated with ment Regulations That Slows the Development Process
smart growth has been adapted from the ULI booklet. and Increases Project Costs. The myth that smart
Myth #1: Smart Growth Is a Code Word for No growth adds to the already burdensome regulatory process
Growth. Growth is inevitable. By the year 2020, the U.S. is inaccurate. Smart growth should not be subject to the
population is projected to increase by more than 21%, or regulatory conditions that can slow development and in-
nearly 58 million people. Increases in population signify an crease its costs. Smart growth, therefore, seeks to reform
unavoidable demand for residential, commercial, and in- strict regulatory policies and streamline procedures so that
dustrial development. desirable projects are permissible and easier—not harder—
Growth is not only inevitable; it is also an integral part to build.
of the U.S. economy. Real estate capital accounts for about The current predominant patterns of growth and devel-
20% of the nation’s total gross domestic product per year. opment—low density, separate commercial and residential
Clearly, real estate development strengthens the economy land uses—can be attributed in part to decades of govern-
and enhances community prosperity. This prosperity ena- ment policies. Local zoning and subdivision ordinances are
bles the public and private sectors to invest more broadly a case in point. Over the past seven decades, these policies
in infrastructure, community amenities, education, and have separated commercial, industrial, and residential land
open-space preservation. These types of public and private uses to ensure the integrity of each and to preclude poten-
investments, in turn, support the achievement of smart
tial nuisances. This philosophy, called single-use zoning,
growth objectives.
isolates the different activities in which people engage and
Smart growth does not seek to stop or limit growth, but
increases their dependency on the car.
rather to accommodate it in a way that enhances the econ-
Under these stringent regulatory conditions, it is virtu-
omy, protects the environment, and preserves or improves
ally impossible to develop or redevelop a community that
a community’s quality of life. It moves beyond the no-
integrates commercial and residential uses, provides walk-
growth versus pro-growth debate to a more enlightened dis-
ing and bicycling opportunities, and protects environmental
cussion on how best to accommodate growth.
resources—all of which are essential principles of smart
Myth #2: Smart Growth Is Anti-suburb. The idea that
growth.
smart growth is anti-suburb is based primarily on the per-
Supporters of smart growth are seeking to reform un-
ception that smart growth is seeking to change current lo-
cations of development. According to the Joint Center for manageable codes and ordinances and to streamline pro-
Housing Studies at Howard University, between 1990 and cedures that will make it easier to build projects that reflect
1997, homebuilding activity exceeded 100,000 units in 21 smart growth characteristics. Communities can streamline
metropolitan areas, with most of that development taking procedures by clarifying the language of ordinances, peri-
place in medium- and lower-density counties at the met- odically updating and eliminating redundant provisions,
ropolitan fringe. The pace of population growth outside and simplifying the permitting process. Smart growth can
metropolitan regions is approaching that in metropolitan overcome an essential stumbling block, cumbersome regu-
regions. latory processes.
Suburban growth will continue; however, the form and Myth #4: Smart Growth Does Not Sell. The belief that
type of future suburban development is less certain. Nu- there is little or no market for smart growth development
merous studies have documented the inefficiencies of pro- is a common misconception. To the contrary, smart growth
viding services and infrastructure to unmanaged growth. development—at higher densities, in cities, and in better-
According to Emerging Trends in Real Estate 1999, standard planned communities—is an option that is attractive to
suburban development may not be able to sustain itself. In many homebuyers and businesses.
fact, this report predicts that many low-density suburban Underlying the demand for the type of development that
communities will suffer lower land values because of poor smart growth encourages is a shift in demographics. Smaller
planning, increasing traffic, and deteriorating housing families, empty nesters, childless marriages, and singles all
stock. are growing demographic groups seeking housing that re-
On the one hand, people want to live in the suburbs, flects their lifestyle and lifecycle. Developers and others are
but on the other hand, they are fed up with suburban prob- recognizing that these groups favor higher-density housing,
lems. Furthermore, their communities often cannot afford which can offer convenience, low-maintenance living, and
the public services and infrastructure to support this form many amenities.

A combination of factors, including a shift in demo- sit. Positive trends also exist for the first factor, dispropor-
graphics, low interest rates, and a dynamic economy, has tionate increases in per capita trip making.
created a renaissance in urban living. The amenities and The implication is that smart growth can help bring the
conveniences provided in traditional cities are attracting a growth in work commute time more in line with the un-
growing number of homebuyers and businesses. derlying population growth, a trend confirmed by shifting
Undoubtedly, homebuyers increasingly want to live in demographics and the aim of smart growth policies and
communities that offer amenities and conveniences that fos- practices to improve the jobs/housing balance. That could
ter a better sense of place. On the suburban fringe, well- reduce substantially the investment needed in new high-
conceived master-planned new communities that integrate ways, although it certainly would not eliminate it.
open-space protection and pedestrian links, balance jobs Smart growth will not eliminate the need for new roads
with housing, and provide a mix of land uses meet both and road improvements, but it does encourage better-
consumer demands and achieve smart growth objectives. planned, mixed-use communities that can provide an array
The market for smaller-lot, higher-density, mixed-use of transportation alternatives.
suburban development also appears to be growing. Con- Myth #7: Smart Growth is Bad for Business. The claim
cerns about increasing traffic congestion, growth in tele- that smart growth is bad for business overlooks the fact that
commuting, and demographic trends should ensure that a growing number of businesses are taking leadership roles
high-density, mixed-use development will continue to in advancing smart growth programs and/or benefiting
emerge as an important component of the suburban hous- from smart growth policies. The business community also
ing market. recognizes the emerging markets that complement the prin-
The market for the type of development that reflects ciples of smart growth, namely those in urban communities,
smart growth principles continues to expand. along abandoned waterfronts, and near public transit.
Myth #5: Smart Growth Equals Growth Boundaries. Today’s business community is becoming more aware of
Despite claims to the contrary, smart growth does not sim- the impacts of unplanned development on its ability to re-
ply prescribe urban growth boundaries (UGBs) as the an- main competitive. In Atlanta, for example, when corpora-
swer to growth pressure. When it comes to smart growth, tions were asked what was the most serious impediment to
one size does not fit all. There is a wide range of incentive business in the metropolitan area, the overwhelming re-
policy and programmatic choices from which to choose. sponse was ‘‘traffic congestion.’’
While it may be appealing, both for its perceived sim- While many businesses have made a clear commitment
plicity and for initial political acceptance, to draw a line to mitigate the impacts of unplanned development on their
around a developing community, urban growth boundaries bottom line, others are recognizing that they can enhance
present complex technical, political, and legal issues and their businesses because of smart growth programs. Brown-
often cause controversies. fields (former industrial or commercial sites that are per-
Urban growth boundaries and urban service areas ceived to be or are environmentally contaminated) are a
should be considered as one element of a smart growth case in point. Because of the cost and the risk involved, few
strategy only if they are consistent with the political, eco- brownfields have been redeveloped. Due to federal and state
nomic, and cultural environment of a region and are com- legislation, however, certain brownfield developments now
prehensively and thoughtfully applied. are attracting investors.
Smart growth does not endorse one policy, but rather Commitment to smart growth by the business commu-
challenges communities and regions to select those that re- nity is growing. Businesses have taken an interest and, in
flect their unique conditions and help them achieve their certain cases, a leadership role in improving the quality of
region-wide vision for future growth and development. life within communities through smart growth initiatives.
Myth #6: Smart Growth Will Eliminate the Need for New Several businesses and business organizations have formed
Roads. Between 1983 and 1990, it was estimated that partnerships and made investments to advance smart
more people with more percapita travel accounted for about growth.
one-third of the increase in driving. Growing dependence Myth #8: With So Much Undeveloped Land, There Is Lim-
on the automobile because of less car pooling and transit ited Value in Open Space Preservation. Smart growth re-
use accounted for another third of the increase in driving spects both the rights of private property owners and the
time, while growing travel distances, due to the increased value of open spaces and natural resource lands. Open
separation of homes, jobs, recreational facilities, and other spaces are important components of communities. They
places, accounted for the final third. provide recreational opportunities, habitat for wildlife, buf-
An effective smart growth program primarily will address fers for pollution, and places for people to gather and en-
the latter two factors. Better-planned, mixed-use commu- hance their sense of place. Smart growth seeks to preserve
nities will reduce travel distances, helping to limit the these open spaces in the context of achieving a vision for
growth in trip lengths. Concentrating growth in established a community’s desired growth and development.
areas also will reduce the need for long trips and will offer Underscoring the value the public places on open-space
greater choices in travel modes, especially walking and tran- protection, voters approved 72% of the 240 state and

location conservation ballot measures in 1998. These mea- being and have been made, and the following are some
sures supported a wide range of conservation and com- notable examples.
munity enhancement activities throughout the country. Maryland. The state of Maryland is one of the nationally
These results demonstrate that open-space preservation is recognized leaders in the implementation of smart growth
an essential community value and therefore a critical ele- policies and strategies statewide. ‘‘Instead of growth bound-
ment of any smart growth initiative. aries, the state directs its funding, including that for roads,
While environmental protection objectives traditionally sewer, schools, and other public investments, to designated
have been viewed as conflicting with economic goals, smart growth areas. These are designated for growth because they
growth seeks to identify those areas where both environ- either have or are located near existing infrastructure. As a
mental and economic objectives can be achieved simulta- result of this policy, hundreds of millions of state dollars
neously. In many respects, as smart growth demonstrates, will be channeled into these designated areas to accom-
open-space protection complements economic development modate future growth and development. Development still
objectives. can occur outside designated areas, but state funds will not
be used to support such projects’’ (Maryland Office of Plan-
Representative Projects ning, 1997).
Now that we have discussed some of the fundamental prin- According to Governor Glendening of Maryland, there
cipals and myths attributed to smart growth, it is interesting are six reasons why the Maryland Smart Growth Program
to examine some projects that have implemented various has been successful (Glendening, 1998):
elements of smart growth. The representative projects dis- 1. The smart growth package was balanced and ad-
cussed below reinforce the notion that there are a variety dressed both urban and rural concerns, which had the
of methods of implementation of smart growth policies. The practical political benefit of getting support from both
implementation of smart growth policies is as varied as the the urban and rural legislators.
social, economic, and political environment of a given ju-
risdiction. There is no one-shoe-fits-all solution, nor do all 2. Mayors of 157 municipalities were supportive as
or the majority of smart growth principles need to be im- they saw opportunity to get state recourse to improve
plemented to be successful in achieving the goals of smart these cities and towns.
growth. 3. The program preserved counties’ decision-making
There are countless opportunities and challenges inher- authority, but the state would not pay for sprawl re-
ent in the implementation of smart growth. Change is never sulting from bad land use decisions.
easy, and is certainly even more difficult, when it involves
perceived or real issues of property rights and fundamental 4. Environmental groups supported the program be-
cause it comprehensively addresses land use.
changes in how future development is to take place. The
implementation of smart growth policies influences the way 5. Rural groups supported the program because it
we do business at all levels of government, and the results protects the rural settings, lifestyles, and rural econom-
will not be seen for years to come. However, strides are ics.
TABLE 2.2 Land Usage in the United States; Contiguous 48 States Onlya
1945 1954 1964 1974 1982 1992 1997
Total croplandb 451 465 444 465 469 460 —

.....................................................................................................................
Cropland used for crops 363 381 335 361 383 337 353
.....................................................................................................................
Grassland pasture and range 659 632 636 595 594 589 —
.....................................................................................................................
Forest land 602 615 612 5987 567 559 —
.....................................................................................................................
Urban land 15 19 29 35 50 58 —
.....................................................................................................................
Recreation/wildlife areas 23 28 50 57 71 88 —
.....................................................................................................................
Miscellaneous farmland areasc 15 12 10 8 8 6 —
a
Data in millions of acres.
b
Includes cropland used for crops, cropland idled, and cropland used for pasture.
c
Includes farmsteads, farm roads, etc.
Note: 1997 data are only available for ‘‘Cropland used for crops.’’ Rest of data will be available in late 1999.
Source: U.S. Department of Agriculture, Economic Research Service, Natural Resources and Environment Division, Agriculture Handbook, No. 712.

6. The smart growth approach gave businesses cer- which adds to the functionality of the ecosystem. ‘‘Home
tainty about where the state will support growth and sales and premiums indicate that Prairie Crossing’s inno-
where it will not. vative design and amenities are creating value in the market
place. According to Prairie Crossing marketing overview,
Utah. The state of Utah established Envision Utah, a part- homes are selling for $139 per square foot, which is 33
nership of government, business, civic and environmental percent higher than comparable homes in the 35 compet-
leaders, in an attempt to address its growing population and itive market areas (CMAs). Furthermore, 35 homes are be-
corresponding issues associated with significant growth. ing sold each year (at the high end of the entry-level sales
‘‘Since 1997, the Envision Utah partnership has prepared pace in CMA), at an average of $350,000’’ (Linberger,
growth and development projections and various growth 1999).
scenarios that demonstrate how the state might accommo- In support of the smart growth principle that the mean-
date future growth’’ (Envision Utah). ingful preservation of open space areas can be economically
‘‘The state of Utah passed the Quality Growth Act, which beneficial, Prairie Crossing is a notable example.
created a commission to review growth strategies and make
recommendations to the legislature in 2000. The act also
created a critical land conservation fund, with a $6 million REFERENCES
cap, to preserve agricultural and open space land’’ (Smart Anne Arundel County Office of Planning and Zoning, 1978.
Growth Network). The Envision Utah program seeks wide General Development Plan, Anne Arundel County, Annapolis, Md.
public input, which hopefully will provide a future growth Arendt, Randall. 1999. Growing Greener: Putting Conservation into
scenario resulting in a balanced economy, environment and Local Plans and Ordinances, Island Press, Washington, D.C.
quality of life for many years to come. Downs, Anthony. 2001. ‘‘What Does ‘Smart Growth’ Really
Orenco Station, Portland, Oregon. The 190-acre new Mean?’’ Planning, April.
community in the western suburbs of Portland, Oregon, is Envision Utah. The Envision Utah Process, website http: / /
an example of smart growth in the suburbs. www.environmental.org / main / .html.
Glendening, Parris, Governor of Maryland. 1977. Remarks at
Orenco Station is a pedestrian-oriented, mixed-use com- Partners for Growth Conference, December.
munity containing housing, retail establishments, and office
Glendening, Parris, Governor of Maryland. 1998. Remarks at
space. Homes are selling for 20 to 30 percent higher than
ECOS / AASHTO Conference on Smart Growth, December 1.
the cost of the area average. The compact design includes
a wide range of housing types, from single family detached Linberger, Christopher B., 1999. Marketing of Current Product
houses to accessory units over garages to live / work lofts Program of Prairie Crossing, Grayslake, Illinois, Robert Charles
and townhouses over retail shops. The common thread of Lesser & Company, Santa Fe, N.M.
the community is a formal system of open spaces and min- Lycayo, Richard. 1999. ‘‘The Brawl over Sprawl,’’ Time Magazine,
iparks terminating in the recently opened Orenco Station March 22.
stop of the Tri-Met Max light rail line, which connects Maryland Office of Planning. 1997. Smart Growth and Neighbor-
downtown Portland to its suburbs. The project’s architects hood Conservation: Preserving What’s Best about Maryland, Office
and developer conscientiously scripted a pedestrian-friendly of Planning, Baltimore, Md.
environment to encourage walking and a more community- National Neighborhood Coalition (NNC). 2000. Connecting
oriented lifestyle (‘‘Orenco Station,’’ 1999). Neighborhood and Region for Smarter Growth, NNC, Washington,
D.C., April.
Prairie Crossing, Grayslake, Illinois. Prairie Crossing is
O’Neill, David. 1999. Smart Growth: Myth and Fact, Urban Land
located approximately 40 miles north of Chicago, Illinois. Institute (ULI), Washington, D.C.
It consists of a planned clustered community of 317 single-
‘‘Orenco Station,’’ 1999. ULI Project Reference File, vol. 29,
family detached units on 667 acres, which results in a den-
no. 1.
sity of 0.47 dwelling units per acre. Prairie Crossing is an
Smart Growth Network. Governors for Smart Growth, website
example of how a well-designed community, with emphasis
http: / / smartgrowth.org / indexframeset.html.
on the preservation of open space, can be an economic
success. ‘‘Once completed, the 667 acre project will contain
317 single family homes on lots ranging in size from 6,000 ADDITIONAL READING
to 20,000 square feet. The project preserves more than 450 Bauman, Gus, and William H. Ethier, ‘‘Development Exactions
acres or 70 percent of the land as open space’’ (Arendt, and Impact Fees: A Survey of American Practices,’’ Law and Con-
1999). temporary Problems, volume 50, no. 1, Winter 1987, pp. 51–68.
The open-space system includes more than 10 miles of Fairfax County Office of Comprehensive Planning. 1990. Com-
trails, encouraging its residents to bike or walk throughout prehensive Policy Plan, Fairfax County, Fairfax, Va.
the community. The trail system also connects to a com- Finn, Robert F., An Introduction to Zoning, Site Plan and Subdivi-
muter rail system, which gives many residents of Prairie sion Law in Virginia, Northern Virginia Builders Association, Vi-
Crossing the opportunity to get to the workplace by a tran- enna, Va., 1985.
sit system. Additionally, a large portion of the development’s Fischel, William A., The Economics of Zoning Laws, Johns Hop-
open-space abuts a 2500-acre natural protected reserve, kins University Press, Baltimore, Md., 1985.
Frank, James E., and Robert M. Rhodes, Development Exactions, National Association of Home Builders (NAHB). ‘‘Cluster,’’
Planners Press, American Planning Association, Chicago, 1987. Builder, August 7, 1978, pp. 24–38.
Goodman, William I., ed., Principles and Practice of Urban Plan- National Association of Home Builders (NAHB). Cost Effective
ning, International City Managers’ Association, Washington, D.C., Site Planning, NAHB, Washington, D.C., 1978.
1968. National Association of Home Builders (NAHB). Land Develop-
Mandelker, Daniel R., and Roger A. Cunningham, Planning And ment Manual, NAHB, Washington, D.C., 1974, 1981.
Control of Land Development, 2d ed., Michie, Charlottesville, Va., National Association of Home Builders (NAHB). Subdivision Reg-
1985. ulation Handbook, NAHB, Washington, D.C., 1978.
Maryland-National Capital Park and Planning Commission, Car- Porter, Douglas R., ‘‘Flexible Zoning,’’ Urban Land, April 1988,
rying Capacity and Adequate Public Facilities, Maryland-National pp. 6–11.
Capital Park and Planning Commission, Hyattsville, Md., 1977. So, Frank S., ed., The Practice of Local Government Planning, In-
Meck, Stuart, and Edith M. Netter, eds., A Planner’s Guide to ternational City Management Association. Washington, D.C.,
Land Use Law, Planners Press, American Planning Association, 1979.
Chicago, 1983. Urban Land Institute (ULI), Residential Development Handbook,
Munkacy, Kenn, and Tom Sargent, ‘‘Strategies for Dealing with ULI, Washington, D.C., 1978.
Development Exactions,’’ The Real Estate Finance Journal, Sum- Wright, Robert R., and Susan W. Wright, Land Use in a Nutshell,
mer 1987, pp. 6–12. West, St. Paul, Minn., 1985.

CHAPTER 3
SITE PLAN ORDINANCES,

SUBDIVISION REGULATIONS,
AND BUILDING CODES
INTRODUCTION ments. It must also have assurances that land is used safely
With few exceptions, the development of land normally in- and efficiently. Land is an exhaustible resource, and its de-
volves the subdivision of land, a site plan, and/or a building velopment is a primary generator of revenues needed to
permit. With respect to the subdivision of land, most or- provide public services and maintain fiscal health. Govern-
dinances define subdivision as the division of land into two ment, therefore, assumes an important role in protecting
or more parcels, whether for immediate or future use. that resource and demands that development projects re-
While this division usually implies transfer of ownership of main marketable and a continued community asset.
the divided portions, most jurisdictions consider the defi- As also discussed in this chapter, site plans and building
codes play an important role in ensuring proper review of
nition to include condominium and cooperative ownership.
development plans and the safety and structural integrity
Divisions of land and buildings for long-term leasehold also
of proposed buildings. In many jurisdictions, site plans are
are frequently included in the definition. The local govern-
synonymous with subdivision plans and require only ad-
ing body imposes standards and procedures for the subdi-
ministrative review. In contrast, some jurisdictions require
vision of land with the adoption of subdivision regulations.
site plans to go under full scrutiny of not only an admin-
Like the zoning ordinance, subdivision regulations are an
istrative review staff, but also the governing body, with pub-
exercise of government’s police powers. They protect the
lic hearings as part of a very formal approval process.
health, safety, and welfare of its citizens. In some jurisdic- The review processes for building codes and building
tions, the conveyance of an unsubdivided portion of a mas- plans have been established nationwide to ensure the
ter tract is a criminal violation. Therefore, pre-subdivision health, safety, and welfare of future occupants of a structure.
conveyances, leases, or establishment of condominium or There are a number of nationwide building codes that are
cooperative regimes should be avoided. routinely used as the foundation for local jurisdictions to
As mentioned earlier, a use permitted by right in the augment, in order to meet and reflect local concerns and
zoning ordinance requires no specific approval under its issues.
provisions, short of a building permit. The latter can only The underlying purposes of land use regulations dis-
address construction requirements for a single building on cussed below are to protect the large community from neg-
a single lot or parcel. Subdivision regulations are an im- ative impacts of a forthcoming development and to ensure
portant mechanism to ensure that a development complies that time-tested standards are honored in the construction
with the requirements of the zoning ordinance. In addition, of new structures.
the regulations provide protection to users by ensuring that
subdivided lots are suitable for their intended purpose. SUBDIVISION REGULATIONS
Similarly, the jurisdiction’s governing body retains a Components of Subdivision Regulations
vested interest in knowing that its residents and business Subdivision regulations perform several specific functions.
operators are provided with durable and efficient develop- Of paramount importance is the adoption of design, con-
61
SITE PLAN ORDINANCES, SUBDIVISION REGULATIONS, AND BUILDING CODES
struction, and material standards for facilities that serve and serve, future development. R. Anderson noted that ‘‘Sub-
support the development and the larger community. Al- division controls are imposed on the supportable premise
though jurisdictions vary on the listing of systems ad- that a new subdivision is not an island, but an integral part
dressed by their subdivision regulations, the most typical of the whole community which must mesh efficiently with
features, systems, and facilities are listed below. the municipal pattern of streets, sewers, water lines, and
other installations which provide essential services and ve-
䡲 Street design, including arrangement, right-of-way hicular access’’ (Mandelker, 1985, p. 508).
and pavement requirements, geometric design, and in- Public infrastructure design criteria and construction
tersection design standards ensure that the public facilities and transportation
䡲 Sidewalk and trail design network are compatible from one project to the next. Pro-
visions in the subdivision regulations address nearly every
䡲 Street and traffic control signage component of those systems to ensure that individual pro-
䡲 Parking standards and geometrics jects do not disrupt the community. For example, im-
properly designed and located driveway entrances and
䡲 Storm drainage and stormwater management sys- intersections can create hazardous situations that may se-
tem design, including inlet, pipe, manhole, swale, verely impair the efficiency of the transportation network.
pond, culvert, and outfall Similarly, stormwater management systems can cause flood-
䡲 Water distribution system, including trunklines, ing and damage on both upstream and downstream prop-
erties if those properties are not considered in the design.
mains, and laterals
Literally every component of a development project has an
䡲 Sewerage collection, including trunklines, mains, effect on neighboring properties and the surrounding com-
laterals, and pumping stations munity. During the construction of one project, uncoordi-
nated development on adjoining properties can have severe
䡲 On-site and small off-site sewage treatment design
consequences.
䡲 Utility system and easement design
Development Management
䡲 Erosion and sediment control design
Subdivision regulations fulfill an important management
䡲 Lot and open-space grading function for local government through the review of devel-
opment proposals in an organized, efficient, and uniform
䡲 Installation of survey monuments and markers
fashion. The regulations set minimum standards for prep-
䡲 Protection of environmental features aration and submission of design and construction docu-
ments and set clear administrative procedures for their
The subdivision requirements attempt to offer protection review. This makes it possible to budget manpower in both
to the consumer, who has a perception of the quality, de- number and level of training as well as facilities. The land
sign, and functionality of a project that has been or is developer benefits by procedures that discourage unfair or
planned to be developed whether it be commercial, indus- discriminatory treatment. Review personnel can operate
trial, or residential. It provides assurance that systems will with greater efficiency since they can expect similarity in
be adequate and working and that the investment is sound. document format and completeness in the information pro-
Standards provide for safe and proper design of transpor- vided. Even requirements as mundane as sheet size and
tation facilities and other critical public facilities, such as number of copies for applications can be included that fa-
adequate and safe water supply and sewer capacity. cilitate storage, handling, and distribution to those who
The jurisdiction desires protection because it will own, must review applications. The land development consultant
operate, and maintain many of the facilities provided by the can operate more efficiently if the jurisdiction sets clear pro-
developer. By setting minimum standards, the jurisdiction cedures and requirements for plan preparation and review.
can better predict lifecycle maintenance costs and avoid
costly reconstruction of otherwise less durable facilities. Guaranteed Performance
Maintenance and repair will be made easier because the Subdivision regulations usually include provisions requiring
regulations provide for a record of the design of roads and the execution of performance guarantees, such as bonds,
drainage facilities. Final construction documents record the letters of credit, cash escrow accounts, or similar financial
location of underground utilities. In addition, the regula- instruments, to underwrite the installation of public infra-
tions help achieve continuity and compatibility of systems. structure. Most jurisdictions allow residents and business to
Since a residential or commercial subdivision is part of a occupy buildings before all of the land development im-
larger neighborhood and community, the infrastructure and provements are completed. In larger projects, this practice
public facilities must coincide efficiently with the entire pat- allows the developer to balance income and expenditures
tern. Not only must new development connect with the throughout the construction period. This also helps reduce
existing community, it must anticipate, and in some cases damage by construction equipment to finished improve-

3 䡲 SITE PLAN ORDINANCES, SUBDIVISION REGULATIONS, AND BUILDING CODES 63
ments, such as curbs, storm drain inlets, and street pave- cannot set aside a plan viewed to be unfavorable for an
ment. Performance bonds are often not released until after indefinite period as a tactic to discourage or delay a project.
a project is completed, occupied, or accepted by public au- For the land development consultant, the regulations de-
thorities. This ensures that infrastructure will be finished, fine essential parameters that help to guide or, to some,
maintained and, if damaged, repaired by the developer. This constrain the project site design. In some regards, they elim-
protects both consumers and the jurisdiction that could inate the need to perform original research and analysis,
otherwise incur these expenses. which expedites project design and budgeting. Information
The bonds guarantee construction of public improve- concerning plan processing also guides in the preparation
ments in accordance with approved plans. The financial in- of project work programs and budgets.
stitution that issued the instrument makes funds available
to the local government if the developer is forced to aban- Related Development Regulations
don the project. The jurisdiction is then able to construct Throughout the 1970s and ’80s, the country experienced a
the improvements if the developer is unable to complete heightened concern with respect to the effect of land use
them. Institutions that issue performance bonds usually ex- on the environment. Attention not only focused on the
amine the creditworthiness and past performance record of flooding caused by the grading and pavement required to
the developer and typically charge substantial fees for their develop land, but was accelerated by past regulatory prac-
service and risk. The bond instruments have the effect of tices. Early storm drainage requirements led to the design
committing the capital and credit available to the developer of systems intended to collect and carry site runoff quickly,
for future ventures. This provides strong motivation to com- without regard to downstream property. Recognition of the
plete a project and fulfill the obligations of the bond so that effects of this type of system led to the adoption of storm-
it can be released. water management ordinances requiring on-site collection,
trapping, and slow release of storm runoff. Stormwater
Durability of Information management ponds have become a common feature and
are often mandated in land development. Even these early
Subdivision regulations enhance the clarity and durability
management regulations were shown to consider impact on
of information about property ownership and transfer by
natural systems improperly, leading to further refinement in
setting standards for property description, control of field
some communities.
surveys, property boundaries, easements, and other infor-
Concern about sediment damage from all land-
mation related to property ownership. Filing final subdivi-
disturbing activities, agriculture as well as urban develop-
sion plats and related information in permanent land
ment, led to the adoption of grading and erosion and
records of the jurisdiction simplifies the conveyance of
sediment control regulations. Often made a part of the sub-
ownership for lots and parcels. In addition, the information
division regulations, or adopted as an independent ordi-
contained on the plats serves as public notice to future oc-
nance, these provisions require greater care in both design
cupants about conditions and requirements affecting their
and construction of site facilities.
occupancy.
More recently, local, state, and federal legislators have
focused on the impacts of land use on ground and surface
Benefits to the Land Development Design Team water quality. Water quality was found to be degraded not
Despite the costs that the regulations impose on the land only by sediment runoff, but by the many chemical and
developer, subdivision regulations offer protection to land metal byproducts of both agricultural and urban activities.
developers. Land development is an extremely competitive Coupled with greater interest in the use of natural features,
industry in which many firms and individuals operate. Sub- such as wetlands to filter runoff, greater investigation and
division regulations establish a uniform standard of design mitigation of environmental impact is now required by
and construction to which all developers must adhere. many communities.
Competing firms that provide an otherwise similar product These issues have led to an evolution in site planning
cannot undercut prices by using a lesser standard of infra- practices. They have been altered to the point where the
structure. In addition, the regulations offer a predictable land development consultant must consider the size and
framework for allocating development costs. placement of permanent facilities during the design process.
Most subdivision ordinances also set maximum time lim- In addition, sensitive environmental features now play a
its within which the local government must act to approve more central role in project layout. Where they must be
or disapprove the submittal. Where properly applied, these preserved, either by regulation or by good design, they are
ordinances can guard against costly project delays and af- a key factor in decisions about project feasibility. Rather
firm that plans will be reviewed in a timely and predictable than viewing them as constraints, the land development
manner. Such provisions also ensure that jurisdictions consultant should view features and facilities as an oppor-
maintain adequate manpower levels based on projected tunity to enhance project appeal and marketability.
workload volumes. Mandatory time limits also prevent un- In some regions, the link between land use and the en-
fair treatment of developers, since reviewing authorities vironment has been made stronger where the latter’s deg-

radation has been shown to threaten a significant economic are so-called minor subdivisions that sever one or two
resource. Comprehensive programs to protect these features parcels from a larger tract. Ordinance or local policy
seek to balance private property development rights with may define a tract using the parcel boundaries as they
broad public and economic concerns. Two examples of this existed as of a certain date. Family conveyance provi-
are in Texas, where protection of groundwater recharge ar- sions may allow for a certain number of gift lots to be
eas is a high priority, and in the Chesapeake Bay region. In given to immediate family members. The ordinance
the latter case, administrative subdivision reviews are being may exempt large-lot subdivisions and permit estate or
supplemented, and in some cases supplanted, with more agricultural use of these properties. Boundary adjust-
extensive discretionary reviews. The goal is to ensure that ments between adjoining properties and divisions
land-disturbing activities, such as clearing and grading, are caused by government condemnation are also fre-
kept to absolute minimums. The land development con- quently excluded from full compliance with subdivi-
sultant must design protective devices with greater effi- sion regulations. Simple plat preparation and
ciency to prevent pollutant and sediment damage. In some recordation procedures often apply to these exempted
cases, public policy shifts towards allowing greater flexibil- divisions of property. Minimum standards to protect
ity in project design have failed to occur. This places greater public health and safety may also apply.
challenge on the land development consultant to recom-
䡲 Identify sections of the ordinance that address site
mend design solutions that achieve these public objectives
planning and design criteria.
in a cost- and time-effective way.
䡲 Identify provisions addressing system construction
What to Look for and How to Use Subdivision standards.
Regulations
䡲 Identify ordinance provisions regarding application
䡲 As with other regulations, obtain the most current requirements and preparation of submittal documents.
version of the ordinance. A facilities design manual These contain specifications concerning drawing size
usually supplements the subdivision ordinance and and scales, required information, number of copies,
provides policies, standards, and design details for the and distribution. The land developer may be required
various methods and requirements for construction to post signs and mail notices to adjoining property
within the jurisdiction. The manual may be an owners and other interested parties.
independent/separate document or may be a section
䡲 Procedures for administrative waivers of certain re-
contained in the ordinance. The community amends
quirements, appeals, and judicial challenges to admin-
these from time to time by either administrative or leg-
istrative or legislative actions by agency personnel or
islative action with the latter being preferable. It offers
the governing body are described in the ordinance.
an opportunity for dialogue with the governing body
on the need for and cost-effectiveness of new standards 䡲 The ordinance or related documents describe fees
and procedures. required from the land developer for review of applica-
tions.
䡲 Identify and compile other ordinances or subordi-
nate documents referenced in the subdivision regula- 䡲 Identify provisions for execution of performance
tions that control the physical development of land. bonds and bond release procedures. These include
These include stormwater management, grading, and preparation of as-built drawings.
erosion and sediment control ordinances.
SITE PLAN ORDINANCES
䡲 Note the effective dates of ordinances and amend-
The phrase ‘‘site plan’’ has several meanings. In its generic
ments; they may have different applications or may ex-
sense, a site plan is a graphic representation of the layout
empt preexisting conditions. Policies concerning
of buildings and facilities on a parcel of ground, with its
existing recorded plats for otherwise undeveloped sub-
detail, accuracy, and scale dependent upon its purpose. Al-
divisions vary. These plats sometimes predate even the
though ‘‘site plan’’ is sometimes used synonymously with
earliest version of regulations, or more restrictive ordi-
‘‘development plan,’’ many jurisdictions attach a more dis-
nances that might now be in effect. Whether or not a
crete meaning to ‘‘site plan.’’ The differences are based
project can proceed and what required public improve-
largely on the specific language of the enabling legislation
ments apply varies depending on the jurisdiction. In
given to local jurisdictions by their state legislatures. The
some jurisdictions, plat approvals have an expiration
land development consultant must become familiar with
date if no development takes place. ‘‘Grandfathering,’’
the local definition for ‘‘site plan’’ and the implications it
or exemption of projects from later ordinance changes,
has for the client’s development project. Many ordinances
is discussed in Chapter 11.
refer to a site plan simply as one of the items of information
䡲 Some jurisdictions provide exemptions for certain included in an application submitted for review. Its form
types of developments. Among those often excluded and purpose are usually prescribed in the various ordi-

3 䡲 SITE PLAN ORDINANCES, SUBDIVISION REGULATIONS, AND BUILDING CODES 65
nances administered in the community, and the level of In some cases, developments are subject to both subdivision
detail required may vary among ordinances even within a and site plan process, which may result in repetitive re-
single locality. views. In such cases, the subdivision processing is aimed at
In some jurisdictions, a site plan is a separate adminis- ensuring compliance with the zoning ordinance, producing
trative instrument apart from other development plans. Its durable records of ownership and proper consideration of
purpose is to ensure that construction projects are accorded fees and exactions. The site plan process provides control
the same level of review and are subject to the same stan- of on- and off-site infrastructure, access, and other features
dards of performance as subdivision plans. In communities to ensure compatibility and connection with the larger en-
without site plan review authority, a development that does vironment.
not fall under the definition of subdivision need only show Some jurisdictions refer to a site plan as having a special
compliance with the building code and zoning ordinance. role in securing development approval. It is neither a tech-
This would apply to many apartment projects and most nical subdivision plan-type document given an administra-
free-standing office, commercial, or industrial structures. tive staff review nor an elaborate rezoning application given
Absent controlling regulations, on-site private facilities are extensive public hearing by the governing body. It is some-
designed at the discretion of the land development team, where in between, and is usually applied in circumstances
with only a cursory review during the building permit stage. demanding greater control to guard against incompatibility.
When subject to the site plan process, however, these de- In Montgomery County, Maryland, for example, the site
velopments must fully comply with both zoning and infra- plan is used when the zoning ordinance specifies some dis-
structure standards, just as if they were actual subdivisions. cretionary authority in the physical arrangement of a pro-
NATIONAL BUILDING
CODE (BOCA)
WI & NY DO NOT
USE A MODEL CODE
UNIFORM BUILDING
CODE (ICBO)
STANDARD BUILDING
CODE (SBCCI)
OVERLAP BETWEEN
SBCCI
BOCA & ICBO
ICBO OVERLAP BETWEEN

SBCCI & ICBO
BOCAI OVERLAP BETWEEN

SBCCI & BOCA
F IGURE 3.1 U.S. map indicating model code organizations area of influence. (Courtesy of Southern Building Code Congress International,
Inc.)

ject. One of the county’s ordinances, for instance, calls for focus is on structural integrity, fire prevention, control and
the mandatory provision of affordable housing in projects safety, suitability of materials, and support system opera-
with more than 50 dwelling units with an automatic density tions. However, building codes do affect site design in three
bonus. Normally, a site with residential zoning would only ways. First, to control the spread of fire, they place limi-
require subdivision and construction plans, approved ad- tations on the proximity of buildings to each other and to
ministratively. However, the increased density triggers the adjoining property lines. These restrictions become impor-
requirement for site plan review. This gives the professional tant considerations in the design of clustered single-family
staff and the county’s Planning Board greater leeway to con- detached homes, townhouses, and multiple building com-
sider a project’s internal physical arrangement and relation- plexes, such as garden apartments. Secondly, to improve
ship to its neighbors. The ordinance describes the building occupants’ chances of surviving a fire, building
information that must be shown, and the parameters within codes specify maximum building height, the distance a per-
which it must be reviewed. son must travel to exit a building, and the number of build-
The Montgomery County, Maryland, process contrasts ing or unit exits. Both height and distance are often
with Arlington County, Virginia, where both the Planning expressed as the number of stories above grade. These may
Commission and County Board review the site plans and vary, depending on type of construction and presence of
public hearings are held as part of the approval process. automatic fire suppression systems. However, the land de-
Although the county is limited in the off-site improvements velopment consultant must determine final grade elevations
that it can require from the developer, site plans are given during the planning and engineering phases of a project to
much the same public scrutiny as a rezoning application. ensure these regulations can be satisfied. In addition, the
In this manual, unless specific reference is made to a site location of building entrances affects placement of walk-
plan ordinance, use of the phrase ‘‘site plan’’ refers to the ways, parking, lighting, and landscaping. Lastly, new federal
common, generic definition, that is, the design of a project regulations concerning access for persons with physical
layout that is the end product of the planning process. handicaps will play a role in site grading and development.
These regulations are incorporated into building codes,
BUILDING CODES which specify that ground floor units of all apartment build-
Building codes are adopted to protect the lives of building ings must be accessible to people in wheelchairs. Codes
occupants and to guarantee safe, habitable, durable struc- further specify maximum grades for walkways to assist the
tures. While most jurisdictions adopt and modify one of disabled and handicapped. Provisions in the building codes
the national model codes published by long-established also address the placement of handicap parking in residen-
building code organizations, some develop extensive tial, retail, and employment facilities.
amendments to reflect local concerns and experiences. Fig-
ure 3.1 illustrates the different code organizations and the REFERENCES
regions where their model codes are prevalent. Mandelker, Daniel R., and Roger A. Cunningham. 1985. Plan-
With a few important exceptions, the building codes ning and Control of Land Development, 2d ed., Michie, Charlottes-
play little role in land development planning. Their primary ville, Va.

CHAPTER 4
EXACTIONS,
INFRASTRUCTURE
ENHANCEMENTS, AND FEES
INTRODUCTION public infrastructure, facilities, and services. These public

In today’s world of increasing population, containing sub- facilities range from subdivision streets to major commuter
urban sprawl, higher expectations from citizen activists, highways, from tot lots to regional parks, from water lines
glaring environmental and transportation concerns, in- to fire stations, and from sewer lines to treatment plants.
creased demands are placed on public infrastructure and As these systems reach their capacities, their ability to func-
services. In recent decades, a significant portion of the re- tion efficiently or accommodate new growth is diminished.
sponsibility for the improvement of public infrastructure The consequences range from a government leader’s frus-
has been transferred, in a large manner, from federal, state, tration to dissatisfied constituency or hazardous, even life-
and local governments to the land developer and other en- threatening, conditions created by inadequate facilities.
tities within the private sector. Historically, it has been the responsibility of government
Given what can be a considerable expense and impact to provide and improve many of these facilities. Reductions
on a given land development proposal, the land develop- in federal funding have placed considerable burden on local
ment team must evaluate closely the laws, ordinances, and government with corresponding budget impacts. Reaction
standards of the locality in which it is proposing a devel- to government spending by community residents, resulting
opment, to determine what exactions, fees, and infrastruc- in rethinking by political leaders, has led government to
ture enhancement can be expected. The type, form, and find alternative and sometimes innovative ways to pay for
number of such requests or mandates for public improve- growth. Frequently, these efforts become the subject of
ments and facilities are numerous and varied in their na- lengthy court challenges as important public goals and pol-
ture. Depending on the size and impact of a development icies begin to infringe upon strong private property rights.
proposal, they can range from simple road frontage im- While substantial public obligation remains, the private sec-
provements to dedication of land for school or park sites. tor has been given an increased share of the burden. De-
Nevertheless, whatever dedications, reservations, fees, or velopment regulations play a critical role in allocating costs
other monetary retributions are required, it is important among private developers, a community’s taxpayers, and
that they be identified early in the process so that design prospective consumers, who may ultimately bear the cost
and pro forma economical analysis can be undertaken to of growth.
account for these exactions. This chapter highlights the This allocation formula varies widely among jurisdic-
most common methods by which infrastructure improve- tions. Significant differences exist in the form of the appli-
ments, fees, and other exactions become part of the devel- cable regulations, the timing of contributions, and the
opment process. magnitude of financial commitments that must be made. In
most cases, the subdivision regulations identify much of the
EXACTIONS, INFRASTRUCTURE ENHANCEMENT AND FEES developer’s obligation, which are most typically limited to
As communities experience population and economic on-site improvements. In some instances, requirements are
growth, ever-increasing demands are placed on existing determined during the project approval negotiation process,
67
EXACTIONS, INFRASTRUCTURE ENHANCEMENTS, AND FEES
usually at the rezoning phase. Some jurisdictions have review. Depending on the size of the project, the reservation
adopted separate ordinances that relate development pro- may be for the entire property or a small portion of it. Such
jects to existing community public facilities. These tie im- a reservation does not immediately involve the transfer of
provements to existing capacities and deficiencies of ownership. It does, however, obligate the developer to keep
systems beyond the boundaries of the development. the reserved area free from construction for a specific pe-
Exaction is the term applied to the provision by the land riod, during which the local government considers acqui-
developer of something that establishes public, communal, sition of the property. The reservation is not a gift, as the
and even consumer benefit in exchange for and as a con- jurisdiction will actually pay the owner the land’s fair mar-
dition of development authorization. More specifically, ex- ket value if it takes title to the property. Sometimes the
action includes the following activities (adapted from Frank jurisdiction will release the reservation after considering the
and Rhodes, 1987, p. 3): cost of the property, available funding sources, or alternative
sites for the intended public use. This allows the developer
䡲 Reservation, preservation, or dedication of sites for to proceed with site development activities unencumbered
public or common facilities and services by a reservation.
䡲 Construction, dedication, or operation of facilities While the reservation may not create financial obligation
and services for public or common use or loss for the developer, the requirement sometimes creates
difficulties for the land development team. The reservation
䡲 Purchase of land, facilities, goods, and services for creates a period of delay or uncertainty, often for several
public or common use years, until the issue of property transfer is resolved. The
䡲 Payment of monies to the governing body to defray land development consultant may be called upon to prepare
the cost of its purchase of land, facilities, equipment, two sets of development plans to identify the development
and services potential both with and without the reservation. Issues cre-
ated by a reservation include the developability of the land
䡲 Restriction of development potential or provision of remaining after the taking as well as how the residue can
features and facilities intended to achieve social, aes- be designed in terms of access and utilities. Further, the
thetic, or economic goals or other public benefit proposed use of the reservation portion of the site must be
considered in conjunction with the proposed use of the
The exaction may provide either direct benefit to the
remainder of the property. For example, if the reservation
occupants of the proposed development, or indirect benefit
was for a sewage treatment plant and the residual land was
by addressing an important public goal or mitigating an
planned for large-lot, expensive single-family detached
undesired impact created by the project. The item provided
dwellings, the marketing of such homes becomes question-
may have either tangible cost or intangible value. The de-
able at best. Who wants to build or buy a home next door
veloper may incur economic loss from the exaction but may
to a sewage treatment plant? In such a situation, the obvi-
recoup value, both from approval of the project and from
ously diminished value of the potential of the residual land
improved marketability. Depending on the legislative au-
would become part of the negotiations with the local juris-
thority of the jurisdiction, the proposed development may
diction.
or may not create the need that the exaction will satisfy.
Depending on parcel configuration and the location of
Exactions add both direct and indirect costs, which must
the reserved parcel within the overall site, site design op-
be identified in preparing land development project budg-
portunities and flexibility may be severely limited. This cre-
ets. Direct costs include those costs associated with design
ates a major challenge for the land development consultant
and engineering, hard construction, direct cash payments,
in preparing the most suitable layout for the project. Sub-
operating, and plan review. Indirect costs may include lost
sequent release of the reservation allows reconsideration of
project yield and interest-carrying charges incurred in re-
earlier design alternatives. However, project construction
view and delay of approval. These costs will be passed on
plans may have already been approved or will be well along
to the consumer by way of purchase price or leasing fees.
in the approval process. Therefore, the developer should
encourage the municipality staff to allow the processing of
Land Reservation two sets of plans simultaneously, in anticipation of early
Many communities have the authority to require the land disposition of the reservation. The decision to incur this
developer to reserve private land that may be needed for expense must be balanced against the likelihood of the res-
public use, including parks, school sites, or major road ervation release and the potential financial benefits from the
rights of way. Typically, the need and location of these fa- alternative plans.
cilities will be identified in the community’s comprehensive
plan or capital improvement projects budget. The land res- Dedications
ervation prevents the loss of these sites as their availability Mandatory dedication is a mechanism that is common to
becomes threatened by development. Notice of the reser- most jurisdictions and is usually among the provisions con-
vation usually comes during the earliest stages of project tained in the subdivision regulations. Mandatory dedication

4 䡲 EXACTIONS, INFRASTRUCTURE ENHANCEMENTS, AND FEES 69
requires the developer to transfer ownership or property authority needed to acquire and maintain them through res-
rights of certain privately held lands to the governing body ervation or dedication. To fill this void, some communities
at no cost. Mandatory dedications, however, must not vi- are empowered to preserve these features as an exaction in
olate the Fifth Amendment’s ban on taking of property the development process.
without just compensation. Land most often subject to Environmental preservation is often a goal contained in
mandatory dedication includes rights of way for streets and a community’s comprehensive plan. Plan language can di-
public utilities, floodplains, easements, park and recreation rect that important environmental or cultural property be
facilities, and similar uses. Such dedications usually are set aside in lots or private open space with covenants and
made a condition of subdivision approval. Quite often, lo- restrictions that prohibit future disturbance. This language
calities seek dedications of land above and beyond that is implemented as a condition of approval for rezoning or
which is required to support the required development it- special exception applications.
self. In these instances, a land use lawyer may need to be Environmental and historic protection has also been
consulted. achieved with the adoption of preservation ordinances that
Once the dedication is made on the subdivision record allow reasonable use of the property while ensuring that
plat, the government may not always accept the land since the desired feature is protected. Most common among these
immediate acceptance could result in the transfer of main- are historical or archaeological preservation ordinances,
tenance obligations to the jurisdiction before construction which may require a developer to carve out the site in ques-
of required improvements were completed. Damage from tion from the project and treat it in a different manner. In
construction vehicles would add to the community’s liabil- some instances, developers have been required to restore
ity. In addition, the governing body must determine historic facades as part of a larger construction effort, such
whether the property will serve the public good and pro- as an office complex.
vide economic benefit. The cost of long-term maintenance Recently, communities have sought to adopt tree-
of the dedicated parcel is a primary factor in the govern- preservation ordinances, which limit clearing and grading
ment’s decision whether or not to accept the property. Still on portions of the site. Although preserved areas remain in
another consideration is the fact that the transfer to public private or communal ownership, covenants and restrictions
ownership also reduces the land area subject to real prop- provide permanent protection against future disturbance by
erty taxes. builders or lot owners. Such ordinances often limit the de-
Most jurisdictions advance density credit when dedica- velopment potential of a site or may involve added costs to
tion is made. However, some jurisdictions consider certain accommodate their provisions. Despite these problems,
dedications as a reduction of the amount of land available however, these restrictions often present the developer and
for development with a commensurate reduction in project consultant with unique design opportunities that can en-
density. Transfer of ownership in some cases reduces main- hance a project’s appearance and marketability.
tenance and other obligations that may be incurred by the
developer or by occupants of the project. In addition to a Payments in Lieu
reduction of operating and maintenance costs, dedicated As noted in the prior discussion of subdivision regulations,
features can add to the market appeal of certain projects. many jurisdictions commonly require that the developer
Often, setting aside land for schools, libraries, parks, rec- construct improvements that connect to and/or directly
reational facilities, and fire and rescue makes the project serve the project. Depending on local policy and industry
becomes more attractive to potential buyers. practices, these may be completed prior to the issuance of
Perhaps the most frequent dedication is that of addi- building permits, or performance bonds may be used to
tional right of way along roadways bordering a project. The guarantee completion after construction. However, in some
local government intends this widening to bring existing instances, the jurisdiction may not require the developer to
roads up to current standards and accommodate the new construct the improvements proposed for dedicated lands.
traffic movements associated with the project. Whether Typically, this happens when the improvement is of little
construction of improvements is performed by the jurisdic- immediate value, such as the widening of a section of abut-
tion or required of the developer, the added right of way ting roadway where there are no existing or proposed road
improves the efficiency of the transportation system and improvements on either side of the subject parcel. A needed
enhances the safety and convenience of site access. facility may be located off-site, such as a major road or
regional stormwater management facility that is not under
Preservation the developer’s control or serves a much broader popula-
Community residents usually place a high priority on nat- tion. In such cases, a cash payment representing actual con-
ural, cultural, or man-made features that add to the health, struction cost, a prorated share, or a flat fee may be required
beauty, or character of the community. Often, these features of the developer. The jurisdiction may wait until sufficient
become threatened by a proposed development, prompting funds are collected and available in conjunction with other
the community’s desire to protect them. However, the local developments before it actually constructs the facilities. It
government may not have the financial resources or legal may use the payments as reimbursement for public expen-

ditures incurred in advance construction. The funds usually to justify the exactions. This requires that it be possible to
are earmarked for improvements that serve the project or determine the costs generated by new development and
an improvement in proximity to the project. The jurisdic- thus avoid charging the newcomers more than a propor-
tion may also require or allow one developer to construct tionate share. The costs must be uniquely and directly at-
the improvements and direct subsequent developers to re- tributable to the development. To implement an impact fee,
imburse their prorated share of the costs. the community must isolate existing deficiencies and
If the project is small, the jurisdiction may also waive budget separately for their improvement. Fees collected
the requirement for land dedication. This occurs in in- should not be commingled with general funds. They should
stances where the dedication of land for facilities, such as be earmarked for use in service areas that relate to the de-
a recreation area, is indexed to the size of the project. If velopment for which the fees are paid. Like transferable
the resulting parcel will be of insignificant size, the juris- development rights (TDRs) and adequate public facilities
diction may offer the option of cash payment in lieu of the regulations, special enabling legislation is required to estab-
land dedication. In this case, the payment represents the lish impact fee regimes.
project users’ impact on existing or future facilities that will Despite the controversy and concern that the fees can
be provided by the municipality. add dramatic costs to home ownership and businesses, im-
pact fees for services other than water and sewer are pro-
Impact Fees liferating. Even those communities not authorized to collect
An increasing number of jurisdictions are seeking authority impact fees for infrastructure improvements may impose a
to allow the adoption of impact fees. These are a direct ‘‘voluntary’’ fee to finance certain major facilities. The com-
payment by a developer to a jurisdiction and are intended munity bases the fee calculation on the estimated cost of
to reimburse the community’s actual capital costs of ex- improvements needed to support the total development
panding public infrastructure and facilities to service new projected to occur within a specific service area. This total
development. The facilities are not necessarily located on- dollar figure is converted to a unit cost, using the project
site and may not be used exclusively by the development number of dwelling units or nonresidential building area.
that pays the fee. Coupled with the potential for double The fee applicable to each development project is then
taxation and discriminatory treatment of new community based on the project size. Typically, the fee is offered in
residents, controversy has developed over government’s in- conjunction with a discretionary rezoning process, with
creasing rejection of its obligation to provide public facilities payment being one of the conditions attached to the ap-
and services. proval.
Some communities have long had a limited form of im-
pact fee relating to the provision of water and sewer. In this Linkage
case, a residential or commercial user is assessed a tap fee, Previously, the discussion of affordable housing focused on
also called a connection or availability charge, usually at the the adoption of inclusionary zoning ordinances. These
issuance of a building permit. The actual fees are derived ordinances require that residential developers provide af-
through an elaborate analysis that projects the capital costs fordable, price-controlled housing as a condition of devel-
of expanding treatment plants, pump stations, and trunk- opment approval. As an extension of that trend,
lines to serve new growth. These are facilities that would nonresidential developers may also be required to provide
not otherwise be needed to serve existing users. affordable housing. A growing number of jurisdictions ar-
However, more recently, impact fees are being consid- gue that new job creation in the community generates de-
ered for such items as roads, schools, libraries, and similar mand for new housing for office workers and other service
services. What may distinguish sewer and water service employees. Due to the high land and construction costs, it
from these other facilities is perhaps the degree of certainty is increasingly difficult for these workers to find suitable
with which the demand from and benefit to new users can housing in price ranges they can afford. In communities
be isolated and quantified. Those who argue against the where this linkage is required, the developer must mitigate
adoption of impact fees for roads, for instance, suggest that this impact, either by building affordable housing units or
even where the traffic demand from a new residence is cal- by paying, on a per-square footage basis, into a housing
culable, the benefit of the new roadway is community-wide. trust fund established by the community. Money deposited
Moreover, the inability to separate that residential demand in this fund is used by the community to purchase or con-
from that created by employment and retail uses further struct affordable housing.
complicates the issue. Lastly, many argue that impact fees
for roads and schools are used to correct existing system Review and Processing Fees
deficiencies. These are more clearly the responsibility of Most state zoning and subdivision enabling acts authorize
government, or at least existing residents. jurisdictions to collect development review fees from the
Where the courts have ruled impact fees to be legal, they developer. These fees offset community expenditures for re-
have adopted several controls on their application. Courts view personnel. In some communities, this fee represents
most often employ the rational nexus or relationship theory only a nominal fixed charge. However, urban jurisdictions

4 䡲 EXACTIONS, INFRASTRUCTURE ENHANCEMENTS, AND FEES 71
that perform extensive reviews often index their fees ac- fees to offset the costs associated with that activity. These
cording to project size or the estimated cost of public im- fees may be charged for inspection of the public improve-
provements. These fees may represent a substantial ment construction, as well as for the actual structure. Like
expense. However, they also help to guarantee that suffi- review fees, these add to the cost of the development pro-
cient revenues will be generated by new development. This ject and must be considered during project budgeting.
enables the government to maintain an adequate work force
of qualified personnel. It provides some assurance to the REFERENCE
land development team that project reviews will be timely Frank, James E., and Robert M. Rhodes. 1987 Development Exac-
and thorough. Some jurisdictions also impose inspection tions, Planners Press, American Planning Association, Chicago.


CHAPTER 5
REAL PROPERTY LAW

Carlyle W. Blomme, R.L.S. / J. Randall Minchew, Esq. /
Craig N. Thomas, Esq. / Edited/Updated: Curt Sumner, L.S., and
Gary Kent, L.S.
UNDERSTANDING LAW TO GUIDE IN BOUNDARY of enabling statutes. Anyone wishing copies of such rules
DETERMINATION should contact the appropriate state board.
Real property law is a combination of constitutional law, To make decisions based on law, the surveyor may have
common law, and statutory law. Constitutional law is the to engage in legal research to find the relevant case law.
supreme legal source in a jurisdiction, taking precedence Case law provides court decisions applying the law
over common law or statutory law. Common law is that (whether constitutional law, common law, or statutory law)
group of rules and standards of action originating from cus- to a specific set of facts and circumstances. A surveyor must
toms and usage as determined in actual cases. The common search for case law that applies the law to facts and circum-
law derives its authority from judgments and decrees of stances similar to the situation confronting the surveyor.
courts affirming those customs and usage. Statutory law is While a working knowledge of legal research techniques,
created by acts of legislative branches of government. Leg- constitutional law, common law, statutory law, and the re-
islative branches of government exist at the national, state, lated case law is helpful, the surveyor should be mindful of
the fact that the rendering of legal opinions or hypotheses
and local level. The surveyor should note that within the
to others may constitute the unauthorized practice of law.
broad categories of constitutional law, common law, and
The surveyor should never review sources of law and at-
statutory law there are many specialized areas of law con-
tempt to provide a client with what could be construed as
cerning real property.
a legal opinion or legal advice.
Real property law directly affects the practice of survey-
ing. The surveyor works within the established legal system,
and therefore the surveyor must have knowledge of real Sources of Law
property law to be able to recognize potential legal prob- In order to uncover applicable law, the surveyor should be
lems that might arise as a result of the surveyor’s findings. cognizant of the sources of law. As indicated below, there
Knowledge of real property law also provides a foundation exists a multitiered system of law and sources of law in the
to the surveyor for making decisions to resolve potential United States.
problems. Constitutional Law. The U.S. Constitution is the supreme
When a surveyor makes his decisions based on the law, law of the land. The Constitution, technically speaking, is
a surveyor’s clients are best served because such decisions the result of sovereign states granting certain enumerated
are less likely to be challenged than decisions with no legal and specified powers to a federal government while reserv-
foundation. To make decisions founded on law, the suring the residue of their powers to themselves. The U.S.
veyor’s knowledge of law must include not only real prop- Constitution trumps and controls over any state or local
erty law, but also the legal rules governing surveyors. laws which conflict with the U.S. Constitution’s express or
Surveyors are governed by rules of state registration boards. implied provisions. Therefore, the first and primary source
State registration boards establish rules under the authority of law is the U.S. Constitution and its 27 amendments.
73
REAL PROPERTY LAW
The U.S. Constitution is applied primarily through court law created through the Congress-to-President process, are
orders stemming from actual cases filed in the federal and sources of binding law greatly affecting the lives of U.S.
state courts. The final arbiter and interpreter of the U.S. citizens. These regulations may be located within the cod-
Constitution is the U.S. Supreme Court. While inferior fed- ified Federal Register (Fed. Reg.) and, once codified, are also
eral and state courts have jurisdiction to interpret the U.S. identified by a numerical cite, such as ‘‘42 Fed. Reg. §
Constitution, the U.S. Supreme Court’s word is final and 1983.’’ Once promulgated, federal regulations may be the
controlling. Interpretive questions concerning the U.S. Con- subject of interpretation in the federal courts as are U.S.
stitution may be found in the issued written opinions of Code statutes.
courts that hear and decide constitutional questions. A list- State Statutory Law. All 50 states have enacted codified
ing is included below of those courts that can issue opin- statutes containing laws passed by the respective state leg-
ions and orders concerning constitution questions. These islatures and signed by the respective state governors. These
written opinions and orders may be located in the various state codified statutes possess names such as Code of Ala-
reporters (compiled casebooks) in any law library. bama, North Carolina General Statutes, or Virginia Code An-
Written opinions of the U.S. Supreme Court from 1790 notated and may be located within any law library. These
forward may be found in compiled volumes of the United state codes are highly important sources of law because
States Reports (official reporter) and in the compiled vol- most statutory and regulatory schemes concerning real
umes of the Supreme Court Reports, Supreme Court Lawyers’ property originate on the state, not the federal level. State
Edition Reports, or the Supreme Court United States Law Week enabling acts concerning the planning, zoning, and subdi-
Reports (unofficial reporters). vision powers of localities may be found within these state
Written opinions of the U.S. Courts of Appeals from codified statute volumes. Individual statutes are identified
1789 forward may be found in the compiled volumes of by a numerical cite, such as ‘‘Virginia Code Ann. § 15.1-
the Federal Reports (official reporter) or in the Federal Courts 475.’’ Once legislated into existence, state statutes may be
United States Law Week Reports (unofficial reporter). There the subjects of interpretation in the state courts and occa-
are 12 sitting U.S. Courts of Appeals. The U.S. Courts of sionally in the federal courts. The individual state supreme
Appeals are appellate (nontrial) courts and hear appeals courts have the final interpretive say on what the individual
from the U.S. District (trial) courts. Appeals from the U.S. state-codified statutes mean. For example, if the U.S. Su-
Courts of Appeals go directly to the U.S. Supreme Court. preme Court and the Iowa Supreme Court reached a dif-
The primary federal courts to which persons bring cases ference of opinion on what an Iowa codified statute really
and controversies concerning constitution questions are the meant, the opinion of the Iowa Supreme Court would con-
Federal District Courts, which conduct trials, collect evi- trol.
dence, and, in some instances, issue written opinions. There State Common or Case Law. As previously mentioned,
exists at least one Federal District Court in each state or state supreme courts issue written opinions and orders con-
territory of the United States. Written opinions of the Fed- cerning the interpretation or application of state statutory
eral District Courts may be found in the Federal Supplement law and report their decisions in the various state reporters
Reports (official reporter). and in West’s regional reporters. Almost all of these reported
Each of the 50 states has a sitting state Supreme Court decisions stem from appellate cases originally heard by state
that occasionally decides cases and issues concerning the trial courts. In understanding how a certain state codified
U.S. Constitution. The decisions and opinions of these state statute is applied or interpreted, one needs to read the re-
supreme courts may be found in the various state reporters, ported decisions wherein the statute was reviewed and an-
such as Florida Reports, and Virginia Reports, and in the re- alyzed by a state supreme court in an actual appellate case
gional reporters compiled by West Publishing Company, situation. In order to assist in this effort, most of the state-
such as Northeastern Reports, and Southeastern Reports. codified statutes contain case annotations after each indi-
Federal Statutory Law. The U.S. Congress exercises a vidual statute listing those reported decisions where the
wide range of legislative powers as allowed under the U.S. statute was reviewed and applied.
Constitution. Bills adopted by Congress and signed into law Local Charters and Ordinances. Individual counties, cit-
by the President are compiled in the codified statutes of the ies and towns have the power to adopt local codified or-
United States Code (U.S.C.) and, once codified, are identified dinances within the scope of authority granted by their
by a numerical cite, such as ‘‘42 U.S.C. § 1983.’’ The many respective state governments. Zoning ordinances, subdivi-
volumes making up the U.S. Code may be located in any sion ordinances, and site plan regulations are almost always
law library. Once legislated into existence, U.S. Code statutes found within these local ordinances. These ordinances are
may be the subject of interpretation in the federal courts as adopted by the respective local governing bodies, namely
is the U.S. Constitution. county boards, city councils, or town councils. As such, the
Federal Regulatory Law. The many departments and ad- surveyor should own a copy of the local ordinances for each
ministrations of the U.S. government Executive Branch is- jurisdiction in which he or she works. Most of the legal
sue periodically regulations and orders concerning the research into codified law conducted by surveyors deals
application of federal statutory (U.S. Code) law. These reg- with local ordinances as opposed to federal or state codified
ulations, while not rising to the level of Legislative Branch law. In addition to their own local ordinances, incorporated
REAL PROPERTY LAW
5 䡲 REAL PROPERTY LAW 75
municipalities (cities and towns) have individual charters

adopted by the state governments. These charters are usu-
ally found within the local codified ordinances or in a sep-
arate volume and contain specific grants of authority or
powers to the municipality as determined by the state gov-
ernment.
Introduction to Property Law. Laws form the basis upon
which land ownership exists. Proof of the limits of this
ownership requires gathering evidence by surveying the
boundary. The surveyor should remember that for each law
there are many exceptions. Each land survey is unique. This
is because the physical characteristics of the land vary and
the circumstances surrounding the conveyance govern the
interpretation of the intentions of the parties.
In addition to this basic knowledge of law, the surveyor
must be familiar with state statutes and local ordinances.
He or she must have knowledge of case law that refers to
boundaries. When a conflict over a boundary develops, the
surveyor should investigate any related surveys and cases
that may exist.
The practice of land surveying requires some under-
standing of laws related to property ownership. This un-
derstanding should include laws related to boundaries,
adverse possession, and easements. This basic introduction
to law is necessary for understanding of case law related to
F IGURE 5.1 Real property rights extended above and beneath
specific situations. The references to sources of law previ- the surface of the land.
ously provided should be helpful in this regard.
Property law in the U.S. derives authority from many
sources. The U.S. Constitution, laws passed by Congress, thing of a permanent nature that one holds exclusively as
and the laws passed by state legislatures are the basis of his or hers. Hereditaments are everything inheritable in-
statutory laws concerning property ownership. Federal cluding both real and personal properties. Hereditaments
boards and commissions pass regulations that affect and are much broader in scope than tenements. Land includes
control property rights. State constitutions and property the soil and everything attached to the soil. The attachment
laws passed by state legislatures also contribute to the vast can be natural, as with a tree, or attached by man, as with
number of laws dealing with property ownership rights. a building. In theory, this ownership extends outward to
Other sources of law include state and municipal regula- the heavens and inward to an apex, or point, at the center
tions, as well as local ordinances. Perhaps most important of the earth.
to the surveyor are court decisions and rulings related to The definitions above are the first step in the classifica-
land and its ownership. In reading statutory law together tion of property. Ownership is a collection of rights that
with relevant court-made (common or case) law, one may one has assembled and can use for the enjoyment of prop-
understand the totality of the law applicable to a given sit- erty. This includes the right to transfer these rights to oth-
uation. ers. This collection of rights can and often is a complex
Classification of Property. Property, in the legal sense, is one. It is this complexity that generates the need for further
that which belongs exclusively to someone. It is an aggre- classifying rights or property. Property ownership may be
gate of guaranteed and protected rights. Those rights cov- described as the possession of a bundle of rights. Therefore,
ered by the word ‘‘property’’ fall into various subdivisions. an inquiry into title will include an analysis of which rights
Absolute property, common property, personal property, a property owner possesses.
community property, private property, public property and Real property and estate in lands include ‘‘lands, tene-
real property are but some of the categories. ‘‘Property’’ is ments or hereditaments.’’1 A tenement ‘‘signifies everything
synonymous with ‘‘ownership.’’ that may be holden, provided it be of a permanent nature.’’2
The surveyor or engineer involved in a land develop- For example, a building on a parcel of land would be con-
ment project must be familiar with real property because sidered a tenement, as well as the land itself. Hereditaments
this category involves the rights of ownership of land and mean things capable of being inherited whether corporeal
anything erected on, growing on, or affixed to the land. Real
property involves the rights associated with the land.
The word ‘‘land’’ in law usually means tenements and 1
Black’s Law Dictionary, rev. 6th ed.
hereditaments. A tenement in the proper context is every- 2

REAL PROPERTY LAW
F IGURE 5.2 Property ownership is a bundle of rights which can be conveyed in whole or in part.
or incorporeal. Therefore, hereditaments would include ten- subject property and is possessory or may become posses-
ements and land because tenements and land may be in- sory. Since this interest can vary in degree, the estates vary
herited. Corporeal hereditaments are simply ‘‘substantial in type.
permanent objects which may be inherited.’’3 Incorporeal
hereditaments are ‘‘anything, the subject of property, which TYPES OF ESTATES AND THE HISTORY OF THEIR ORIGIN
is inheritable and not tangible or visible.’’4 For example, the
William the Conqueror’s conquest of England resulted in all
rents from a parcel of land are an incorporeal hereditament.
the lands of England being held by the king as sovereign
The degree of ownership that exists completes the clas-
ruler of the realm. No property law existed. The land and
sification. The legal term for this degree of ownership is the
everything on it was the king’s. Only the king could grant
type of estate. This is the interest held in land or other
what was his.
In exchange for a pledge of personal loyalty which in-
3
Black’s Law Dictionary, rev. 6th ed. cluded the obligation to fight in defense of the king’s realm,
4
Black’s Law Dictionary, rev. 6th ed. the king would grant to each of his men (the lords and

REAL PROPERTY LAW
barons in his service) the use, possession, and profits of a known as a villein. These tenants were slaves. This situation
portion of the king’s land. Personal relationships, loyalty, led to a tenure in villeinage or an unfree tenure.
and obligation, not law, governed. Originally, the common law courts did not protect unfree
Initially, the king was the sole dispenser of justice among tenure. Eventually the courts protected the interest of the
his men, then the king in his court. Likewise, the king was tenant. The rights and obligations of tenants became a mat-
the sole legislator, and later the king in parliament. The only ter of official record; thus, the tenure was copyhold tenure
limitations on the king’s sovereignty were those the king (Cheshire, 1949, pp. 22–26). These copyhold tenures were
placed upon himself whether voluntarily or involuntarily. estates at the will of the lord. The titles to these estates
Law is a limitation on a king’s sovereignty in the sense that consisted of court rolls prepared by the steward of the
the king has chosen to accede to certain external rules. manor.
However, long before property law existed, the king, to
ensure loyalty, would exercise care in his treatment of his Modern Classification
men. How the king treated one man created expectations The property law system in the U.S. developed out of the
among his other men. Land was no exception. English system, with the notable exception of the state of
In time, the personal relationships between the king and Louisiana, which developed out of the French (Napoleonic
his men and between his men and their men grew into a Code) system. The United States’s property law system is
complex web of customs and practices. The result was the composed of various estates, which can be broadly classi-
creation of a vast structure of land tenure with laws gov- fied as estates of freehold and estates of less than freehold.
erning personal obligations, interests, and rights concerning Estates of freehold can be divided into two categories: es-
land. tates of inheritance and estates not of inheritance, specifi-
The English land tenure5 system was the ‘‘system of cally life estates. A life estate is an estate created for the
holding lands or tenements in subordination to some su- duration of the life of some person.
perior.’’6 For example, a knight may have held an estate in
land in return for services to the king. Those who held an Fee Simple Estates
estate in land, such as knights, sometimes granted an estate Subdivision of fee estates depends on the interest held in
in their land to others, who also granted to other persons the estate. Fee simple absolute is the most complete unen-
subordinate to them. This gave rise to middle lords. The cumbered estate known in law. The legal definition of the
tenant in possession of the land was subordinate to all other word ‘‘simple’’ means there are no restrictions on the in-
estate holders. heritance characteristics of such an estate. The use of ‘‘ab-
The tenure system distinguished between free men and solute’’ in this context means that the estate is not
those not free. If the man was free, he received a free tenure; dependent on any happening or event. Transfer of these
otherwise, the tenure was non-free. estates traditionally uses the phrase ‘‘to John Doe and his
Free tenures included spiritual and lay tenures. An ex- heirs.’’ Court rulings state that the use of the word ‘‘heirs’’
ample of a spiritual tenure is frankalmoigne, which roughly is necessary to create an estate of inheritance in land.
translates as ‘‘free alms.’’ Frankalmoigne was a tenure that Fee simple determinable estates, by comparison, auto-
permitted a person to grant lands to religious orders or matically terminate upon a happening of an event. An ex-
ecclesiastical bodies as a charitable act for the benefit of the ample of this type of estate is a deed with a clause that
grantor’s soul and usually in return for prayers on behalf of would cause the estate to revert to the original owner or
the grantor and his family. his or her heirs. A statement limiting use of the estate, such
Lay tenures included tenures granted for chivalry or as ‘‘to be used only as a school,’’ would cause a termination
knight service, sergeanty, and free socage. Chivalry and of that estate if the property ceased to be used as a school.
knight service were held in higher esteem than the other Other fee estates exist, such as fee simple subject to some
forms of lay tenure. Tenure by sergeanty included services later condition and fee simple subject to an executory lim-
such as the keeping of the accounts for the land. Free soc- itation. The first of these is similar to fee simple determin-
age tenure included services such as husbandry and baser able in that it confers the power on a successor in title to
services. Other types of free tenure also existed at different terminate an estate. This termination would take place
times in English history. based on a stated event, but only if the successor exercises
When this tenure system existed, a person attached to a his power. Fee simple conditional and fee tail estates were
manor to perform work on that manor was a class of serf contingent on or applying to heirs. In most states, these
estates have been eliminated by statutes.
5
Tenure is the direct result of feudalism, which separated the dominium directum Estates Not of Inheritance
(the dominion of the soil), which is placed mediately or immediately in the crown, Allowing for limited use of estates while at the same time
from the dominion utile (the possessory title), the right to use and profits in the
soil, designated by the term seisin, which is the highest interest a subject can
prohibiting inheritance by the user comes about through
acquire. Black’s Law Dictionary, rev. 6th ed. estates not of inheritance. These estates can be for one’s own
6
Black’s Law Dictionary, rev. 6h ed. life. Estates granted to one for the life of another also exist.

REAL PROPERTY LAW
The legal term for this type of estate is per autre vie. Such Descent is the ‘‘succession to the ownership of an estate
estates created by acts of the parties are known as conven- by inheritance, or by any act of law.’’7 Descent can be lineal
tional life estates. Estates not of inheritance may come about or collateral. Lineal is a descent from a grandfather or a
by operation of the law. Operation of the law means that father to a son or grandson. Collateral descent connects
the law provides for estates for one’s own life and for the persons not directly related to each other as between broth-
life of another. ers or cousins. Descent is the controlling factor when a
Methods used to create conventional life estates include person dies intestate (without having made a will). The laws
the usage of instruments such as deeds, wills, and reser- of the state of residency regarding descent dictate the di-
vations. Creation of marital life estates comes about by op- vision of the deceased estate.
eration of the law. Record checks for nonpossessory
interests such as easements and licenses are always impor- OWNERSHIP AND TRANSFER OF TITLE OF REAL PROPERTY
tant. Easements that provide access for various services in Deeds
land development projects make use of such interest. A deed is a written instrument used to transfer an interest
Other types of estates are estates for years, estates from in land or real property. A deed is a form of contract, and
period to period, estates at will, and estates at sufferance to as such a legally valid deed must meet certain requirements.
complete the list of estates. These estates are time- A deed must have at least two parties: a grantor and a
dependent and usually of little consequence to the surveyor grantee. The grantor must own the interest and rights being
involved in land development. conveyed. The interest and rights being conveyed must be
described with reasonable specificity. The laws of the juris-
Concurrent Ownership
diction in which the land or real property is located must
Usually individuals hold estates in their own right (sever- permit the transfer of the interest or rights described. The
ally) without any other party joined with them in the estate. interest or rights being described must be current at the
Estates held by a plurality of tenants with a common time of conveyance.
interest do, however, exist. Such ownerships are joint Unlike some contracts, which may be oral or written, a
tenancies, tenancies in common, and tenancies by the deed must be a written instrument. Because a deed is in
entireties. writing the possibility of fraud or perjury is reduced. This
Conveyance to two or more persons creates a joint ten- is the underlying rationale of England’s Statute of Frauds of
ancy. Each joint owner possesses an undivided interest in 1677, which required that a contract for the sale of land be
the whole property. No joint tenant owns any fractional in writing. The writing shall be in legal words that clearly
interest. express the intentions of the parties. These words must
Tenancy in common provides that each of the common identify both grantor and grantee. The written words must
tenants holds a separate and undivided interest in the land. convey the intent of the parties. The deed must include a
The possession is, however, in unity with the other joint descriptive clause and statement of the consideration in-
tenants with equal right of possession under distinct title. volved. This is the premises. The deed must also contain a
An estate by the entirety is a form of coownership. A description, called the habendum clause, which defines the
clear example of such an estate is that held by a husband limits of the estate. This clause must agree with the prem-
and wife where each party has the right of survivorship. ises. Words used to close the deed are the tenendum.
Such estates result when a husband and wife obtain land Deeds must state exceptions and reservations when such
jointly after their marriage. exist. The exceptions exclude parts of the estate described
from the conveyance. These exceptions must not be greater
Wills and Descent
than the whole estate. The reservations retain rights to the
The will of a party is the wish or desire of that party. In grantor of an estate.
the legal sense a will is the expression or desire of a party The benefit of consideration to the grantor must exist as
to have a disposition of his or her property made. This stated in the instrument of transfer. Consideration must
disposition is to be according to the thoughts in his or her pass between parties, and that consideration must be ade-
mind. Such an instrument takes effect on the death of a quate compensation. The courts have ruled that a deed is
person. valid only when the grant causes an exchange between par-
All heirs have equal standing when they receive land by ties. The reason for this requirement is to prevent fraud and
a will, unless the will contains a specific statement to the misrepresentation. It also ensures that one party will not
contrary. This means that those heirs take their parts as gain unfair advantage over the other party.
assigned in the will proportional to the actual whole part. Laws require that parties to the deed have the oppor-
A simple example of this is where two sons were each tunity to read and examine the document before its exe-
willed 50 acres of land from a tract erroneously thought to
be 100 acres. The actual area reported from a survey is 104
acres; therefore, each son would receive 52 acres. 7
Black’s Law Dictionary, rev. 6th ed., s.v. ‘‘descent.’’

REAL PROPERTY LAW
cution. Finally, the deed transfer consists of the signing of writing and must include the grantor (vendor) and grantee
the instrument by the parties to the agreement. This step (vendee). The description must clearly identify the interest
takes place before a notary or other person authorized to conveyed. There must be an expressed intent to convey the
witness signatures. There is a requirement of delivery, or property identified by the description.
the actual placement of the instrument into the hands of Some items can invalidate legal descriptions, but courts
the grantee. Strict interpretation of this requirement is rare. have been hesitant to declare legal descriptions ineffec-
Deeds used in the transfer of ownership in the U.S. are tual because of uncertainties. Supportive information often
warranty deeds, quitclaim deeds, and deeds of bargain and helps to clarify descriptions. Such information is available
sale. The warranty deed contains a covenant of title. This from the official records, the assessor’s office, old maps, and
covenant is a guarantee by the grantor that the deed con- extrinsic evidence.
veys a marketable title. Quitclaim deeds convey only the
present interest of the grantor and do not warrant or guar- Adverse Possession
antee good title. Deeds of bargain and sale convey definitive Ownership under the doctrine of adverse possession comes
estates in land but do not imply a warranty. from statute of limitations related to recovery of real prop-
erty interests. The modern principle of specifying a uniform
Deed Descriptions number of years as the limitation period for real property
The description is a vital element in the deed. It must be actions began during the reign of Henry VIII. Early Amer-
clear in meaning and distinct in location, and the location ican colonies followed a limitation period of 20 years as it
must be unique to only one property. Two descriptions in was set in the 1623 Statute of James I. Several states today
a deed define the extent of one’s land ownership. The form have continued that practice. Under the early statute, a dis-
of the description can vary. Graphics and written words possessed freeholder had the chance to regain possession
provide two basic methods for identifying land parcels. The and claim to the estate of freehold (seisin).
metes and bounds or written form is common. This is a Property claimants today may recover an interest in real
combination of measured values (metes) with the bounds property by bringing an action similar to the ancient writ
(boundary of the land), which when used together define previously described. The dispossessed party must seek a
the extent of land ownership. In these descriptions metes writ of right or possession before the statute of limitations
comprise the direction and length of travel. Monuments expires. If the statute of limitations expires before the dis-
and calls of adjoining landowners fix the bounds. possed party acts, the adverse possessor’s rights in the prop-
Metes and bounds descriptions must begin at some erty become absolute. The modern principle of adverse
known and easily identified point. The surveyor must es- possession differs because the record owner does not lose
tablish this beginning point in a manner that facilitates its title or ownership when the adverse possession begins. He
relocation with certainty if destroyed or removed. An ad- can lose title only after the statute of limitations has run.
ditional requirement is that the courses and distances in a On first thought, this concept appears rather harsh, but
legal description proceed from corner to corner and return upon closer examination, it is necessary. There are many
to the beginning point. reasons to support the doctrine of adverse possession.
Reference to prior deeds or maps is an important part Among those often advanced is the curing of conveyancing
of the procedure of writing land descriptions. Land descrip- defects that have gone undetected in the possessor’s chain
tion by reference to maps and deeds is a common method of title. Limiting the length of a reasonable title search is a
used to describe property that is subject to transfer. Strip justification used by some. Enhancing the ability to transfer
descriptions and area descriptions are other less-used forms the land and make productive utilization of property is an
for defining land ownership. Proportional conveyances that additional reason. Another is to prevent a record owner
call for parts of larger tracts often describe land in states from claiming improvements made by the adverse possessor
that use the public land survey system. Combinations of in reliance on the record owner’s lack of challenge to the
various types of descriptions appear in the transfer of own- adverse possessor’s activities. A final reason is giving cer-
ership of a parcel of land. tainty to longstanding boundaries.
The being clause, the body, the qualifying clause, and When the claimant proves that the requirements for ad-
the augmenting clause comprise the total description. ‘‘The verse possession have been met, the record title owner loses
being clause of a deed denotes the origin of the history of that title. The person with the adverse possession becomes
the present deed’’ (Brown et al., 1969, p. 347). The body owner of the property. Gaining of title by adverse possession
is the actual description. Qualifying clauses are those state- is dependent on many factors. It does not, however, depend
ments used for exceptions and restrictions among others in on a deed or patent. The possession must be open and
the deed. Descriptions incorporate augmenting clauses for notorious, continuous, hostile, actual, visible, distinct and
easements and other items when necessary. exclusive, and under a claim of title. To satisfy the required
Any form of description must meet the requirements of statute of limitations, the statutory period to defeat title is
the law for a conveyance to be complete. Deeds must be in necessary (Brown et al., 1969, Sec. 2.34).

REAL PROPERTY LAW
It is imperative that elements inherent to this type of The manner and reason for creating an easement deter-
possession exist before the courts will uphold claims under mine its type and category. There are many common ex-
this doctrine. The record owner must have actual knowl- amples of easements, and nine prevalent means exist to
edge of the adverse claim against his holdings. Such terms create them: grant, dedication, condemnation, statutory
as open, notorious, actual, and visible raise the presumption cartway, prescription, necessity, implication, expressed res-
at law of notice. Intentionally infringing on the rights of the ervation, and estoppel. This list is provided to apprise those
true owner with notice is necessary to meet one of the re- persons involved in land development of the many types of
quirements. easements that may exist. The surveyor or engineer must
Exclusive possession is also an essential ingredient for uncover existing easements before the commencement of
adverse possession. One manner of showing is if the ad- design work on the development project. Knowledge of the
verse claimant denies right of entry to or use of the property various means of creating them should assist in this task.
by anyone without his permission. The claimant must de- Easements appurtenant and easements in gross form two
prive the rightful owner of his possession. Land used in broad categories that include the various types. An ease-
common with others is obviously not exclusive possession, ment created for use with specific land, the dominant es-
but if that use is only by permission of the adverse claimant tate, is an easement appurtenant. Such an easement consists
it is still exclusive use. of privileges of a person to use the land of another, the
Legal rights are not the only basis for hostility. Hostility servient estate. This use must be in a particular manner and
exists when an adverse claimant occupies property as his for a particular purpose. Such an easement can restrict the
or her own with full intentions to hold it regardless of any rights of the servient owner and may prevent him from
other person’s rights or title. Hostile possession is a term often using his own land for certain activities. Failure to restrict
misunderstood. Case law provides example and clarification an easement to a dominant estate creates an easement in
of the term. The majority rule is that possession based on gross. Easements in gross are personal interests or rights to
a survey mistake is sufficiently hostile, as long as the person use land belonging to another. These uses are independent
in possession is claiming the property as his own (Powell of ownership of any specific property.
and Rohan, 1987, ‫ ن‬1013[2][f][i]). Creation of easements by expressed agreement can rely
The requirement of continuous possession is necessary only upon a deed of grant. This is true regardless of the
so that the true record owner of the land has had suitable duration of the interest conveyed.
cause while the time of possession runs its course. This Dedication of an easement consists of the appropriation
allows him to bring legal action to evict the adverse claim- of land to the public use. The true owner must make such
ant. Any break in the possession by an adverse claimant dedications and acceptance must take place for use by the
before the statutes of limitations expires, no matter how public. Easement by condemnation is the process whereby
short the break in possession, reestablishes possession to property of a private owner is taken for use by the public.
the title owner. When this occurs without consent of the private owner, that
Good faith requires that the person making an adverse owner does receive an award of compensation for his or
possession claim truly believes that he or she has obtained her loss.
a good title. He or she further believes that the taking of Acquisitions of easements by statutory cartway proceed-
the title was proper. This requirement is not always nec- ings provide for ingress and egress to public highways over
essary but is contingent upon the type of possession. intervening land. These easements provide for this access
While ownership may be established by adverse posses- when no other reasonable way is available for cultivation,
sion, a surveyor may only survey lines based on and de- timbering, mining, manufacturing plants, or public or pri-
scribed in record documents (except when a new parcel is vate cemeteries. State statutes vary, as do the methods for
being created). Thus, when adverse possession is a possi- establishing these cartways.
bility the surveyor’s responsibility is to show the evidence Easements acquired by long and continual use by an
thereof in relation to the boundary lines as described in the individual are easements of prescription. The required pe-
records. The final determination of a successful claim of riod of use is usually the same as that for accomplishing
adverse possession lies with the courts, not with the sur- adverse possession. This period is a prescriptive period and
veyor. varies among states.
An easement of necessity comes about when parties
grant land but fail in providing outlet to a highway exit
Easements except over the land remaining with the grantor. In such
The general definition of easements is a right granted by instances, an easement of necessity provides for an outlet
the owner of a parcel of land. These rights, granted to an- over the seller’s remaining land.
other party, are for use of the land for a specified purpose. Quite often, public and private cemeteries obtain access
Easements are critical to land development, and this section through easements of necessity. As a matter of sound prac-
will include more details concerning them. Various types of tice, however, express deeded easements should be pro-
easements exist for various purposes. vided when cemeteries are created.

REAL PROPERTY LAW
Implied easements evolve through implication, prior use, find documentation of express easements. An express ease-
necessity, or prior map or plat dedication. The crucial element would constitute a separate grantor-to-grantee con-
ment for an implied easement is that of prior uses. Often veyance in the title search. If the surveyor does not
nondocumentary, these easements must be recognizable undertake such a search, the client should be so notified.
through a reasonable inspection of the property. A property Negative easements are those that prevent specific activ-
survey should therefore reveal easements of the implied ities by the servient estate owner. These usually prevent
type. The requirement of appearance and visibility of such certain types of improvements to protect the easement
easements extends beyond professional scrutiny and in- owner’s rights. Such rights might include scenic views and
cludes the grantee of property. They constitute necessary access to sunlight.
and reasonable use of the property subjected to these ease- Locations of future easements, which are required be-
ments. Such easements can affect land development. cause of the development project, should receive consid-
An example of an implied easement follows. Party A eration while the boundary survey is in progress. To identify
owns two lots. Lot one contains the home of party A. A potential future easements, the surveyor should reference
sewer line runs from this home across the second lot owned service lines of different types that adjoin or cross the sub-
by party A. There is a catch basin located on the second ject property. The owner of property burdened with an ease-
lot. Party A sells the second lot to party B. The visible catch ment and the benefited dominant interest (the easement
basin is sufficient evidence and notice to party B that an owner) can seek remedies. Typical of remedies available to
easement for drainage, over the lot mentioned, exists. aggrieved burdened property owners are self-help, award of
Creation of easements by reservation and exception al- damages, injunctive relief, declaratory judgment, quiet title
lows an owner who conveys a possessory interest to a party judgment, and replevin. Actions available to aggrieved ease-
or parties to except or exclude a corporeal interest from the ment owners include all the above, with one exception,
terms of his grant. replevin.
Estoppel forms the basis of creation of some easements. The definition of self-help is an action that falls short of
These easements can restrict the grantor in the use of his judicial action. Such action cannot result in a breach of the
land. The following example from the case of Battle Creek peace. A good example of self-help develops when an ease-
v. Goguac Resort Ass’n8 illustrates such a situation. In this ment owner removed a garden from an area covered under
instance, the Goguac Resort was a riparian owner on a lake. some type of easement. The garden, planted by the bur-
The resort sold land for an easement to Battle Creek know- dened landowner, interfered with rights of the easement
ing that the city wanted water from the lake for municipal owner. The action of the aggrieved easement owner in no
purposes. The resort company was later estopped from use way breached the peace.
of the lake because the resort use contaminated the lake Damages result from unreasonable interference with
making the water unfit for the city. easement use or unwarranted use of easements. Granting
Affirmative and negative easements are both common in an easement usually makes the easement owner responsible
occurrence. Affirmative easements are those that allow ac- for the maintenance and care of the area covered by that
tivity on the estate burdened by the easement. Some activ- easement. Such an example existed when a young boy en-
ities mentioned in easements restrict burdened estates. tered onto property burdened by an easement for a power
When such is the case, negative easements result. line and climbed a tree growing within the easement. In
Examples of affirmative easements include alleys, the ap- climbing the tree, the boy touched the power lines and
proach to airports, private roads through subdivisions, and sustained injury. In this case, the court upheld damages
railway rights. Other easements include pipelines, utility sought against the easement owner. The court reasoned that
poles, and electrical transmission lines. Party wall agree- the power company was the rightful easement owner and
ments and public utility dedications are also easements. therefore unable to shift liability to the burdened property
When appropriate, use easements to cover the use of owner.9
springs and wells. Important, too, are surface rights to serve The most common relief available to easement owners
oil and gas leases. Easements provide a way to grant rights or burdened property owners is injunctive relief. Through
to flood land or drain land. Other uses for easements are this type of relief the easement owner would seek the en-
to allow for encroachments and to provide for excavation forcement of the rights of the easements. A burdened land-
along boundaries. They also exist to carry out temporary owner would likely seek such an injunction to stay the use
building construction beyond the limits of the project. of the easement. Remedy by injunctive action will not pre-
Some easements listed above are nonaccess easements, but clude awards of damages.
most include rights of entry for reasonable maintenance. Declaratory judgments, in particular, provide clarity
If a current title search, commitment, or policy is not when defining the limits of easements and their location.
provided, the surveyor may search the public records to One may seek the assistance of the court in the determi-
8
181 Mich. 241 (1914). 9
Gnau v. Union Electric Company, 672 S.W.2d 142 (Mo.Ct.App. 1984).

REAL PROPERTY LAW
nation of the extent and dimensions of easements not à prendre from easements that only confer a right of use.
clearly defined. This is the method of accomplishing a quiet Use of this profit often determines easement type. When
title action. Such matters can become crucial. Easements profit derived from the easement is of benefit only to the
left undefined when producing a boundary survey will of- dominant estate, then the easement is appurtenant. Use of
ten subject land development projects to unwanted prob- the profit in ways other than to benefit the dominant estate
lems. creates a profit in gross. Since appurtenant means belonging
A purchaser can bring legal proceedings to clear a pur- to the easement, it is also an accessory to the subject tract.
ported easement through a quiet title action. For the buyer An easement appurtenant will pass to a grantee even if the
to take action, he needs neither to give notice nor to wait transfer deed fails to mention it because of its relationship
for the owner of the easement to respond to a complaint. with the dominant tract.
The purchaser can take the initiative for removing a pur-
ported easement from his property. This is the most effective Title Report
means of clearing property from encumbrances to convey Identifying and addressing issues affecting title to real prop-
title without objection. A quiet title action can also serve erty is a critical element in the transfer of ownership during
an easement owner in the establishment and determination the land development process. A title examination by an
of extent of an easement. attorney will track the chain of title to real property over a
In one illustrative case, Castanza v. Wagner,10 the bur- specified period of time and may uncover conveyance of a
dened property owners sought quiet title and an injunction. portion of the property either in fee simple or in rights of
They were successful in restricting the easement across their use, such as easements. Typically, however, the potential
property to the width of the easement (between 12 and 16 purchaser or the entity lending the money to purchase
ft). A recorded real estate contract made at the time their property will require that a title report be prepared by a
predecessors obtained the burdened property contained the company from whom a commitment for title insurance is
reservation. A few weeks following the initial real estate to be issued. The owner of property not being sold, but
contract’s execution, the same grantor entered into a intended to be developed, may also wish to obtain a title
contract to convey the parcel benefiting from the reserved report to uncover potential pitfalls that may affect plans for
easement. The contract purported to transfer a 60-ft-wide development.
easement across the neighboring, burdened land. The own- Title insurance that protects the investment of the lender
ers of the 60-ft easement attempted to widen a roadway is the most common form, although insurance to protect
within their claim, but the court did not allow the widen- the interests of the buyer is also available at an additional
ing. cost. From the perspective of the lender, only insurance that
Replevin is an action available to a burdened landowner protects his investment is required in most circumstances.
enabling him to maintain control over his possessory rights. The title report is intended to reveal any information that
This control prevails in the face of the nonpossessory rights may have an effect on the ability of the purchaser or owner
of the easement owner. One example of particular interest to use the property. It will include a description of the prop-
to those engaged in land development and concerning re- erty, any conveyances of ownership or use, liens or judg-
plevin involves public dedication of subdivision streets. ments against the property, and any special exceptions that
In this example, the landowner of a development dedi- may affect how the property can be used.
cated the streets in a subdivision. The city of Lawton, Special exceptions are shown in a separate category from
Oklahoma, then annexed them. The owner of the subdi- the other items listed; typically the category is called Sched-
vision asked for reimbursement for water and sewer mains ule B, Section 2. The items listed in this section are typically
constructed by him. These lines lay within the dedicated referenced as survey exceptions and are reviewed by a sur-
limits of the streets. The city maintained that these instal- veyor when asked to provide a survey of the property. The
lations were part of the dedication. The Oklahoma Supreme surveyor will determine which of the special exceptions he
Court held that a landowner does not usually convey fee is able to comment on and what effect (if any) they have
title and possessory rights when making a street dedication. on the use of the property.
The court allowed the developer to recover the value of the When the surveyor is able to determine that certain of
improvements under the street. This recovery of the value the special exceptions listed do not affect the property at
of improvements came about in an action of replevin.11 all, the title insurance company will more than likely re-
The term profit à prendre is defined as a nonpossessory move those items as exceptions to title for the purpose of
interest in land with the right to take soil or substance from issuing a commitment for title insurance. Of the special
that land. This right to take something distinguishes profit exceptions determined by the surveyor to affect the use of
the property, those that are capable of being graphically
depicted on the survey drawing will be shown. Special ex-
10
43 Wash. App. 770, 719 P.2d 949 (1986). ceptions that affect the property but are of a general nature,
11
Selected Investments Corporation v. City of Lawton, 304 P.2d 967 (Okla. 1956). or those whose location is inadequately defined, will be

REAL PROPERTY LAW
noted by the surveyor, but their location cannot be depicted of the parties, compared to estoppel by deed, which rests
on the survey drawing. on public records.
The title report is an important element in the feasibility Statutory dedications occur when there is a grant of
analysis conducted to determine whether a property is suit- rights. These differ from common law dedications because
able for the user’s intended purpose. A survey of the prop- they pass legal title covering the area so dedicated to a gov-
erty will support the title report by identifying whether its ernmental body or agency. Statutory dedication must com-
boundaries actually match the description noted, and by ply with statute law. Laws concerning dedication vary from
addressing whether or not special exceptions listed affect state to state. To constitute a dedication either expressed or
the property. The standards usually required for the per- implied there must be an intention on the owner’s part to
formance of the survey are those established by the Amer- grant the property to some public use. A dedication is a
ican Land Title Association (ALTA) and the American voluntary action on the part of the fee owner. The party
Congress on Surveying and Mapping (ACSM). ALTA/ACSM alleging a dedication must prove the intentions of the other
Land Title Survey requirements will be discussed later in party to do so (Skelton, 1930, p. 435). Open and visible
this chapter. conduct by the parties allows courts to determine their in-
tentions to dedicate land for a particular use.
Eminent Domain Plats show actual intention to reserve any portion of
This is a right of the state that affects the rights of the lands for the public good. If such a reservation is not on
private property owner. Eminent domain is the power held the plat, then an equally certain method is essential for
by governments and certain quasipublic entities to take pri- establishing the intention to reserve for dedication. Public
vate property for public use. Appropriation of private land notice of the intention to reserve is equal to that given by
for road construction, drainage channels, and laying of wa- a plat. Intentions to dedicate land without supporting evi-
ter lines is common. This provides another way of obtaining dence or acts signify nothing.
access across private land. Normally, this power is reserved Before dedications become binding on either party, there
to governments. Many states, however, have adopted leg- must be certain proof of the acceptance of the dedication.
islation extending this power to private individuals and The acceptance can be actual, expressed, or implied. Until
other legal entities. In these instances, the power allows there is an acceptance by the public, the public has no
private owners to gain access to inaccessible (or landlocked) rights, and neither has the public assumed any responsi-
land. bility.
Eminent domain differs from easement by necessity. The
former requires compensation from the party claiming the Created Boundaries by Agreement
power. Just compensation for land interests condemned is When it becomes necessary to ascertain a boundary other
required by the U.S. Constitution and by some state con- than by reference to legal descriptions contained in deeds,
stitutions. Easement by necessity requires no additional then agreements between parties serve as a basis for estab-
compensation other than the amount paid in the convey- lishing them. Establishing the boundary line in this manner
ance of the property involved. Land developers might use will not qualify as a conveyance of property. Such an agree-
this power to gain rights of way in some situations, but the ment supports the boundary location as intended in the
method is one of last resort because of the cost involved. deed of conveyance.
Boundary line agreements can occur in cases when the
Dedication boundary location is ambiguously described in the convey-
Dedication is the voluntary granting of land interests by the ing deed. In these instances, the agreement still does not
rightful owner for public use. This topic is important be- result in a conveyance of the land that lies between the
cause it is dedication that provides the means of transferring agreed line and the true line. The agreement between par-
land from private ownership to public use. Land develop- ties does, however, establish a new line. The descriptions
ment projects include various public services within of lines set out in this manner carry title up to the agreed
planned areas. Dedications to city or county governments line regardless of their accuracy. The intention of the parties
provide for their long-term maintenance. Only the fee not to claim ownership according to the true line is con-
owner or his authorized agent can make these dedications. sistent with the doctrine of agreed boundaries.
Common law and statutory law provide for dedications. Boundaries by agreement are dependent on finding a
Common law dedication confers only an easement. This mutual agreement on the boundary location. Boundary
dedication is not a transfer of rights. Such dedications do agreements entered into by adjoining owners recognize that
prevent the burdened landowner from exercising his rights three legal obstacles must be overcome before such agree-
in a manner inconsistent with the rights of the public. This ments have force. The English Statute of Frauds, adopted
form of dedication is not a grant of land because there is by a great majority of the states, requires that all agreements
no grantee. Common law dedications transfer the land by affecting an interest in land must be in writing if they are
estoppel in pais. Estoppel in pais is an estoppel by conduct to be legitimate. Protection of the rights of an innocent third

REAL PROPERTY LAW
party is a concern. It is essential that they have the same to the fence by either of the parties and therefore said ac-
knowledge of agreements as the parties to the agreements. quiescence established the boundary.
All states accomplish this by maintaining a system whereby As with adverse possession, ownership may be estab-
deeds are recorded and wills probated. These systems of lished by acquiescence, but a surveyor must only survey
recording documents must comply with the doctrine of the record lines. Thus, when acquiescence is a possibility,
constructive notice. This doctrine requires that other parties the surveyor’s responsibility is to show the evidence thereof
may review records that can and often do affect them. in relation to the record lines.
Courts often require that certain factors be present be-
fore establishment of boundaries based on such agreements. Created Boundaries by Estoppel
Boundary agreements must involve lines or corners that are Estoppel is a legal act resulting in a person being forbidden
uncertain or disputed. These agreements must set out a by law from speaking against his own actions and deeds. It
specific line as the boundary. Execution occurs by acts of is a remedy that prevents allegations and denials of certain
the parties occupying adjoining land, and the agreement facts previously stated as true.
must include land to the agreed line. Recognition of the Boundaries by estoppel come about when the true owner
agreement for a considerable period is the final require- knowingly misrepresents his boundary and causes a neigh-
ment. This period is often equal to that required for adverse bor to rely on the representation and therefore incur det-
possession. rimental cost. In such cases the boundary becomes that as
represented. Estoppel manifests itself when ‘‘a man’s own
Created Boundaries by Acquiescence act or acceptance stops or closes his mouth to allege or
Acquiescence is similar to boundaries by agreement, but plead the truth.’’13 It is to bar, stop, impede, prevent, or
this type of ownership is unique because it does not require preclude denial of a certain fact. In the situation of bound-
proof that the boundary location resulted from an agree- ary by estoppel, the following example illustrates the prin-
ment. The justification for this ownership is similar to ad- ciple. Should a property owner know that an adjoiner is
verse possession. For this doctrine to be enforceable, making improvements next to or along a line that the par-
occupation must be visible up to a definite marked line. ties have falsely considered an actual boundary line, then
Typically, a long time must elapse before ownership by ac- estoppel prevents him or her from later claiming a true line
quiescence exists. running through the improvements.
The case of Provonsha v. Pitman,12 is a good example of This situation existed in the case of Pitcher v. Dove.14 In
establishing boundaries by acquiescence. The disputed tract this case, the defendant (Dove) had taken possession of
dated back to 1884. The disputed area was within the metes land by a sheriff’s deed. Dove had lived on the land before
and bounds description claimed by the plaintiff, Provonsha. purchasing it at the sheriff’s sale. The description called for
The area was also included in a deed for 160 acres south beginning at a particular corner and running a particular
of the plaintiff’s tract. The area involved in the dispute was distance and direction. Dove based his claim on running a
15.1 ft wide at one end, 7.5 ft wide at the other, and 462 particular direction to a stone set by the county surveyor.
ft long. It represented about 5% of the plaintiff’s land but This claim gave Dove a greater distance than called for in
was an infinitesimal part of the total land value. the description included in the sheriff’s deed.
Construction of a barbed wire fence took place in 1898 On half a dozen occasions during this period, Dove and
to divide a 462 ft square block equally between spouses in the plaintiff (Pitcher) had physically traced the property
a divorce action. The fence remained at the time of the trial lines on the ground. On those occasions, Pitcher had
in 1957. Repair of the fence had occurred over the years pointed out the stone set by the county surveyor as the
and sections had been replaced several times. Ownership corner. He further advised Dove to purchase the land in
of the tracts on both sides of the fence had changed hands question. When Pitcher and Dove inspected the property,
many times. Adjoining owners respected the fence and oc- they found a fence on the boundary line. This fence agreed
cupied and used land to this physical barrier. In 1935, a with the set stone. Pitcher had stated that the fence was on
new owner had a survey made that showed the fence to be the line. Pitcher later moved the fence to correspond with
in error. Neither this owner nor any of his successors in the call in the sheriff’s deed. The court found for Dove,
title took any action other than making statements about although no mention of the stone appeared in his deed.
the erroneous location. The court found on the grounds of estoppel. Dove had
In 1955, the plaintiff sued to regain the disputed tract. based his actions on Pitcher’s representation of the stone as
He based his claim on the conversations, incidents, and the corner.
understandings of recent owners. The court found no evi- The four criteria necessary for a judgment by estoppel
dence of anything but occupation and use of the land up were present in this case. The estopped party must know
13
Caulfield v. Noonan, 229 Iowa 955 (1940).
12
6 Utah2d 26, 305 P.2d 486 (1957). 14
99 Ind. 175 (1884)

REAL PROPERTY LAW
the facts that form the basis of the estoppel. This party must veloped and adopted a set of standards for conducting sur-
have acted in a manner such that the second party had a veys in conjunction with the closing of commercial loans
right to believe that he could act on the statements and on real property. These standards, the Minimum Standard
conduct of the estopped party. The party claiming the es- Detail Requirements for ALTA/ACSM Land Title Surveys,
toppel must have no knowledge of facts to the contrary have been periodically revised. As of the date of this pub-
from those represented by the other party. Finally, because lication, the current version is dated 1999 (see Technical
of the statements and conduct of the estopped party, dam- Appendix).
age must have occurred to the person claiming estoppel. The ALTA/ACSM Minimum Standards provide for a na-
As with adverse possession and acquiescence, ownership tionally defined and accepted set of survey requirements.
may be established by estoppel, but a surveyor must survey Today they are required in conjunction with most real estate
the record lines. Thus, when estoppel is a possibility, the transactions on properties contemplated for development.
surveyor’s responsibility is to show the evidence thereof in As such, the surveyor and other interested parties should
relation to the record lines. be familiar with them. Additional information regarding
these standards is given in Chapter 13.
Liens and Mortgages
Both liens and mortgages affect property ownership and LAW OF EVIDENCE
therefore are concerns when land is in the process of de- The combined rules and standards that control the factors
velopment. determining information and facts presented in legal pro-
Liens are a claim on property. They occur because of ceedings compose the law of evidence. The law of evidence
some obligation or debt on the part of the owner of the regulates the determination of admissibility, relevance,
property. The lien is the means of securing the claim or weight, and sufficiency of the evidence presented in a legal
debt owed to the lien holder. The operation of the law proceeding.
provides a means of acquiring a lien. This happens when Evidence may be defined as ‘‘Any species of proof, or
the law advances a lien without having the stipulation of probative matter, legally presented at the trial of an issue,
the parties concerned. There is a period between the rea- by the act of the parties and through the witnesses, records,
sons for a lien and the actual filing of the liens. documents, concrete objects, etc., for the purpose of in-
Title companies often depend on survey reports to point ducing belief in the minds of the court or jury as to their
out possibilities from which liens can evolve. Such items as contention.’’15 Evidence is not proof but the consideration
building construction, alterations, and repairs not paid for of all of it as presented and the deduction reached from it
can result in the filling of material and labor liens. The leads to truth. A preponderance of evidence will prevail in
surveyor should note improvements to street and sidewalks civil cases. Not all evidence carries the same weight in es-
because they too can be a source of liens. Construction of tablishing proof.
water and sewer lines is also an indication of possible liens. Surveyors should be cognizant of evidentiary laws. If a
Determination of the actuality of these possible liens is a surveyor ignores evidentiary considerations, he may find his
matter of law and beyond the realm of the survey. work given no weight as evidence in a court proceeding.
A mortgage is an estate created to secure an act by a For example, courts have ruled that surveys started at mon-
creditor. In most instances, the act is the payment of a sum uments not lawfully established, or reestablished, under the
of money by the grantor of the mortgage to the grantee of rules of evidence have no probative force. A basic under-
the mortgage. The mortgage becomes void when the gran- standing of the law of evidence will prove a helpful tool to
tor meets the terms of the mortgage. the surveyor.
Action for Ejectment Indispensable Evidence

An action for ejectment is a legal action for prevention of Indispensable evidence, as the name implies, is that evi-
possessory interference with a property owner’s title and dence necessary to prove a particular fact. The following
provides a means to test the right of possession. Ejectment statement provides an example. Land boundaries based on
has evolved into a legal remedy for the protection of an adverse possession must establish the fact of that possession
owner having good legal title. Such an action provides a by presentation of evidence such as enclosures. The sur-
means of recovery of land only on the strength of the plain- veyor would therefore locate fences that would constitute
tiff’s title. One use of ejectment is the settling of boundary indispensable evidence of such enclosure.
disputes before land development. Simply put, ejectment is
a suit that provides a method of trying land titles. This, like Undisputed Evidence
all legal actions, is usually a long and costly process. Undisputed evidence is conclusive evidence. The clear con-
tents of a written instrument, such as a deed, remain un-
Surveys for Transfer of Developable Real Estate
In 1962, the American Land Title Association and the
American Congress on Surveying and Mapping jointly de- 15

REAL PROPERTY LAW
altered by oral testimony. When trying to prove the location torical event) related to the facts of a case. This recognition
of a boundary, one considers in high regard those docu- by a court takes place without supporting evidence.
ments that are a part of the conveyance.
Consideration of Evidence
Prima Facie Evidence Other considerations in the rules of evidence include real
Prima facie evidence will stand court test until rebutted by and demonstrative evidence. The same chapter of the stat-
other evidence. A probated will granting a party ownership ute law addresses topics such as declarations and admis-
to a tract of land is prima facie evidence of that ownership. sions, weight and sufficiency, and questions of law and fact.
Proof of the rebuttal of the will would be necessary to con- The understanding of evidence is most important to the
tradict such evidence. surveyor involved in land development. His or her deter-
mination on the location of property lines and corners usu-
ally provides the basis for development and construction
Additional Types of Evidence
work to progress.
Other classes of evidence consist of primary evidence, sec- Often a surveyor’s work is nearly complete before a legal
ondary evidence, direct evidence, indirect evidence, partial problem is detected. Should the land under development
evidence and extrinsic evidence, and hearsay evidence. Pri- become involved in litigation, the surveyor’s interpretation
mary evidence is original or first-hand evidence. It is that is subject to admission or rejection in court, depending on
evidence that is given priority for ascertaining the truth. A his adherence to the rules governing the law of evidence.
copy of a document is secondary evidence because of its One author has stated that ‘‘Everyone is presumed to
inferior position compared to the original document. know the law and the surveyor is no exception. If he agrees
Direct evidence supports the existence of a fact without to monument a certain written conveyance on the ground,
depending on proof of other facts. The testimony of an he also agrees to locate the conveyance in accordance with
eyewitness to an event is direct evidence. the laws regulating the interpretations of written convey-
Indirect evidence, on the other hand, requires proof of ances’’ (Brown and Eldridge, 1967, Sec. 2.19).
one fact by proof of another. This evidence is circumstantial
evidence because of its dependence on other facts. Evidence WATER LAW
used to establish a detached fact is partial evidence. This Many facets of water law affect land development. Property
type of evidence is subject to rejection unless connected to rights and public rights are the predominate factors that
the fact in dispute by proof of other facts. control water management and usage. Navigability distin-
Extrinsic evidence lies beyond the body of a document guishes private rights from public rights. Rights vary de-
for agreements or contracts. Such evidence is primarily for pending on whether the water is surface or subsurface.
explanation of references in the documents. This evidence Flowing waters, contrasted with those found in a body, also
can clarify meanings of terms that vary within local context. affect rights.
Hearsay evidence is not original or does not come from Land development requires proper management of wa-
personal knowledge of a witness. This type of evidence ter. This management includes surface and subsurface wa-
comes secondhand by way of what a witness has heard ter. Some knowledge of water law is necessary before water
someone else say. This evidence is admissible in only a few resources planning can begin. Failure to consider appro-
instances. Even in situations where such evidence is per- priate water law can be devastating to the land development
missible, its credibility would be a matter for the jury to process.
decide. Water is always in motion. As part of the hydrologic
cycle, water exists in varying states (vapor, rain, snow, dew,
Collecting Evidence surface water or groundwater), but no matter the state, it
The four forms for gathering evidence are oral testimony, is water. A property owner’s rights concerning water use
written documents, real or material objects, and judicial depend on a number of factors, including whether the wa-
notice. Oral or parol evidence is that given by mouth by a ter is atmospheric, surface, or subsurface. Laws control the
witness in a court. Another method to obtain evidence is use of water flowing in a stream or existing in a body such
from contracts, wills, deeds, and other types of written doc- as a lake. The laws of riparian rights or of prior appropri-
uments. Documents presented as evidence are usually self- ations govern this control. When water seeps into the
explanatory, but witnesses may give testimony to explain ground, rules for subsurface flow govern the manner of its
ambiguities when they exist. The courts place limitations control. Yet another set of laws determines the use of water
on the types of documents allowed for presentation. This flowing in a dispersed state across the surface of the earth.
is a matter for consideration when preparing for a court When waters are navigable, they become public waters.
appearance. Real or material objects such as monuments, The problem lies in the determination of what constitutes
fences, and other physical evidence are most important in navigability. The rule often given for this determination is
support of the proof of a fact. Judicial notice is the act of that if ‘‘water is navigable in fact it is navigable in law.’’
recognizing the truth (universally established, such as a his- Recent laws have defined navigability beyond this and

REAL PROPERTY LAW
based the question on flow. To declare water navigable by ers of water required for that use. This domestic use in-
statute law, when that water is not navigable in fact, gives cludes water for the care of livestock but not for use by
the owner of the water rights due compensation. In most cattle raised for commercial purposes.
situations, statute law is more limiting on property rights Riparian rights give to the owner of those rights the use
than is navigability. In situations such as these, surveyors of water in riparian watercourses for irrigation. The reason-
and engineers involved in land development should be fa- able use rule and the claims of each riparian owner declar-
miliar with the federal statutory law definition of ‘‘navigable ing his or her rights to those waters restrict the usage of
waters.’’16 each.
State laws, as well as federal laws; determine the water The conduct employed by the parties provides a test of
rights of an individual owner. States base their laws on two the doctrine of reasonable use. The test, when applied by
basic, but different, doctrines. The two doctrines developed the courts, resolves conflicting rights of riparian owners.
to control water uses are riparian rights and appropriations. Temporary interruption in normal flow of riparian waters
In most instances, the courts have integrated and modified usually does not constitute grounds for liability for dam-
these two basic doctrines to develop many of today’s current ages. The validity of this depends on the circumstances in-
water laws. volved and the jurisdiction where the case occurs.
When riparian waters are navigable, in fact the public
Riparian Rights has a right to use the water for recreational purposes. This
Riparian owners’ rights include use of the water and en- further modifies and limits the rights of the riparian owner.
compass those rights for the enjoyment and development Should the body of water change course gradually, leav-
of his land. Issues and lawsuits related to riparian rights are ing land exposed, the riparian owner gains property rights
much more common in the western states, where water to this newly revealed addition. Such a process is accretion
resources are more scarce, and thus more valuable, than in or reliction. The precise definition of the term accretion is
the eastern states. These rights of use must not infringe on a gradual increase of the land. Soil deposits left by the body
the rights of other riparian owners to exercise those rights. of water adjoining the accredit land cause this increase. Re-
If all riparian owners have the same rights in the same body liction is a process that exposes the land previously covered
of water, then the use must be reasonable by each owner. by water. This exposure occurs by a gradual subsidence of
The property must adjoin a natural watercourse for these that water. Boundary lines move with the shifting shoreline.
rights to exist. Additionally, the land must lie within the Avulsion is a term that describes the sudden and abrupt
watershed of the riparian waters for riparian rights to exist. change in a land formation. This action is an act of God.
Once severed, these riparian rights remain lost from the Such changes do not affect boundary locations and thus are
land, and the loss is a permanent one. A littoral owner is different from accretion or reliction.
a particular type of riparian owner. A littoral owner is one
Surface Water
that joins a body of water such as a lake or sea. The rights
of a riparian owner include access to the water. In most cases, water classified as surface water allows for
Other rights include extraction and use of the water. The its consumption by the owner of the property upon which
riparian owner only can preserve the water in its natural such water exists. The disposal of this water can pose prob-
condition. The following example illustrates unnatural use lems, particularly in land development projects. Under early
of water. When a riparian owner takes water from a river legal doctrine, landowners could dispose of unwanted sur-
for use in a cooling process at a canning factory belonging face water. Such disposal could take place artificially with-
to the riparian owner, the result is ‘‘unnatural’’ if the water out incurring any liability from neighboring landowners.
temperature is higher when returned to the river than when The legal name applied to this doctrine is the ‘‘common
the water is first removed from the river. enemy’’ rule. Under this doctrine, adjoining landowners
Riparian owners, in most situations, have rights to all could protect themselves from surface water by any means
the water necessary for domestic purposes. Upland owners available.
have this right of use even if it deprives lower riparian own- In some states, this rule still applies to surface waters
that naturally drain from one property to another. The ma-
jority of the states have modified this rule. These modifi-
cations mean that only reasonable changes can take place,
16
16 U.S.C. § 796(8): ‘‘ ‘Navigable waters’ means those parts of streams or other
bodies of water over which Congress has jurisdiction under its authority to regulate
without liability, in the flow of these surface waters. Under
commerce with foreign nations and among the several States, and which either in the modified rule, land developers are liable to adjacent
their natural or improved condition notwithstanding interruptions between the navi- owners for increases in runoff.
gable parts of such streams or waters by falls, shallows, or rapids compelling land Other states do not follow the common enemy rule but
carriage, are used or suitable for use for the transportation of persons or property follow instead the civil law doctrine. This doctrine allows
in interstate or foreign commerce, including therein all such interrupting falls, shal-
lows, or rapids, together with such other parts of streams as shall have been au-
surface waters to flow from one property to another if that
thorized by Congress for improvement by the U.S. or shall have been recommended flow is in a natural channel. Lowerlying owners cannot ob-
to Congress for such improvements after investigation under its authority.’’ struct this flow. The downstream owner may take reason-

REAL PROPERTY LAW
able steps to protect against this flow. Landowners may seek that Arkansas is a riparian rights state and follows a mod-
protection under a modified version of the civil law doc- ified doctrine that includes ‘‘reasonable use.’’ The case used
trine. Combining this doctrine as modified and the com- for illustration is that of Jones v. OZ-ARK-VAL Poultry Co.,17
mon enemy rule as modified results in both becoming a where the Arkansas Supreme Court ruled that ‘‘reasonable
reasonable use doctrine. use’’ applied to all underground waters as well as those on
The degree of harm inflicted on the downstream owner, the surface. In this case the court went further and accepted
the foreseeable harm, good faith, and cost-benefit factors the correlative rights doctrine set fourth in Hudson v.
furnish the criteria used to judge reasonable use. Dailey18. Correlative rights further modify the rule of ‘‘rea-
sonable use’’ to a proportionate share of the underground
Subsurface Waters water to the surface landowner in times of short supply of
These waters include percolating waters, underground the water. In effect, this ruling indicates that reasonable use
streams, and artisan waters. Under common law, the surface of water relates to available supply. Therefore, as supply
landowner has the absolute right to extract percolating wa- changes, what has been reasonable use can become unrea-
ter. This right exists without regard to the impact on ad- sonable. As with all situations under law, each case involves
joining owners. Many states modified this law into circumstances peculiar only to the case at hand. It is not
reasonable use. Bordering landowners share rights under the intention here to imply that a rule exists for the deter-
this doctrine. The same rules of law as those that control mination of reasonable vs. unreasonable. The intention is
surface waters control underground streams if both lie in to point out possible pitfalls that might arise out of the land
the same government jurisdiction. development process.
When following the common law rule, the surface owner
has absolute ownership of percolating water. Landowners LAND USE
have corresponding rights in the percolating waters when In a chapter dealing with property laws, it is appropriate to
the rule of reasonable use controls the jurisdiction of land include a section on land use. Ownership of property relates
ownership. The doctrine of prior appropriation gives own- closely with the right to use that property. Laws controlling
ership of the percolating water to the state. The water is those uses are worthy of mention in this section.
available to surface owners based on respective state laws. All phases of land development should begin with ex-
Landowners may become liable for obstructions in the tensive planning. The first step in the planning process,
flow of percolating water. Extremely hazardous activity that preceding the technical planning, is a market analysis. This
causes interruption of flow would likely cause such liability. study can be the difference in success or failure for any
If the surface owner acts in a nonnegligent manner while development. A need assessment can determine the type of
in the process of developing his land, then such acts carry development having potential for success and the design
no liability for damage to percolating water. suited for the site location.
Differing views exist concerning the liability of a surface Land and site planning involve evaluation of the site.
landowner. Responsibilities and rights in subsurface waters Locations of specified land uses occur during this part of
related to the surface owner might also hinge on the type the planning process. Topography and access play a major
of subsurface water involved (percolating waters, under- role in these determinations. Engineering and surveying fol-
ground streams, and artisan waters). When a surface owner low as they become necessary for the precise location of
pollutes percolating water, he usually incurs liability related items set out in the planning stage. Most municipalities re-
to the manner of his use. If the surface owner uses his land quire engineering plans before site development can begin.
rationally, he will incur no liability for his actions. This of- These plans show street grades, earthwork, storm water
ten holds true even when his or her actions result in injury drain lines, sanitary sewers, utilities, and water supply lines.
to another landowner. They can incur liability if the land Also incorporated in these plans are material schedules nec-
use is reasonable but the use was negligent on their part. essary for the development’s construction.
Some government authorities hold landowners liable for Planning and designing buildings require the services of
pollution regardless of the manner of their use. Owners can an architect early on in the development process. In many
become vulnerable to claims without the presence of neg- instances, the architect can help with site planning. The
ligence and unreasonable use of the land. When this situ- architect assists in overall coordination of style used within
ation occurs, liability exists without fault. a land development project.
The question of ‘‘reasonable’’ and ‘‘negligent’’ or ‘‘unrea- If the planning process is to proceed in an orderly man-
sonable’’ obviously can become a matter of hair-splitting. ner, all participants must consider legal implications. Legal
Complications in interpretation of water law also arise be- topics discussed to this point are common to all property
cause of variation of interpretation between jurisdictions. surveys. When a land development is pending, then legal
The following court rulings shed some light on the dilemma
involved in making a determination relative to usage. A case
from the Arkansas courts illustrates the ‘‘reasonable use’’ of 17
228 Ark. 76 (1957).
ground and surface water. It should be noted at the onset 18
156 Cal. 617, 105 (1909).

REAL PROPERTY LAW
topics related to that development become important fac- covenants. Most often these clauses are not restrictive but
tors. They can affect and control the planning and construc- rather offer protection. If written for the community, these
tion process. restrictions protect against undesirable use of the land.
Restrictions are either public or private control over the
Land Use Regulations use of property. Simple examples of each follow. A private
Common law and statutory law provide for the regulation land developer purchases a tract of land and employs pro-
of land by private and public means. Private land use reg- fessionals to subdivide it into some smaller parcels. The
ulations, such as recorded covenants, usually exist through surveyor or engineer will map and properly record the sub-
arrangements entered into by private parties. Laws and division. A note on the face of the map designating all lots
courts provide for enforcement of these arrangements. for residential use only is an example of private building
The law of nuisance provides a form of private regulation restrictions. A city or county zoning ordnance that sets a
also. Nuisance law pertains to the control of ‘‘that which particular area aside for industrial use or other areas resi-
annoys and disturbs one in possession of his property, ren- dential use is public control.
dering its ordinary use or occupation physically uncom- Courts provide means of enforcing restrictions. The
fortable.’’19 party seeking to enforce restrictions can petition the court
The law of nuisance is a doctrine that, while allowing a to issue an injunction (order) to halt the violation. Anyone
landowner to make reasonable use of his or her land, does found to be in contempt of such an order is subject to
not allow a landowner to deprive other landowners in the contempt of court sanctions, which may include incarcer-
community of the reasonable use of their land. Enforcement ation.
of nuisance laws usually results from the actual physical
activity causing the nuisance. The greater the physical im- Subdivision Development
pact on the land, the greater the possibility of the court Subdivision, broadly defined as the creation of smaller lots
granting relief to the affected party. from a larger tract, falls under the jurisdiction of a local
Public regulation of property is achieved through zoning authority in most states. One writer, in referencing a local-
laws. Governments possess, as an incident of their police ity’s specific subdivision law, states, ‘‘any land, or portion
power, the ability to regulate the use of land to safeguard thereof, shown on the last preceding tax rolls as a unit or
public health safety and welfare. Particular land use zones as contiguous units which is divided for the purpose of sale,
established under zoning ordinances regulate land use. either immediate or future, by any subdivider, into five or
more parcels within any one year shall be considered to be
Ordinances a subdivision and requires the filing of a map for the ap-
Ordinances are laws initiated by authority of a local legis- proval of the planning commission and the legislative body’’
lative body such as a county board or a city or town coun- (Gallion and Eisner, 1975, p. 266). Subdivision regulations,
cil. Local governing bodies adopt subdivision ordinances to however, differ widely among local jurisdictions and sur-
provide for a healthy living environment. These ordinances veyors should be well acquainted with these local ordi-
set up specifications that produce better design of the build- nances.
ing lots while providing control over the creation of new Subdivision development tends to be thought of as a
lots. In many jurisdictions, an unsubdivided portion of a relatively new process. Shortly after the Norman Conquest
master lot cannot be conveyed to a new owner. In some of 1066, William the Conqueror established a form of sub-
cases, an unsubdivided portion can be conveyed, but only division control in England requiring permission from the
under strict guidelines that, for example, might limit the Crown for divisions of baronial estates. History shows this
size of the parcel being created. Thus, subdivision and the activity to be one of the earliest forms of man’s social co-
creation of new lots are required to allow more individuals existence with other men. Subdivision development and
to become landowners. new cities on this continent trace their existence to the first
settlements. The Royal Ordinances for the Laying Out of
Restrictions New Cities, Towns or Villages, circulated by Phillip II of
Restrictions can exist in the form of deed restrictions and Spain in 1573, are an example of early regulations intended
restrictive agreements. Zoning laws are but one form of re- to control land development. Many early town charters pro-
striction. A grantor cannot pass title to rights that he does vided for methods of laying out church sites, town markets,
not possess, but he or she has the option of disposing of streets, and lots. Colonial charters also controlled subdivi-
fewer rights than he or she possesses. When the grantor sion of lands for new towns. The Continental Congress reg-
chooses to do this, he or she may destroy these rights or ulated the division of western lands through the adoption
in some cases may retain them for himself or herself. of the Public Land Survey System.
Clauses in deeds, which place limits on rights, are restrictive By the 19th century, earlier subdivision and land con-
trols, together with the exploitation of the land by devel-
opers in ‘‘get-rich’’ schemes, led to further regulation
19
Black’s Law Dictionary, rev. 6th ed., s.v. ‘‘nuisance.’’ requiring accurate surveys and maps of proposed subdivi-

REAL PROPERTY LAW
sions and regulation, in many states, of street width and ample of the tendency in land development controls to curb
alignment. Before lots could be sold, local officials were negative environmental impact.
required to verify surveys and maps. Public official review The approval process for subdivisions will vary from one
and approval of public dedication of streets was also replace to another, but the overall procedure is much the
quired before lot sales could take place. The public dedi- same.
cation requirements and procedures became clearly
1. Review and understand the local subdivision ordi-
established.
nance.
In 1928, the U.S. Department of Commerce published
the Standard City Planning Enabling Act (Standard Act). 2. Survey the land to obtain an accurate description
State legislative acts followed this Act, and by 1961, nearly of the boundaries.
1,000 cities with populations more than 10,000 had de-
3. Proceed with surveys to locate abutting streets, de-
veloped comprehensive subdivision regulations. Today, all
termine topography and locate special features.
50 states have adopted some form of enabling legislation
concerning subdivision law. Land developments are subject 4. Locate any structures and easements existing on
to more stringent controls than at any other time in history. the site.
Subdividing land is not as simple as completing a survey
5. Determine any restrictions imposed on the prop-
and preparing a map that includes lots and streets. Subdi- erty.
vision regulations mandate the laying out of streets and di-
vision of land into blocks and lots. For the process to be Water lines that serve the subject property should be
beneficial and orderly, subdivision laws must be enforced located if they exist. State and local requirements for sani-
in accordance with their tenor and not interpreted by po- tation disposal and provision of potable water should be
litical sentiments. While civilization exists, new land devel- determined. Information on water table heights, soil con-
opments will begin and old land developments will expand. ditions, and prevailing wind directions is important. This
Today, subdivision control goes beyond the size of lots information may affect lot layouts.
and the horizontal and vertical requirements for streets. The surveyor should check subdivision ordinances for
These controls also surpass the requirement of installing on- restrictions. They often include lot size, setback lines, and
site roads, sidewalks, water and sewer lines, drainage, and other specified items. In addition, the surveyor should re-
other utilities. Some jurisdictions now require dedications view the local zoning ordinance for other limitations. Sub-
of land for parks, schools, sewage treatment plants, and division regulations typically control street width and
other public use, providing a sufficient nexus exists between grades. The ordinance usually includes the procedure for
the dedications demanded and the impacts caused by the presenting maps and plans to the controlling government
subdivision. body.
Many courts have upheld requirements for such dedi- The developer should employ an engineer or surveyor
cations. One city required that 4% of the land development to prepare preliminary plans for the proposed development.
The local subdivision ordinance provides a guide for the
area be set aside for parks and playgrounds. One court said
preparation of such plans. These plans should show the
this requirement was reasonable and upheld it because the
approximate size and shape of the proposed lots. The pre-
new development created the need for the park and play-
liminary plans include street locations, street grades, and
ground.20 The limit on the amount of such dedications and
the method of providing drainage for all areas within the
exactions allowed by law in subdivision process differs development. These plans also indicate land use, utilities,
greatly between states and between different jurisdictions in and zoning.
a state. In a recent case, the U.S. Supreme Court has ruled The surveyor should locate public facilities such as
that a ‘‘rough proportionality’’ must exist between the ex- schools, parks, and playgrounds and record distances from
action sought and the slated public purpose involved.21 these facilities to the proposed development site. Available
Recent land development regulations address environ- transportation and shopping facilities affect the needs as-
mental concerns. These controls often require the developer sessment. Cost estimates determine the feasibility of the
to submit project plans to a government agency. This proposed development. Sound developments usually de-
agency will grant approval if there is no indication of ad- pend on investment moneys for home mortgages and de-
verse impact on the environment. The State of Vermont has velopment cost, including streets, utilities, and earthwork.
adopted a new land development law administered by the Various agencies require filing of proposed development
Environmental Control Board through seven environmental plans. The local planning commission is the coordinating
district commissions. Developers must obtain permits for agency in most localities. After approval of the proper agen-
proposed subdivisions from this board. This law is an ex- cies, the development can proceed. Submission of a final
set of plans to proper authorities usually precedes lot sales.
Shopping Centers
20
Aunt Hack Ridge Estates Inc. v. Planning Comm., 160 Conn. 109 (1971). Land use for commercial purposes covers a broad range. It
21
Dolan v. City of Figard, 114 S. Ct. 2309, 2314 (1994) includes the regional financial center through the small cen-
REAL PROPERTY LAW
tral business district down to the smallest commercial unit, tax base, more income into the community, and a general
called the neighborhood center. Each of these units must stimulus to the area.
meet a specific need. Controlled designs of this type include
provisions for traffic, parking, and floor space. The type of City-County Planning and Zoning
center determines the appropriate balance between these City and county planning processes are as old as the gov-
factors. erning bodies themselves, but zoning processes are of 20th
One can categorize centers by the population that they century vintage. Past planning may or may not have been
serve. Neighborhood centers serve between 7,500 and as good as that seen today. Modern urban planning and
20,000 people. Community centers provide more variety in zoning processes leave these roots in the Standard City
service and reach a population in the 20,000 to 100,000 Planning Enabling Act of 1928. Tomorrow’s generations will
range. Regional centers are complete with major depart- criticize today’s planning in a different light because plan-
ment stores and serve a population from 100,000 to ning is forecasting and forecasting is most difficult. In the
250,000. A thorough analysis should precede the building past, forecasts have tended to underestimate growth in our
of any center to provide for needs assessment. cities. This has created many of the problems that one sees
Most neighborhood centers require approximately 5 today. It has also made solutions to others difficult and
acres of land for the site. Sites for community centers are more costly to solve. At the root of city and county planning
larger and often are 10 or more acres in area. Regional cen- is the plan for an adequate transportation system, and as
ters are around 30 acres. Consult local regulations for def- this system becomes more complex our planning process
inite control of zoning and restrictions. must become more comprehensive. Good planning will
meet the demands and problems of the present.
One objective of the planning process includes increas-
Industrial Parks
ing economic efficiency by coordinating the size and loca-
These subdivisions are a very specialized type of develop- tion of physical facilities with projected future needs.
ment and require special knowledge of industrial require- Planning should provide an overall design for urban expan-
ments. Today these parks serve a community in much the sion that will be aesthetically pleasing and retain the natural
same manner as the industrial districts of earlier times. Such integrity of the land. The planning process also serves to
parks are not suitable for all industry. allocate land to varied uses necessary for stable and healthy
These parks offer benefits to industry and communities. growth. Properly executed planning will enhance the rela-
Industrial parks can relieve industry of legal problems stem- tionship of various land uses.
ming from zoning. The site will offer utilities and other A major factor in the planning process is control, and a
services, and therefore the industry will encounter no prob- U.S. Supreme Court ruling has qualified zoning laws as an
lems from local government in securing such services. Of- essential part of those controls.22 Planning and zoning com-
ten there is a significant reduction in site development cost missions exert control over subdivisions and other land use
to the industry that locates within such a park. Other ben- areas surrounding cities. The land developer has the op-
eficial factors available to industries that locate near each portunity to produce well-planned land developments.
other include security, eating facilities, and clubs for em- However, he will need the help of a land planning team
ployees. composed of engineers, surveyors, architects, and land
Industrial parks, as is true of most subdivisions, must planners.
have a set of protective restrictions. These occur in the form Zoning is a plan or process that, as the term suggests,
of covenants carried in deeds and leases. They help ensure divides a city or county into zones. Each of the designated
compatibility among occupant plants and between the park zones serves a particular use. Provisions for zoning ordi-
and the local community. Standards must be sufficiently nances come from the state’s police powers. These are nec-
high to be acceptable to the nearby residential communities. essary to protect the health and safety of the public. Such
They must not be so rigid that they become unacceptable zoning prevents overcrowding, establishes appropriate san-
to the very industries sought by the park. itary regulations, provides for a more efficient transporta-
Properly developed and administered restrictions can tion system, and protects quiet residential areas. For
make land usage predictable and therefore protect property example, zoning lessens the danger of fires by banning fac-
values in the park and the area surrounding it. Protective tories from residential districts.
covenants in most industrial parks regulate both permitted Zoning ordinances were simplistic in the beginning. Di-
and prohibited uses. They control emissions of smoke, vision of a city into three zones, residential, commercial,
noise, heat, industrial waste, light, odor, and other environ- and manufacturing, was usual. Trends in zoning are evo-
mental factors. Included in typical restrictions are such lutionary, and modern ordinances create more classifica-
items as site size, site coverage, building line setback, park- tions. Residential districts are no longer exclusive to
ing, building, and construction types. single-family dwellings but provide for multifamily as well.
The communities that house industrial parks reap ben-
efits from the diversification of the local economy. Benefits
that come with successful industrial parks include a broader 22
Warth v. Seldin, 422 US 490 (1975).

REAL PROPERTY LAW
Subdivision of commercial zones into retail and wholesale come vitally important under our system of laws and hold-
areas is usual. Subclassifications used in industrial zones are ing of real property.
heavy and light. Orderly progress in land development rests on the sys-
Zoning is exclusionary by its nature, and the courts have tem of land ownership provided for under the laws related
ruled that zoning that excludes a class is unconstitutional. to such ownership. However, some areas such as zoning
Examples of these exclusions are apartments, mobile and planning can on occasion impede development.
homes, and even zoning exclusively for large lots. Some
courts have held valid those ordinances that specify mini- REFERENCES
mum lot sizes, but these requirements must be reasonable Brown, C. M., and W. H. Eldridge. 1967. Evidence and Proce-
and must be for the health and safety of citizens. The courts dures for Boundary Location, John Wiley & Sons, New York.
have been consistent in ruling that the exercise of zoning Brown, Curtis M., H. Frederick Landgraf, and Francois D. Uzes.
powers are impermissible if the result renders land econom- 1969. Boundary Control and Legal Principles. 2d ed., John Wiley
ically useless. Variances in ordinances allow flexibility and & Sons, New York.
prevent hardship on landowners of particular tracts. This is Cheshire, G. C. 1949. The Modern Law of Real Property, 6th ed.,
true for tracts that can be shown unsuitable for a certain London, Butterworth.
zone. Ordinances also provide for nonconforming uses. Gallion, Arthur B., and Simon Eisner. 1975. The Urban Pattern.
These are uses in existence at the time of conception of an 3d ed., D. Van Nostrand, New York.
ordinance that conflict with the uses established by the new Powell, R., and P. Rohan. 1987. Powell on Real Property, rev. ed.,
ordinance for the affected property. Matthew Bender, New York.
Zoning can be for aesthetic purposes. Bulk zoning reg- Skelton, Ray Hamilton. 1930. The Legal Elements of Boundaries
ulates the size and shape of buildings and their location on and Adjacent Properties. Bobbs-Merrill, Indianapolis, In.
a property. Zoning ordinances usually require property
owners to obtain building permits before erecting any struc- ADDITIONAL READING
Backman, James H., and David A. Thomas, A Practical Guide to
ture. Applications must accompany plans and specifica-
Disputes Between Adjoining Landowners—Easements, Matthew
tions. It is through these permits that enforcement of zoning Bender & Co., New York, 1989.
takes place.
Brown, Curtis M., Walter G. Robillard, and Donald A. Wilson,
Evidence and Procedures for Boundary Location, 2d ed., Wiley-
SUMMARY Interscience, New York, 1981.
It is the intent of this chapter to provide a brief overview Burby, William E., Handbook of the Law of Real Property, 3d ed.,
of legal topics that often affect land development. The sec- West, St. Paul, Minn. 1965.
tion on use of law libraries should provide a foundation for Cribbet, John E., William F. Fritz, and Corwin W. Johnson,
the reader to carry on specific research in those areas of Cases and Materials on Property, 3d ed., The Foundation Press,
individual interest. This chapter is not a substitute for legal Mineola, N.Y., 1972.
counsel and should not be used by non-legal professionals Goodman, William I., and Eric C. Freund, Principles and Practice
as a basis for providing legal opinions or legal analysis, or of Urban Planning, International City Managers’ Association,
as encouragement to engage in the unauthorized practice Washington, D.C., 1968.
of law. Further, this chapter is a supplement to Chapter 1, Graves, Charles Alfred, Notes on the Law of Real Property, Bobbs-
‘‘Boundary Surveys for Land Development.’’ Merrill, Indianapolis, In., 1912.
Real property and the law controlling and protecting the Grimes, John S., A Treatise on the Law of Surveying and Bounda-
individual’s rights in that property are at the root of our ries, 3d ed., Bobbs-Merrill, Indianapolia, In., 1959.
democratic way of life. Under our system, classification of Kratovil, Robert, Real Estate Law, 6th ed., Prentice-Hall, Engle-
rights of ownership and defining the limits of that owner- wood Cliffs, N.J.
ship as these limits relate to the classification provide order Mack, William, and Donald J. Kiser, Corpus Juris Secundum, vol.
and structure to real property ownership. Instruments such 2, West, St. Paul, Minn.
as deeds provide proof of rights held in property. Additional Hoagland, Henry E., Real Estate Principles, 3d ed., McGraw-Hill,
rights that guarantee full usage of property include ease- New York, 1955.
ments, water rights, and other items. These provide for Second Decennial Edition of the American Digest, St. Paul, Minn.,
greater enjoyment of land ownership. All these topics be- 1918 [a complete digest of all reported cases from 1906–1916].

PART II.B SITE ANALYSIS AND SITE SELECTION
CHAPTER 6
ENGINEERING FEASIBILITY
William Fissel, P.E.
INTRODUCTION of time. Otherwise, the land may be lost to another buyer,

Development projects often begin with the developer or usually a competitor. In periods of tight money supply and
landowners approaching the land design team with a plat slow economic growth, the decision to purchase must be
showing a piece of property, asking, ‘‘What can I do with well reasoned. The developer must be assured that the in-
it?’’ Others ask, ‘‘I would like to develop this for a specific vestment will provide economic return. This is particularly
use . . . can I?’’ The answers to those questions require more true if rising land prices have not abated, despite weakness
than a five-minute office consultation to check the prop- in the real estate market. The developer must base the com-
erty’s zoning. The experienced consultant must recognize mitment of resources to purchase land on a determination
that the land will have future value and use.
the unspoken parts of those questions that are perhaps
The engineering feasibility study identifies problems
more indicative of the level of investigation and commit-
likely to be encountered in planning, government review,
ment required. ‘‘Can I make a profit?’’ ‘‘Is the expense and
and construction, as well as potential uses for the land.
effort worth the return?’’ ‘‘Can I complete the development
Land development can be a risky business. It is this en-
in a reasonable amount of time?’’ ‘‘Will people buy what we
gineering feasibility study that serves to help a developer
have to offer in a predictable period of time?’’ ‘‘Can I make
find the answers to basic questions to minimize the risk.
a valuable contribution to the community and my reputa-
Such questions include:
tion?’’ These are the questions that a developer needs an-
swered. To answer them requires extensive evaluation of all 䡲 What are the physical characteristics of the site?
of the components, participants, and dynamics of land de- Are they conducive to the type of land development
velopment that impact on the project and property. envisioned?
Land development is highly regulated at all levels of gov-
䡲 What regulations apply?
ernment. The developer may spend considerable amounts
of money to demonstrate that the development program 䡲 What are the costs involved to conform the infra-
and the design comply with those regulations. This must structure to the envisioned development?
be done without any guarantees that construction will ever
䡲 What is the timing of the design and approval pro-
be authorized and profit will be realized. In addition, be-
cesses?
cause the design, processing, and construction period can
take several years, even a well-conceived project may find An initial engineering feasibility study should be organ-
no buyers. Economic and demographic forces keep chang- ized to assist the developer in obtaining answers to such
ing, while the development program remains essentially the land related issues before the land is purchased. This study
same. can take place either prior before negotiations with a land-
In a competitive market where vacant land is in short owner or during a purchase contract option period. If the
supply, decisions must be made in a relatively brief period study suggests that an unfavorable price has been asked for
93
the property, the developer has an opportunity to reject the nate practical conflicts, existing topography and local or-
purchase or renegotiate the price. Meanwhile, the land is dinances sometimes make extensive regrading economically
protected from purchase by other buyers. Failing to perform infeasible. The purpose of the engineering feasibility study
a thorough investigation can lead to costly mistakes and, in is to establish a framework for making such decisions.
some cases, expensive lawsuits. At their first meeting, the Lastly, the value of land is affected by government reg-
consultant should advise the developer of the importance ulations that control its development and use. These laws
of performing an engineering feasibility study as part of in many ways supersede and restrict the rights associated
their scope of service agreement. with land ownership while protecting the public’s health,
To perform such studies, one must understand the util- safety, and welfare. Development potential may be severely
ity, value, and potential use of a tract of land. These are constrained by environmental factors. As a consequence,
based on a number of underlying principles concerning site development may not provide sufficient yield to return
physical and economic characteristics common to all land. a profit. The cost and timing of securing development ap-
Physical characteristics of land include its immobility, that proval or complying with local, state, and federal regula-
is, it has a fixed location and cannot be moved to avoid or tions may be so severe as to detract from a tract’s value as
take advantage of other locational factors. In addition, from a development site. Changes in development regulations
the government’s standpoint, its fixed location makes it easy also affect parcel value.
to regulate, tax, and attach. Land is unique, with no two Land developers who routinely operate in most com-
properties being identical in size, shape, elevation, view, or munities already are very familiar with the land develop-
access to natural and man-made resources. Notwithstanding ment process and expectations. The developer often is
certain natural forces that cause erosion, inundation or sensitive to the area’s real estate market and can visualize
landslide, land is indestructible. This reflects the stability of project layout. Many are familiar with local attitudes and
investment made in it. Economic characteristics include its the political motivation of area leaders. Yet most developers
scarcity, with no more land being created and with unused engage consultants during the acquisition feasibility option
land in particular locations in increasingly short supply. The phase because of the need to assemble information pre-
nature of improvements affects not only the value of the land, pared by unbiased professionals. Even if it is feasible to
but that of adjoining land as well. Land represents a per- employ a large full-time staff of development specialists,
manence of investment. While certain improvements can be their judgment might be considered prejudicial in negoti-
destroyed, the public infrastructure usually remains that in- ations with property owners. In addition, the consultant
vestment is characterized as long-term and stable. Perhaps brings the benefit of the experience gained in working with
most important are the public’s area preferences to location, many clients and projects. This cumulative knowledge
which result in similar structures being valued differently about the process is valuable to even the sophisticated de-
in alternative locations (Galaty et al., 1988, p. 21). veloper.
Physical constraints and opportunities of the site need In some instances, multiple sites are available to the de-
to be identified and quantified to assist the developer in veloper. Each site might have some unique element, loca-
evaluation of the property. In addition to these inherent tion, topography, zoning, access, or infrastructure that
characteristics are those that affect its physical adaptability separates it from other sites. If there are several sites, a site
to certain uses. For example, consider two parcels of wa- selection study needs to be performed to evaluate the dif-
terfront property, one flat, the other steep. The likelihood ferent aspects of the site to determine which site is the best
that the latter can be used for maritime purpose is limited. for the developer and his program.
In addition, practical limitations on the mobility of humans, In cases where rezoning is inevitable, political and legal
automobiles, machinery, and equipment affect convenience issues will have to be addressed. The developer should re-
and ease of certain uses, especially when coupled with cli- tain an attorney familiar with zoning for these purposes. In
matic differences. Roads, parking areas, and service drives these instances, the consultant should refrain from offering
must be designed to accommodate these limitations. For legal advice for which he or she is not licensed. The con-
instance, if a road must be built on steeply sloped land, it sultant may act as technical advisor to the attorney and
may not be easily negotiated by an automobile. In climates developer. However, unless the consultant is extremely ex-
where snow and ice are a factor, such a road may be ren- perienced with local regulations, he or she rarely becomes
dered impassible for days or weeks at a time. The slope of involved in the details of the zoning laws. It is important
sidewalks and trails must accommodate human capabilities. to note, though, that the land design team will become
Long, steeply sloped walkways and stairways from streets involved with the interpretation and application of zoning
and parking areas may not only be a hindrance to occu- ordinances and comprehensive plans. These interpretations
pants, it may prove a market deterrent as well. In many are usually as important as the laws themselves and become
instances, the law requires that access by people in wheel- central to evaluation of the development for approval.
chairs must be considered. Graded slopes must safely ac- This chapter describes the important studies performed
commodate maintenance equipment, such as mowers. for the developer, leading up to the conceptual planning
While site grading during construction attempts to elimi- and detailed engineering design required for the prepara-

6 䡲 ENGINEERING FEASIBILITY 95
tion of construction documents. It explains their purpose a parcel, land purchase contracts under consideration by
and utility to both the developer and government agencies the developer should include zoning contingency clauses
and includes discussion of the steps involved and resources such that if approval is not granted by the governing body,
needed to perform the analysis. Not all of these studies are the developer is released from the obligations of the con-
performed by the developer’s principal consultant, although tract.
they must understand the information in the study and im- Because the seller wants to both obtain maximum price
plications for planning and design. However, the land de- for his land and sell the land in a reasonable amount of
sign team should be involved at the earliest possible time time, the study period specified in the contract may only
to coordinate the activities of professionals in other disci- be on the order of months. The buyer may be able to ne-
plines. gotiate a longer time period within which to conduct the
analysis. Normally, however, the buyer must be willing to
ENGINEERING FEASIBILITY STUDY1 compensate the seller for extraordinary periods of time. A
The engineering feasibility study is a critical step in the higher purchase offering may be needed to extend the
development process and ideally is performed before the buyer’s purchase option period. Because of the financial
actual purchase of land. The information produced by this risk, the client needs accurate information in short period
study is needed in assessing a potential development site’s of time. The decision to exercise a purchase option will be
constraints and opportunities. The results are used to eval- based on the information in the analysis/assessment study.
uate physical, environmental, regulatory, or other con- Most experienced developers will know the lowest value
straints that must be overcome or accommodated in of a cost per unit that renders the project uneconomical. In
constructing the intended use. The results of this study practice, the developer may study several alternative uses
often affect the purchase price of the property, which is based on the information compiled during the assessment
frequently based on presumed development potential. Un- period. This helps determine what uses are economically
educated assumptions about development potential fre- feasible or whether the land development project can be
quently prove to be in error because of physical, locational, profitable. Yield studies may also be performed in conjunc-
or external characteristics not properly considered. tion with each feasibility study. Depending on the skill of
The study is also important in providing legal protection the people involved, a poor site may be made profitable. In
to the prospective owner or developer. The undetected some heavily developed areas, there may be few options
presence of flood plains, underground utilities, and other among alternative tracts of land. Land often was bypassed
constraints such as hazardous waste sites, contaminated during earlier stages of a community’s urbanization because
soils or groundwater, or underground storage tanks could it had characteristics that made it less suitable for devel-
subject the owner to expensive cleanup operations or liti- opment. However, as years passed, surrounding properties
gation under federal laws. and areas more distant from urban centers were developed.
The developer will use information from these prelimi- Many of the bypassed sites have increased in value because
nary studies to procure loans and to present to other in- of their location and the presence of public infrastructure.
dividuals engaged in making project-related decisions. For Such sites may now be candidates for development if the
this reason, the acquisition/feasibility study should be com- higher development costs associated with environmental
pleted before the actual purchase of the land. The developer features can be compensated for by greater yield and prices
should insist on having a study period established as a con- now prevalent in its market.
tingency clause in the purchase contract. The purchase of
Scope and Process of the Study
the land may hinge on the information in the study as well
as other contingencies. Time and money are the major con- The study must be well organized and usually supported
cerns of the developer. The study is performed with devel- by maps, photographs, and other graphics. It is often, but
oper’s funds. If the developer elects not to purchase the not always, presented in report form, although annotated
land, this is money that will not be recouped from the pro- base and topographic maps may suffice, depending on the
ject. For this reason, it is to the developer’s benefit to incur complexity of the proposal. Any biases or opinions by the
as little expense as possible at this early stage. Some pur- author should be included only at the request of the client
chases may be contingent on whether a rezoning or other and stated as such. The document will serve as evidence
application (such as special exception, variance, or subdi- should any discrepancies arise or if lawsuits are filed as a
vision) is approved. Others may hinge on whether a mini- result of claims for incorrect information.
mum number of buildable lots can be obtained. It should The intent of the study is to identify development con-
be emphasized that where there is a clear intent to rezone straints along with options available to minimize those con-
straints. The study does not always specify preferred
solutions. Those will be addressed later, if and when the
1
An example of an engineering feasibility study report appears at the end of this
developer considers the site to be suitable for development.
chapter. The reader is referred to this report to get an idea of the types of graphics Some site constraints, when recognized early in the process,
and information discussed throughout this chapter. can be accommodated by the plans and used to the advan-

tage of the site and developer. The consultant can devise cerns. Such items have a significant impact on how the land
ways to modify the constraints into amenities or to some is developed and how successful the project will be. For
other advantage. purposes of this section, the research and analysis associ-
In one project, a wetland area was initially perceived as ated with an engineering feasibility study are categorized
a major constraint. However, the constraint was turned into into three types of information:
an opportunity by incorporating the wetland area as part
of a golf course where footbridges were used to navigate 1. Legal condition of the site
around the water hazard. Whereas the reviewing agencies 2. Physical condition of the site
were initially opposed to most developments that impinged
on the wetland area, incorporating it as an amenity helped 3. Regulatory concerns of the site
to convince the agencies to approve the overall project. Legal. Title investigation must be performed by an attor-
The study approach varies with the developer’s inten- ney or land title insurance company for the developer to
tions and preconceptions and circumstances related to the ensure that the landowner holds a fee estate in the subject
property. If the developer knows exactly what land use will property. The following title and other property information
be constructed on the tract of land and the zoning is com- must be reviewed in order to determine constraints of the
patible with that use, the feasibility study will analyze the site:
site in accordance with that use and zoning. If the use is
uncertain, the study will identify land use options based on 䡲 Land ownership records, including property de-
the potential of the land. The potential of the land considers scription (using metes and bounds or government
the ultimate density in the context of the property’s existing survey method). Do these match the scope of the project?
and master-planned zoning, the existing infrastructure, and Will land be excluded from the project and do subdivision
public facilities. The developer may wish to consider several regulations allow such an exclusion? Is the property contig-
options; the consultant may need to perform several feasi- uous or are there portions of the property separated by
bility studies if there is a significant variation in land use rights-of-way or other properties?
permitted by the possible zoning.
䡲 Chain of title traced back to creation of tract
The results of the study will provide information to the
boundaries or adoption of local subdivision regula-
developer as an aid in deciding the most appropriate course
tions, whichever is earlier. A title company usually per-
of action. It will also be used to determine whether the site
forms a title search to ensure, and ultimately insure,
warrants further analysis. If the problems associated with
that the chain of title has not been broken. However,
the site appear too difficult and expensive, the project will
the purpose of the land design team’s analysis is to de-
be abandoned or the price of the land will be adjusted.
termine the applicability of local development regula-
Frequently, the client will require a cost estimate for the
tions. Has the subject parcel been legally subdivided from
construction of certain items in the study, such as utilities
its parent tract (that is, with government approval if such
and road improvements. Additionally, unusual or extraor-
approval was required at the time the parent tract was
dinary costs will be identified and estimated. This will help
split)?
in assessing the economic evaluation of the site. While the
study is not intended to offer solutions to site problems, 䡲 Deed conditions, restrictions, or covenants that
the feasibility study will present the problems to be ex- could affect future use and enjoyment of the property.
pected if the site is developed. A properly executed and Is the proposed use prohibited by deed? What private deed
documented study is an invaluable resource in preparing restrictions are imposed on the final land use, such as lot
for subsequent phases. Items identified in the feasibility size, setback from property boundaries, architectural style,
study will help in the layout of the site, including roads, or building material? Is any portion of the tract, such as a
developable areas, and open space areas. Off-site require- lot around an existing dwelling, to be reserved for the ex-
ments must also be considered, such as easements or utility isting owner?
extensions that will affect site development. The decision to
䡲 Prior recorded plats, including government takings,
proceed will be based on information revealed in the en-
boundary adjustments, and subdivision plats. If there is
gineering feasibility report.
an existing subdivision plat of record, what is its status?
Required Information Can it be used to advantage; can the lots be developed and
sold? What are developer’s responsibilities concerning plat-
The engineering feasibility study requires a comprehensive
ted public improvements, such as streets and storm drain-
collection of all information that could affect the site and
age? What other requirements would apply? Identify local
its development. This includes information about its legal
procedures for street or plat vacation.
condition, such as easements, land rights and other prop-
erty encumbrances, its physical condition, such as topog- 䡲 Records of easements appurtenant (usually provid-
raphy, soils, utilities, drainage, external influences created ing access to or through the property or adjoining
by neighboring properties and uses, and regulatory con- properties) and in gross (usually energy or communica-

tions transmission lines), showing purpose and holder 䡲 Encroachments from structures on adjoining prop-
of the easement. What rights are accorded the holder and erties
what limitations are placed on the developer’s use of the
䡲 Presence of landlocked parcels and other properties
easement? Can easements be abandoned or relocated?
adjoining the subject property. These may require ex-
Physical. The research and review of the site physical at- tensions of roads and utilities as part of a development
tributes and constraints include the site location, access, plan (see Figure 6.1).
topography, drainage, vegetation, soils, and utilities. The
䡲 Public road frontage and property access informa-
following information must be assembled and reviewed to
tion. Who is responsible for maintenance and repairs of
determine the physical constraints and opportunities of the
frontage and access roads? Is the property’s frontage on a
site:
public road sufficient for gaining proper access to the fu-
䡲 Configuration and area from tax maps and tax re- ture development? If there is no frontage, are access rights
cords. Is this mapping, site area, and ownership of way to public roads of sufficiently short length and ade-
information consistent with the title information? quate width to accommodate local street requirements.
These standards include width, grade, drainage, and maxi-
䡲 Existing structures, paved areas, fences, walls
mum cul-de-sac length. Is their sufficient room for con-
䡲 Adjacent properties, including information on own- struction equipment to maneuver? If not, can additional
ership zoning, land uses, and their proximity to prop- land or access be acquired? Will there be adequate sight
erty boundaries distance at proposed entrances, as well as vertical and hor-
F IGURE 6.1 Landlocked parcel, due to property lines, that could necessitate extension of public infrastructure by the developer.

izontal road curves? Is there sufficient frontage to provide ▫ Requirements for detention and retention ponds
proper spacing between road entrances? for stormwater management
䡲 Existing roads, both adjacent and across from sub- ▫ Adequate outfall (easements) and ownership of
ject property, and road conditions. Include right-of-way existing structures
width, pavement width, site distance at hills and
▫ Location, size, depth, and condition of existing
curves, sidewalks, curb and gutter, and drainage swale
pipes
information. Indicate conditions that may hamper flex-
ibility in site design. For example, requirements for ▫ Requirements for non-point pollution control
minimum spacing between intersections on the abut- and best management practices (BMPs)
ting roadway may limit potential entry points to the ▫ Overland relief constraints from downstream
development. Large trees at the edge of pavement may properties and potential overland relief constraints
prevent widening or draw public opposition. Will any of the subject site to upstream properties
existing streets or rights of way require abandonment or
vacation? ▫ Location of wetlands and other sensitive envi-
ronmental areas (from National Wetlands Inventory
䡲 Highway noise influences: maps) or other mapping
▫ Will existing and proposed highways in the vicinity
of the site generate highway noise that should be miti- 䡲 Vegetation:
gated? ▫ The location of large trees, areas of tree cover,
including a review of the quality and type of exist-
䡲 Site topography: ing trees, should be determined.
▫ In performing a topographic analysis, identify
streams, swales, ridges, and similar landforms and 䡲 Soils information, including types and characteris-
features. Identify steep slopes, where grading may tics:
be expensive or prohibited (greater than 15% and ▫ This information may include bearing strength,
25%), excessively flat areas (less than 2%) where stability, shrink/swell potential, perched water table,
storm and sanitary sewer drainage may be difficult presence of naturally occurring asbestos, radon po-
or expensive to achieve. Show incremental break- tential, suitability with regard to building founda-
down of intermediate slopes to assist in plan layout. tions, culverts, utility trenching, and erodibility.
(See report at end of chapter for topographic analy- Consider soil percolation characteristics; do soils indi-
sis.) cate the need for extensive earth movement and place-
ment of engineered foundations on compacted fills?
䡲 Storm drainage: Where soils of questionable suitability are identified,
▫ Drainage basin and watershed within which the the consultant should recommend that further in-
property is located; unique restrictions or conditions vestigation and testing be performed by a geologist
applicable to development or other expert.
▫ Description of on-site drainage patterns 䡲 Sanitary sewer information, including:

▫ Location or plans for regional stormwater man- ▫ Agency with ownership and approval authority
agement facilities; timing of public improvements
▫ Sewershed in which the property lies; available
▫ Existing floodplains from local jurisdiction, capacity, projected demand, local restrictions con-
United States Geological Survey (USGS)/Federal cerning sewer allocation
Emergency Management Agency (FEMA) reports
▫ Location, size, depth of, and distance to existing
▫ Potential for flood plain when stream is present. lines
Small streams and swales not flowing continuously
▫ The age and condition of existing lines in order
throughout the year may still need to be analyzed
to evaluate whether current materials are compatible
for their flood capacity.
at connection points and whether the type of pipe
▫ Probable locations and sizes of culvert and out- will be structurally adequate for proposed uses over
fall improvements due to increased runoff from de- the line
velopment
▫ If not on-site or adjacent, the distance to appro-
▫ Downstream problems with drainage; known priate connections, means of access, need for ease-
complaints ments

▫ Responsibility for extension and improvements pane), cable, telephone, and fiberoptic. Are there
and current timing of public improvements; poten- competing companies serving the same area? If so, are
tial for reimbursement from public or private funds, rate structures and builder incentives comparable?
such as other developers
▫ Current and projected levels of service. Are im-
▫ Gravity vs. pumped vs. on-site package treat- provements budgeted, is timing compatible with project?
ment plant Can timing be advanced?
▫ Interference of system construction with other ▫ Responsibility for design, upgrade, connection
utilities/features
▫ Consideration for required easements. Who will
▫ Pro-rate shares/assessment fees obtain?
▫ The age and condition of existing lines in order ▫ Connection fees; when must they be paid?
to evaluate whether current materials are compatible
▫ Electric, telephone, and cable undergrounding
at connection points and whether the type of pipe
requirements, on-site, adjacent, and off-site respon-
will be structurally adequate for proposed uses over
sibilities and contributions
the line
▫ Information regarding the provision of trash re-
▫ On-site disposal issues, including treatment
moval and street disposal, street cleaning, snow
method, soil suitability, drainfield and lot size re-
plowing, and similar services. Are services public or
strictions, impact on project density/lot size, com-
private; are there alternative providers? If trash removal
prehensive plan and ordinance considerations,
is public, is it available to condominiums and commer-
depth to water table. Spot percolation tests may be
cial operations? What is the availability of private con-
required.
tractors for these services?
䡲 Water distribution for service and fire flows, in- ▫ Location, proximity, and planned improvements
cluding: of elementary and secondary schools, means of ac-
▫ Agency with ownership and approval authority cess (pedestrian, school bus, and public transit). Do
sidewalks or trails exist between site and schools; will
▫ Size, location, depth of, and distance to existing interior sidewalks be required in the development? Are
water mains, means of access and need for ease- there school impact fees?
ments. Are off-site easements required to extend ser-
vice? ▫ Requirements and responsibility for installation
and maintenance of streetlights
▫ Water quality, quantity, pressure, and necessary
corrective measures. 䡲 Other aspects of the site such as the following
▫ Responsibility for extensions and improvements, should be investigated:
associated fees; timing of public improvements ▫ Availability, proximity, and planned improve-
▫ Requirements for fire hydrants; water supply ments of emergency services, such as police, fire,
and distribution requirements for fire flow and rescue
▫ The age and condition of existing lines in order ▫ Aircraft flight patterns and noise contours. (See
to evaluate whether current materials are compatible section on Noise Abatement in Chapter 5, Environ-
at connection points and whether the type of pipe mental Considerations for aircraft noise contour
will be structurally adequate for proposed uses over map.)
the line ▫ Unusual on-site and adjacent features, such as
▫ On-site well information, including depth to wa- cemeteries, railroads, and historic properties
ter table, groundwater quantity, water quality, plan, ▫ Earthquake potential, prevailing weather pat-
impact on project density, proximity to dwellings terns, and solar exposure that could affect project
and septic systems, and other ordinance require- design
ments. Test wells may be required.
▫ Research into previous uses, needed to deter-
䡲 Information concerning other public or private util- mine possible underground structures or contami-
ities and services that are essential components of the nating conditions.
development:
Regulatory. Regulatory information must be included in
▫ Service options for energy and communications an engineering feasibility analysis in order to identify the
utilities, such as electric, gas (natural or liquid pro- appropriate processes to allow the proposed development.

These processes will influence the timing, cost, and extent ▫ Development history of the property, including
of community and public involvement in the development records of previous submissions for rezoning, spe-
process. The following aspects of an engineering feasibility cial exception, subdivision, or building permits
study will aid the developer in the assessment of the reg-
▫ The likelihood of citizen opposition and delays
ulatory aspects of a proposed project.
associated with the development process. The expe-
䡲 Planning, zoning and related development informa- rience of the land design team is particularly valua-
tion: ble here. Familiarity with local issues and past
encounters with civic groups can help the develop-
▫ Relevant comprehensive plan and zoning maps
ment team prepare for future conflicts.
and texts. These include growth management ordi-
nances, such as adequate public facilities ordi- ▫ Subdivision and other ordinance regulations pe-
nances, impact fees, and other construction culiar to the site, such as environmental protection
limitations, such as annual building permit caps. In- and dedication, tree preservation, or planting. Can
clude information on miscellaneous fees, such as fil- private streets be utilized? Will there be any assessment
ing and processing, recreation, drainage, etc. When by any local or state agency for road construction? Are
must fees be paid, improvements installed? there requirements for adjoining property owners to
contribute to the cost of constructing streets to service
▫ Current property zoning, proposed zoning, in-
their properties?
cluding uses permitted by right and those requiring
special exception. Describe the purpose of the zon- The land design team prepares base maps of the subject
ing district. Do zoning boundaries divide the subject property in a level of detail and accuracy commensurate
property? What is the relationship of zoning district with the time and budget. The most common map scale to
boundaries to the subject property? use is 1ⴖ ⫽ 100⬘ or 200⬘, although for smaller properties
▫ Requirements for zoning overlay or special dis- 1ⴖ ⫽ 50⬘ may be more suitable. The selected scale should
tricts. Examples of such districts include highway be suitable to show sufficient detail. For many projects the
corridor, historic, transit area, central business dis- 1ⴖ ⫽ 100⬘ to 1ⴖ ⫽ 200⬘ scale range is adequate to show
trict, transfer of development rights, resource pro- the detail and yet limit the number of drawing sheets to
tection or conservation areas. only one or two. The base map is prepared on topographic
maps and shows property boundaries with dimensions and
▫ Comprehensive plan recommendations peculiar intersecting property lines from adjoining parcels. Adjoin-
to the site, e.g., density or allowable land use. Does ing roadways and scaled locations of all other physical fea-
the current comprehensive plan show any roadway im- tures identified in the information survey are also shown.
provements that will impact the site? These will be verified and information expanded in the next
▫ Pertinent requirements of the zoning ordinance. step of the assessment study, the site visit.
These include maximum density or floor area ratio, Based on the information just discussed, a checklist such
minimum or average lot size, setbacks (from project as that shown in Figure 4.2 can be created to facilitate the
boundaries, property lines, lot lines, rights of way, feasible study.
railroads, highways, waterfront, etc.), building
height and bulk requirements, maximum lot cover- Sources of Information
age and open space requirements, off-street parking
and loading, screening buffering and landscaping re- The land design team must become familiar with informa-
quirements. Is right of way of future roadways used tion resources and the local sources of that information.
for density credit? These simplify the investigation of property conditions and
local regulations and eliminate much of the need for orig-
▫ Proposed or pending changes in comprehensive inal research and testing. Throughout the study phase,
plans or development regulations likely to be sources must be documented with particular care, whether
adopted within the project’s life span. What signifi- the source is available public documents or conversations
cant impacts will these changes on the property’s use or with public officials. This is especially important in prepar-
yield? Will the change increase the time it takes to se- ing the final report document, where the consultant’s opin-
cure construction authorization or expose the project to ion must be separated from others’ opinions or established
additional public hearings or government agencies’ re- facts.
view? Of particular value are existing public records. These in-
▫ Grandfathered or vested rights that may be clude published tax maps of the community, which depict
jeopardized by the proposed development. Will the property boundaries, land area, and landowners, along with
project be exposed to requirements far beyond those references to recorded subdivision plats and deeds. An of-
needed for the additional construction or expanded use? fice of land records, court clerk, or similar agency maintains

F IGURE 6.2 Checklist for acquisition / feasibility study.
copies of deeds, subdivision plats, and similar records re- tax maps of the community. Many municipalities have in-
lating to property ownership. corporated geographic information systems (GIS). Conse-
The local planning, public works, building, or transpor- quently, property and infrastructure information may be
tation department often maintains aerial photos of the com- accessible electronically with the proper (computer hard-
munity taken at various intervals. These provide both ware) software systems.
historic reference and indications of recent or current use. Some communities provide topographic maps of the
These photographs often are printed in conjunction with community based on aerial photography. Otherwise, these

F IGURE 6.2 (Continued) Checklist for acquisition / feasibility study.
are available from private sources or can be commissioned in-house records of its previous and ongoing projects near
for each project. In addition, the USGS quadrangle maps the development may contain recent studies or more cur-
are useful for identifying site topography, natural and man- rent information than available from other sources.
made features, perennial and intermittent streams, and Copies of local plans, regulations, and ordinances are
other items of interest to the consultant. In many com- available from these agencies. The community’s comprehen-
munities, the local soil conservation district or state natural sive plan may list local, state, and federal sources for infor-
resources agency publishes soil maps and related informa- mation upon which the plan is based. The transportation
tion. agency may have recent studies of existing traffic counts,
Recent building and development plans, permits, and capacities, and level of service for the road network near
application materials often are kept on file in various agen- the project.
cies, either in their original files with all supporting docu- A local historic preservation agency or society may have
ments or on microfilm or similar medium. Most are compiled a register of historic properties or sites, including
available for public inspection. These provide records of archeological information. The local economic development
previous studies that might apply to the subject property. authority or chamber of commerce provides useful market
Along with public records of construction plans and as-built area information. The local utility companies will provide
documents for public facilities, these records are useful for distribution maps of the service areas.
information relating to underground utilities. These files of- Many federal agencies provide maps of various utility to
ten provide useful information concerning the experiences the consultant team. In addition to USGS and FEMA, these
of previous developers. The development consultant’s own include U.S. Fish and Wildlife Service, Army Corps of En-
gineers, Environmental Protection Agency, and Soil Conser- property is being sold. Ask that dogs and other animals on
vation Service. the site be penned, if possible, as a protective measure.
The level of detail of the study depends on client re- The consultant should be appropriately dressed for the
quirements. Typically, a preliminary yield study will accom- visit, anticipating the weather, brambles and dense brush,
pany the feasibility study in order to obtain an idea of the mud, standing water, poison ivy, insects, snakes, and other
density that can be expected. The level of detail available wildlife. One of the purposes of the field inspection is to
on existing maps and records usually is sufficient for feas- determine the site’s response to rain and runoff. Therefore,
ibility studies. These maps are generally available in a wide it is advisable to schedule at least one visit to the site soon
variety of scales, often ranging from 1ⴖ ⫽ 100⬘ to 1ⴖ ⫽ after storms or spring thaws. The field team can observe
2000⬘. Contour maps with contour interval of 5 to 10 ft ponding, running water, and other surface conditions that
are readily available and acceptable, except perhaps in very otherwise may not be visible.
flat areas, where a closer interval may be desirable. Upon arriving at the site, the consultant should drive the
boundaries of the site, noting landmarks such as fences,
Site Inspection hills, swales, and curves in the roadway that have previously
One of the most important elements of the feasibility study been recorded on the base map. These will serve as points
is the site inspection. Much of the information contained of reference while walking the site and make it easier to
in printed maps often is outdated, reflecting only property record information about the visit. A systematic walking
conditions at a specific date in the past. Physical conditions tour of the site should be planned, taking care to include
change constantly through the action of both man and na- critical natural and man-made features that were previously
ture, and maps may not accurately represent the actual field noted in the office review of site information.
conditions. In addition, contours and other information On the map, note and verify those areas that are impor-
normally shown on aerial topographic maps may be un- tant to the development of the site, as either problems or
clear. The ground may have been obscured by foliage or opportunities. Outline the apparent boundaries between
snow cover, depending on the season of the year, time of different topographical and geological conditions, such as
day, or other conditions at the time that the area was flown. between improved and unimproved areas, stable and un-
A site shown as wooded may in fact have subsequently been stable slope areas, wetlands and dry ground, wooded areas
cleared and graded. Illegal dumping or similar activity may and open fields. Visualize property boundaries, particularly
have taken place. Adjacent properties may have undergone in locations where topography or other circumstances ap-
development since the maps were last produced. Certain pear to create difficulties during development. Depending
features, such as wetlands and small streams, may not read- on the relationship between the site boundaries and topog-
ily be evident. These often require field analysis to verify raphy, construction in these areas may necessitate the ac-
their location. quisition of easements for drainage or equipment access
For these reasons, it is imperative that a field inspection across adjoining properties. Retaining walls may be neces-
be performed as part of the engineering feasibility study. sary at property boundaries if significant grade changes are
The visit is necessary both to verify and to build upon in- required.
formation collected elsewhere. The person visiting the site Areas of interest that should be recorded on base maps
is looking for obvious contradictions with recorded infor- during the field reconnaissance are described below:
mation, as well as evidence that implies conditions not pre- 䡲 Streams, swales, washes, and evidence of confined
viously known. Of particular importance are conditions that running water and intermittent streams, such as unu-
may render the land unusable or impose extreme costs in sual patterns of fallen leaves, vegetation and stones,
the development. soil erosion, uprooted or undercut trees, and areas
Prior to visiting the site, the field personnel assemble and cleared of leaves
prepare information in advance. A base map should be pre-
pared as a composite of the information previously dis- 䡲 Ridges and obvious drainage divides with nearby
cussed, at a scale that can be conveniently used in the field. running or ponding water at lower elevations, indicat-
A clipboard, writing paper, tape measures, scales, watering high water table, springs, and springheads
proof pens and markers, and plastic bags for collecting 䡲 Floodplains, often evidenced by high water marks
specimens should be among the equipment brought to the on shrubs, tree trunks, and low-hanging branches
sight. Field binoculars may also be useful; a camera, pos-
sibly a video camera, and tape recorder are particularly use- 䡲 Ponds, lakes, and other impoundments, again, try-
ing to identify the limit of impoundment
ful for recording observations.
It is imperative that the field visit team make arrange- 䡲 Evidence of pollution or sedimentation in running
ments with the developer, the owner, and any residents of and standing water, from on-site or off-site uses
the site prior to the site visit. Agents of the developer may
䡲 Condition of stream valleys, banks, and shorelines
not necessarily have right of entry if it is not spelled out in
the purchase contract. Unexpected visits may be unwel- 䡲 Marshes, swamps, wetlands, bogs, wet and soggy
come by occupants, who may not even be aware that the areas, noting types of vegetation, areas of matted
leaves, or unusual soil coloration that may suggest fre- dations, and other unusual or unexpected existing or
quent or periodic inundation prior land uses on-site that could limit development
potential, incite community opposition, or delay pro-
䡲 Areas and types of vegetation, boundaries of
ject approval
wooded areas, and stands of trees that might serve as
buffers against adjoining properties, protected species, 䡲 Evidence of trespass and community use of the
large trees and other specimen trees or mature orna- property, such as footpaths, dirt bike trails, picnic ar-
mental landscape materials that may be preserved, ei- eas, and sports fields, which may be an indication of
ther in place or transplanted for subsequent reuse in potential community opposition to the development
the development 䡲 Interesting views within and from the site, areas
䡲 Presence of fish and wildlife and evidence of ani- that might be cleared to enhance views, and views
mal habitats, such as beaver dams and eagle aeries that from adjoining properties onto and over the site
must be considered and protected or that may even 䡲 Character, condition, and use of adjacent property
preclude development of the property and proximity of neighbors and site improvements.
䡲 Cliffs and other unusual landforms indigenous to Record evidence of access easements, encroachment of
certain areas of the country, such as coastal and Great fences and structures.
Lakes dunes, sinkholes 䡲 Current construction activities on or near the site
䡲 Areas of steep slopes, noting vegetative cover 䡲 Evidence of noise, smoke, dust, odors, light intru-
sion, or other activities from sources within the site or
䡲 Evidence and sources of erosion and slope instabil-
nearby uses, such as from nearby industry, highways,
ity, such as leaning trees, poles, fences, broken pave-
railroad crossings, racetracks, hospitals, fire and rescue
ment at top of slope, softness at toe of slope, sharp
stations, schools, commercial areas, airports, landfills,
vertical drops suggesting landslides and other signs of
sewer lines or sewage treatment plants. These could af-
previous slope movement, exposed soil colors fect the site’s value or market appeal. Prevailing winds
䡲 Locations where, based on visual inspection and should be considered in evaluating their impact. Noise
soil map data, additional subsurface explorations (e.g., walls, landscape barriers, or special construction tech-
auger boring, test pits) will be necessary niques and materials may be employed to mitigate po-
tential nuisance. Evidence of significant trash, debris,
䡲 Evidence of strong prevailing winds, such as dis- chemical or oil dumping, burial and storage. Evidence
torted plant and tree growth of unusual odors that may suggest natural decay, sensi-
䡲 Existing pilings and retaining walls tive environmental features, or ground contamination.
䡲 On waterfront property, piers, moorings, and other 䡲 Sight distances at curves and hills adjacent to the
marine uses, access points to the edge of water. Ob- property and probable entrances
serve conditions and uses of adjoining and opposing 䡲 Traffic congestion on adjoining roads and nearby
shorelines, maritime activity, information concerning intersections
water quality, depth, and bottom configuration.
䡲 Condition of surrounding roads and pavement, in-
䡲 Rock outcroppings, which may create problems in cluding paving and shoulder stability and widths,
site excavation for roads, utility trenching, well and roadside swales, curbs and gutters, location of nearby
septic system suitability and foundations. Consider and opposing driveways
their possible use as aesthetic features and points of in- 䡲 Locations of overhead utility and power transmis-
terest to enhance the development’s market appeal. It sion lines
may be possible to stockpile stone and rock for subse-
quent use in erosion and sediment control or for land- 䡲 Manholes, standpipes, vent pipes, signs and other
scape material. evidence of underground tanks, sewers, and transmis-
sion pipes. Isolated areas with poor vegetation in con-
䡲 Condition, size, and location of culverts, outfall trast to their surroundings may be indicative of
channels, and any existing drainage pipes and swales subsurface materials.
䡲 Location, use, and structural condition of build- 䡲 Possible locations of individual and clusters of
ings, paved areas, abandoned wells and other man- buildings, internal roadways, and open-space areas,
made features on the site, whether or not they are to trying to visualize development of the site. Record ex-
be preserved; evidence of flood damage, earth settle- isting and potential means of access to areas separated
ment and movement in walls and foundations by deep swales and ravines.
䡲 Evidence of cemeteries, gravesites, burial grounds, Depending on size and scope of the project, several in-
archaeological and historic sites, battlefields, old foun- dividuals may be required to walk the site. In addition, it
may be necessary to revisit the site with other professionals graphed. As in all photography, lighting and shadows are
whose expertise is indicated by the findings or local re- important to adding dimension. Photographs serve as val-
quirements. Further analysis may be required where prelim- uable reminders when the site analysis is studied back in
inary investigations show the presence of unusual soils or the office. In addition, photographs assist other members
wetland areas. Additional site visits will be needed if the of the development team who were not present in the field.
project moves beyond the feasibility study. Therefore, as Videotaping the site visit also provides a useful reference,
thorough an inventory as possible at this phase will simplify allowing for more interactive commentary about site fea-
later work. However, this must be balanced with efforts to tures and provides a clear record of site conditions prior to
control costs at this phase. These costs must be controlled development. This is useful for comparison to conditions
because of the possibility of project abandonment. during and after construction if legal or procedural conflicts
During the site visit, extensive photographs should be arise. Figure 6.3 shows how site photographs can be refer-
taken. The location and direction of each photo should be enced to the property.
noted on the base map for reference in the office. These
should include photographs of important views and signif- Site Analysis Mapping and Report
icant features. A series of panoramic shots taken from the Data from the site visit must be compared to other recorded
property boundaries is useful for setting points of reference. data. Any inconsistencies should be resolved to verify true
Including people or other items of known size helps estab- field conditions. Of particular importance are discrepancies
lish height, depth, and width of features being photo- in property boundaries and topography. The consultant
F IGURE 6.3 Site photographs cross-referenced with their locations on a map often help others assess potential constraints or liabilities.
clude floodplain areas, unstable or erodible soils or soils of

poor bearing capacity, steep slopes, and wetlands and other
environmentally sensitive areas that local state and federal
regulations accord special treatment. Area measurements of
these encumbrances are recorded both on the map and in
tabular form in the report.
The map should indicate those facilities and improve-
ments that will be necessary, because of function, industry
practice or government regulation, to develop the site.
These include probable vehicular access points, along with
an assessment of improvements to public roads that will be
needed to facilitate safe, convenient access. A consultant
experienced with community policies will know whether
site development will require turning lanes, acceleration or
deceleration lanes, medians, or traffic control devices. Even
if these are not required, the consultant should be familiar
with expectations of consumers and community residents.
The map should note dedications and reservations that the
governing body will require in conjunction with develop-
ment. Connections and required improvements to public
utilities should also be indicated. The map should provide
notations concerning site setback and buffer requirements
along property boundaries.
Along with these site constraints, the map should reflect
significant site opportunities. These should stress references
to the recommendations and guidance of the community’s
comprehensive plan, an indication of the issues that the
development program must resolve. The map should sug-
gest potential amenities that will facilitate development and
enhance project marketing. Important views, stands of trees
at property boundaries, and similar characteristics should
be highlighted.
Site data are also compiled in report form. The report
must be well organized to present each category of infor-
mation studied by the consultant. Sources of information
should be clearly stated, including public officials who have
been interviewed during the feasibility study. The consult-
ant should attach copies of comprehensive plan map or
zoning ordinance language that have unique and direct
bearing on the project. The consultant should identify items
for which administrative waivers appear appropriate and
likely to be granted.
Limitations on the reliability and scope of the informa-
F IGURE 6.3 (Continued) (a) Refuse site #5. (b) Refuse site #7.
tion should be noted. Any opinions of the consultant in-
(c) Refuse site #9. cluded in the report should be clearly identified as such.
In addition, the report’s findings should be qualified as be-
ing preliminary only, withholding any guarantees about po-
should transfer information to a clean base map, which will tential problems that could not have been identified because
be used to report results of the study to the developer. In of the scope or depth of study. The report will be used by
addition, the map becomes an important tool in performing the developer to determine future actions concerning the
yield studies and beginning the design process should the property.
project advance to that phase. The report should clearly identify qualifications to its
The relationship to the site of existing roadways, utilities, conclusions. Sources and timeliness of information, limita-
and other facilities should be shown. Site constraints should tions imposed by time and resources, and lack of applica-
be noted and labeled, using shading, heavy outline, and bility to subsequent projects should be firmly established.
other techniques to identify areas of the site that are totally The report will likely serve as a reference document in fur-
unusable or usable with significant corrections. These in- ther negotiations with the landowner and lender. If the de-
veloper concludes that development is feasible, the can determine if per unit costs are within an acceptable
documentation is useful for those engaged to perform sub- range for local market conditions. The study will also be
sequent analysis and design. In addition, the report serves used as a guideline during the conceptual layout stage to
as documentation of the consultant’s findings, useful in case determine if the land is being used to its greatest efficiency.
of subsequent claims of error or omission. The simplest approach to a yield study is to apply max-
imum densities to the project area. This method first sub-
An Alternative Study Approach tracts all uncountable land from the gross (total) land area,
Generally, it is not possible to conduct the depth and detail to arrive at the net site area suitable for density calculation.
of analysis just described. Time constraints are frequently Note the distinction between uncountable and unbuildable
imposed by dynamics of the real estate marketplace and the land. The former accounts for acreage not eligible for den-
competitive nature of the land development industry. De- sity calculation as defined by the local zoning ordinance.
cisions to move ahead must be made quickly during short The latter is land composed of certain physical character-
purchase option periods in order to take advantage of fa- istics that cannot be corrected and that make construction
vorable land prices or other conditions. Monetary con- impossible or impractical. For instance, most local subdi-
straints are always a factor in land development, where vision regulations provide that floodplain land may not be
financial gain is likely to be several years off and cost con- built upon; some require that it be dedicated to public use.
tainment always an essential consideration. The studies de- However, zoning ordinances in many of these same com-
scribed represent a considerable expenditure of funds, an munities may grant the developer density credit for a por-
up-front expense that may be incurred several times in the tion of the land in floodplain. The uncountable land
analysis of various sites and projects. therefore may comprise only a percentage of the acreage to
To provide the broadest range of services to the land be set aside. Again, depending on local ordinance, land re-
developer, the land design team must learn to develop an quired for abutting street right of way widening or land area
abbreviated approach for a engineering feasibility study. with terrain in excess of certain gradients may be excluded
Such an approach would typically include the essential fac- as uncountable land in calculating the potential yield of
tors that relate to a parcel of land. These could include: given acreage. Unbuildable land may include portions of a
site characterized by unsuitable soils, underlying bedrock
䡲 Identification of proper zoning or the ability to conditions, or excessive slopes whereby simple construction
rezone economics warrant it as unbuildable yet the land may be
eligible for density calculation from the standpoint of the
䡲 Location and adequacy of utilities and essential ser-
local zoning ordinance.
vices
For example, assuming a permitted density of four units
䡲 Access per acre, a 10-acre property with 1 acre in required road
right of way widening and 2.5 acres of floodplain may be
䡲 Topography, soils, environmental and sensitive fea-
projected to yield 26 lots in a jurisdiction that precludes
tures, defining the usable area
right of way and floodplain from density calculations. In
䡲 Site visit this case, the uncountable area comprises 3.5 acres of the
10-acre parcel. A like-size parcel with the same uncountable
Throughout the analysis, the development team seeks to land area but also containing 3 acres of significant rock
identify elements of concern, either physical or political, outcrops and slopes in excess of 30% (i.e., unbuildable
that suggest that the land is or is not unsuitable or that a area) while technically entitled to the same 26 lots, would,
project is or is not practical. The experienced consultant on average, require smaller lots or a different unit type to
begins each new study with a prioritized list of items in the achieve a comparable yield.
investigation. Through experience and frequent involve- In the case of residential land, the resulting net area is
ment with local land use processes and decision-makers, it multiplied by the density allowed in the regulations for the
becomes possible to determine early in each study when proposed zoning district. (For nonresidential land, total
the investigation should be terminated. Each consultant ar- building area is derived by multiplying the countable area
rives at a level of expertise, or comfort level, that allows by the floor area ratio permitted in the district.)
relatively educated snap judgements to be made. Regardless The number of units derived by this method usually es-
of whether the developer then moves ahead with a partic- tablishes the high end of the range for probable yield. It
ular project or abandons it, the analysis can be viewed as does not account for open space, subdivision streets, storm
a justifiable expense. water management facilities, or other components of a de-
velopment that occupy land to the exclusion of other uses.
Yield Study Other factors affect the achievement of full development
A yield study is often performed at this stage, upon request potential. For instance, this approach does not reflect the
of the developer, to determine the probable intensity of de- practical difficulties of accommodating units precluded
velopment for the property. By knowing the total develop- from unbuildable land. Characteristics of parcel size, shape,
ment potential that can be achieved on a site, the developer and topography also limit the number of lots that can be
achieved. Small, irregularly shaped parcels are difficult to part of the parcel and project. With cluster provisions of
develop efficiently; hilly terrain also limits opportunities to the zoning or subdivision regulations, the site layout can
maximize development potential without extensive, and ex- often approach full yield. Cluster allows for the recapture
pensive, clearing and grading. of units that otherwise may be lost due to unbuildable land
A more accurate reflection of residential site yield results or unusual configuration.
from determining total buildable area of a tract. This cal- Trial layouts are time-consuming, and the time available
culation is then adjusted to account for land that will be during the developer’s feasibility option phase may be in-
used for streets and other public dedication or lost to insufficient. Described fully in Chapter 7, preparation is an
herent inefficiencies in layout. An adjustment factor of 20% iterative process. However, by considering a site’s physical,
is reasonable. The resulting area is then divided by the lot locational, economic and regulatory characteristics, trial lay-
size, either allowed in the zoning district (which may be outs provide the developer with the most realistic assess-
specified as a minimum or minimum average) or required ment of a parcel’s value and potential. The opportunity to
by the builder (in order to accommodate the product), to consider several layouts offers an early indication of the
arrive at probable yield. Table 6.1 is useful as a rule of type and form of development possible. When coupled with
thumb for estimating site yield per acre for a single family an early estimation of potential development costs and eval-
detached development. uation of the likelihood of project approval, inclusion of
For greatest accuracy, and for non-single-family projects, trial layouts in the feasibility study is an important tool.
a series of trial sketches prepared on an overlay of the base Estimating project yield by any method requires skills
map is often the best approach to a yield study. This is and confidence, which evolve only through experience.
especially important where cluster development is possible Without that experience, both with project design and with
or desirable (cluster allows for reductions in lot size while local regulatory involvement, unrealistic estimations can be
maintaining the density permitted by the property’s zoning). misleading to the developer. False estimations at either ex-
Quick calculation and rule-of-thumb methods assume that treme can result in financial loss or lost opportunity. There-
a conventional subdivision layout is proposed. If the local fore, the consultant must avoid the temptation to use
subdivision (or zoning) regulations have provisions for clus- shortcuts and conjecture. If the yield study is not within
ter development, a trial sketch is needed to estimate project the scope of services agreement with the developer, one
yield. With cluster methods greater flexibility in street and should not be performed. In addition, site yield varies with
lot layout can be achieved. This technique encourages the the ability of the development team, resources of the de-
developer to avoid and preserve sensitive and other un- veloper, and market demand for a product to accommodate
buildable areas while acknowledging that those areas are a difficult site conditions. Thus, any yield study that is per-
formed should be reflected as a range of units, specifying
conditions that must be overcome during project imple-
mentation.
TABLE 6.1 Estimating Single-Family
Because of the important role that construction costs
Site Yield play in project feasibility, and the impact of environment
CONVENTIONAL SUBDIVISION LAYOUT and regulation on those costs, a land development con-
sultant should have a general understanding of construction
AVERAGE LOT SIZE AVERAGE YIELD (LOTS PER
economics. Consideration must weigh the final price of
(FT2) BUILDABLE ACRE)
units against the cost of acquisition, engineering, and con-
6,000 to 8,000 4.5 struction. There are always several alternatives for devel-
..................................................... oping the site, and certain tradeoffs will be available. The
8,000 to 10,000 3.5 assessment of these tradeoffs requires knowledge of relative
.....................................................
costs. In addition, certain characteristics of development
10,000 to 12,500 3.0
..................................................... projects affect market absorption, the rate at which units
12,500 to 15,000 2.7 are sold or leased, and the period within which the devel-
..................................................... oper recoups the investment. The developer will base the
15,000 to 20,000 2.3 decision to continue or abandon the project on an estima-
.....................................................
tion of costs to correct site problems. The cost analysis per-
20,000 to 25,000 1.5
..................................................... formed at this time will be general because of the nature of
25,000 to 30,000 1.2 the information researched. However, it should be suffi-
..................................................... ciently detailed to enable the developer to make a well-
30,000 to 40,000 0.9 educated decision.
.....................................................
The developer anticipates a certain intensity of devel-
40,000 to 50,000 0.7
opment in order to recover costs and earn a profit. These
Reproduced with permission from J. Dechiara, and L. Koppelman, Site costs include land acquisition, project engineering, hard
Planning Standards, McGraw-Hill, New York, 1978. construction costs for public facilities and the building

product, fees, and interest-carrying charges for the land 䡲 U.S. Department of Agriculture, Soil Conservation
throughout the project. Using proprietary formulas that cor- Service Soil Survey
relate investment, demand, preference, and return, the de-
䡲 U.S. Fish and Wildlife Service National Wetlands
veloper can evaluate finished costs, project unit size and
Inventory (NWI) mapping
price range in order to recover these costs. If the projected
selling price needed to recover cost is out of line with either 䡲 U.S. Geological Survey (USGS) mapping
market demand or affordability, then reevaluation of the
䡲 Utility plans
project is needed.
If the developer concludes that the project is economi- 䡲 Comprehensive (master) plans
cally viable, he may elect to proceed with the development
䡲 Road network plans
application process. The information assembled in the feas-
ibility study is an important foundation upon which to As in any engineering feasibility study, but most impor-
build subsequent investigation. With issues identified for tantly in the site selection study, the elements that are most
further analysis, it enables the consultant to assemble a important to the client’s program need to be identified and
team of development specialists whose expertise is specifi- prioritized. While many criteria are of equal importance,
cally geared to solving problems essential to project design. often the land use criteria are the first reviewed. Zoning is
This helps in the preparation of the project work program a major factor in whether the program can be located on
and budget, on which are based estimation of manpower the property. Consideration must be given to the time nec-
and resources needed, the type of development proposed, essary to amend the land use map or rezone the property
issues that must be resolved, and time needed for approval. if the intended use is not permitted by right. This is doc-
umented and presented to the client as the first piece of
Site Selection Study
information. The time to amend a comprehensive plan or
Occasionally there may be several sites available with the rezone a piece of property, as well as the interaction with
potential to fit the development program. In such cases, the governing body and coordination with the citizens, may
some process needs to be used to compare and contrast the eliminate a site for consideration early in the evaluating pro-
physical and regulatory factors that affect the development cess.
program for each of the properties. This process, a site se- After zoning and land use issues, many other factors can
lection study, determines which property, if any, is best affect the selection of the site. In some instances, site char-
suited to accommodate the client’s development program. acteristics can be overcome during the development of the
In order to present the information in a fashion that allows site. If the soils can be used for the development of the site,
the client to evaluate different sites in an unbiased manner, then grading alone can eliminate slopes, hills, and valleys
a standardized narrative and graphic format needs to be to produce a desirable and functional area. This must, how-
developed, with data compiled consistently for each site. ever, be weighed against the vegetation on the site. Grading
The site selection study involves an engineering feasibility the entire site destroys stands of vegetation.
study for each property. However, the information con- Environmental characteristics of the site also need to be
tained in the site selection study must be obtained in a
determined and evaluated against the client’s program. Wet-
consistent manner in order to compare the properties
lands, floodplains, and Level I environmental assessments
equally.
(ESAs) determine the available area suitable for develop-
To determine the development opportunities and con-
ment. Again this information will be available from the en-
straints associated with each property, the following site-
gineering feasibility study, but it needs to be presented in a
related issues need to be reviewed:
consistent manner for comparison.
䡲 Property location and ownership Capacity of the infrastructure is often the most critical
to the development potential of a site, and upgrading the
䡲 Land use and zoning and master plan infrastructure can be a significant cost to the client. The
䡲 Physiographic and environmental characteristics major components of the infrastructure are utilities and
transportation. The availability of water, sewer, power, and
䡲 Order of magnitude development costs telephone is usually determined in the site assessment
Information can be obtained, where available, from pub- study, but the unique aspects of the client’s program for
lished documents such as: special utility requirements need to be assessed as a portion
of the site selection study. Additional power capability for
䡲 County tax assessment maps computers, dual feeds, telephone expansion, and security
are all possible elements that might need to be considered
䡲 County topographic, soils, and floodplain mapping
as part of the matrix. Again, these factors are to be com-
䡲 Previous actions on the property, such as rezoning pared on a site-to-site basis.
applications, special exceptions, subdivision plats, and The ability to provide adequate access to the site is also
site plans a consideration in any site selection study. Not only does

the existing and proposed road network need to be consid- criteria. Table 6.3 is a compilation of the criteria for each
ered, but so do rail, bus, air and water, or any other means alternative site. Selecting the property best suited for the
of transportation that might be critical to the client’s pro- program is ultimately a business decision for the client.
gram. Such access may be a part of the overall master trans- Each item does not necessarily have equal weight in terms
portation plan for the jurisdiction. While this may provide of importance or priority, and only the client knows what
the improvements necessary for the development of the the relative weight of importance or priority of the items
property, the timing of the improvements is crucial. are in terms of his best interests or situation. The land de-
Not only are the factors that affect the development of sign consultant supplies the data for the client to analyze
the site important to the client, but so is the ability of the to make the selection.
client’s program to be flexible and adjust to the site. A rigid
site layout or program could, by itself, eliminate a site from OTHER IMPACT STUDIES
the selection process. The engineering feasibility study and Other studies may be required by the local governing body
associated yield study will present the development poten- to determine the impact of the proposed development on
tial of the site. A comparison between the yield study and the community, environment, or public infrastructure.
the client’s program will determine the amount of adjust- These typically are performed after the proposed use and
ment and the ensuing flexibility required to merge the cli- development plan has progressed towards its final stages.
ent’s program to the different sites. The greater the flexibility However, in many cases, the output from these studies is
in the program, the better the chance the program can fit considered during development applications to determine
to a site. Lastly, as stated earlier as part of the engineering the appropriateness of the use or intensity. Often, it is used
feasibility study, the cost to develop the site is a critical to determine appropriate dedications or improvements, as-
element in the feasibility of the site. Not only are the de- sess impact or similar fees, or set a timetable for the staging
velopment’s construction costs important in a site selection of development.
study, but so are the relative construction costs associated Land development specialists other than the design con-
with bringing the sites to a comparable level. If a few ad- sultants often perform these studies. However, they are
ditional dollars need to be spent on a site (or on the infra- mentioned here because many of the data inputs collected
structure for a site) that does not require rezoning or any for the feasibility study are used in subsequent analysis. In
land use time, then the additional dollars may be less ex- addition, the outcome of these studies could affect project
pensive than the time to go through the planning process. feasibility. This is especially true where known constraints
While the client often does not own the property until it is in public systems or issues of community priority may have
zoned and does not have a great carrying cost on the land direct bearing on the use and yield of development sites.
loan, rezoning is still a time-consuming process that results These studies are discussed in greater detail in the context
in a lost (or delayed) opportunity to make money on the of project design in Chapter 7, since information from the
project. In some cases the site selection study may have a plan is required to conduct the study.
criterion for site availability. Is the site available now for
development, or are there steps and time required before Traffic Study
development can begin? In that case, the only way to make Traffic studies often are required as part of the submittal
the site immediately available may be through spending package for a rezoning or special exception application.
some money to make it acceptable as an element of review. They serve two primary purposes. The first is to identify
Money may have to be spent to improve the access or pro- potential impact of the proposal on the transportation sys-
vide utilities and thus avoid having to go through the re- tem in the general area of the development. Secondly, the
zoning process. study looks specifically at potential impact on roads and
The sites’ characteristics and all of the information af- intersections in the immediate vicinity of the project. In
fecting the development program that was obtained in the communities that assess impact fees on development or op-
engineering feasibility study need to be presented uniformly erate under an adequate public facilities ordinance, a traffic
for each proposed site. This information should be evalu- study may be required for subdivision and building permit
ated based on how it affects the development program be- approval as well.
fore you can determine the potential of the site. Once all In addition to its review in consideration of project ap-
of the data are collected, a value or rank is assigned for proval, the results of the traffic study serve to indicate sys-
each factor. A matrix can then be used to collectively show tem improvements to mitigate project impact. For instance,
the information in order to evaluate each property. the need for additional right of way for road widening or
An example of the procedure is shown in Tables 6.2 and turn lanes may be a consequence of the study. This may
Table 6.3. Table 6.2 lists the criteria pertinent to one par- affect project yield by encumbering otherwise developable
ticular development program. The type of shading of the land. The local governing body also may use the study to
boxes indicates the basic differences of each item. Each po- support operating restrictions on certain uses to increase
tential tract of land is then evaluated based on the listed the efficiency of the existing system.

TABLE 6.2 Criteria and Values for Elements of the Site Selection Study
PLANNING CRITERIA
Existing zone 䡵 Zoned for intended use

䊓 Zoned for nonresidential use
䡺 Zoned for agricultural/residential
Adjacent land use 䡵 Adjacent uses office/mixed use
䊓 Adjacent uses nonresidential
䡺 Adjacent uses agricultural/residential
Consistency with comprehensive plans 䡵 Specific use consistent with comprehensive plan
䊓 General use consistent with comprehensive plan
䡺 Use not consistent with comprehensive plan
SITE CHARACTERISTICS
Topography 䡵 Relatively flat site ⬍5%

䊓 Moderate slope constraints 5–15%
䡺 Significant slope constraints ⬎15%
Drainage 䡵 Single drainage shed
䊓 Several drainage sheds
䡺 Numerous drainage sheds
Soils/Substances 䡵 Minimum grading/excavation problems anticipated
䊓 Moderate grading/excavation problems anticipated
䡺 Significant grading/excavation problems anticipated
Vegetation 䡵 Significant native vegetation for landscape buffer/character
䊓 Moderate native vegetation for landscape buffer/character
䡺 No native vegetation for landscape buffer/character
Structures 䡵 No existing on-site structures
䊓 Existing structures of marginal value/concern
䡺 Existing structures of significant value/concern
ENVIRONMENTAL CHARACTERISTICS
Wetlands 䡵 Minimum wetlands constraints (approx. less than 1 acre of care

area)
䊓 Moderate wetlands constraints (approx. between 1 and 10 acre of
care area)
䡺 Significant wetlands constraints (approx. more than 10 acre of care
area)
Floodplain 䡵 No floodplain
䊓 Floodplain but not impact on care development area
䡺 Floodplain within care development area
INFRASTRUCTURE—UTILITIES
冧
Power
Water supply 䡵 Available capacity on-site or immediate proximity
Sanitary sewer 䊓 Available in general vicinity
Communications 䡺 Capacity not available in general vicinity
Natural gas

TABLE 6.2 Criteria and Values for Elements of the Site Selection Study (Continued)
PLANNING CRITERIA
INFRASTRUCTURE—TRANSPORTATION
Existing roads 䡵 Two or more existing roads available to access/egress site and
major regional arterial/freeway in close proximity
䊓 Two or more existing roads available to access/egress site
䡺 One existing road available to access/egress site
Site access 䡵 No encumbrances to two points of access/egress
䊓 Limited encumbrances to two points of access/egress
䡺 Both access/egress points significantly encumbered
Proposed roads 䡵 Multiple master planned or existing roads adjacent core development
area and regional arterial/freeway in case proximity
䊓 Two master planned roads or existing road adjacent care develop-
ment area
䡺 One master planned road or existing road adjacent to care devel-
opment area
Mass transit 䡵 Rail and bus available
䊓 Bus available
䡺 No mass transit available
Rail 䡵 Rail line immediately adjacent to site
䊓 Rail line in general vicinity
䡺 No rail line in general vicinity
Flight paths 䡵 No flight path near site
䊓 Flight path near site but flight altitude
䡺 Flight path nearby and low altitude
PROGRAM FIT
䡵 Program fits/additional acreage provides location flexibility
䊓 Program fits/limited location flexibility
䡺 Program does not fit
R.O.M.* COSTS
䡵 Excessive or unusual cases
䊓 Ranking 1 through 9 low cost to high cost
䡺 N/A—non-applicable
The traffic study consists of four basic elements: widening, turn lane improvements, and traffic control
signs or signalization
1. System capacity and level of service analysis
2. Background traffic assessment, an analysis of exist- School/Pupil Generation
ing traffic that also considers traffic generated by pend- In communities experiencing overcrowding in classrooms,
ing projects and potential projects for which rezoning the ability to develop a site may often be jeopardized where
approval is not required project approval depends on available capacity. The devel-
opment application may include requirements for a pupil
3. Projected traffic generation for the proposed devel-
generation study to be performed by the development team.
opment, including probable origins or destinations and
This examines the impact on the public schools system by
modes of transportation
the new development. Through the analysis, the developer
4. Analysis of adjoining roads and nearby intersec- may be able to demonstrate that because of characteristics
tions to determine need for right of way or pavement peculiar to the project, demand for available capacity may

TABLE 6.3 Matrix Comparison of Properties

CRITERIA ALTERNATE SITES
A B C D E F G H I
Planning criteria
Existing zoning 䊓䊓䊓䊓䊓䡵䡺䡺䡺
Adjacent land use 䡵䡵䡵䡵䊓䊓䡺䡺䊓
Consistency with comprehensive plans 䊓䡵䊓䡺䡺䡵䡺䡺䊓
...........................................................................................................................
Site characteristics
Topography 䡵䊓䊓䊓䡵䡵䡵䡺䡵
Drainage 䊓䡺䊓䊓䡵䡵䊓䊓䊓
Soils/subsurface 䊓䊓䊓䡺䊓䊓䡵䡺䡵
Vegetation 䡺䡵䊓䡵䡵䊓䊓䊓䊓
Structure 䊓䡺䡺䊓䊓䊓䊓䊓䊓
...........................................................................................................................
Environmental characteristics
Wetlands 䊓䊓䊓䊓䡵䊓䡵䊓䡵
Floodplain 䊓䊓䡺䊓䡺䡵䊓䡺䊓
...........................................................................................................................
Infrastructure—utilities
Power 䊓䡵䊓䡺䊓䡺䡺䡺䊓
Water supply 䡵䡵䡵䊓䊓䡵䡺䡺䊓
Sanitary sewer 䡵䊓䊓䊓䊓䡵䡺䡺䊓
Communications 䊓䊓䊓䊓䊓䡺䡺䊓䊓
Natural gas 䡵䡵䡵䡺䡺䡵䡺䡵䡺
...........................................................................................................................
Infrastructure—transportation
Existing roads 䡵䡵䡵䡺䊓䡵䡺䊓䊓
Site access 䡵䡵䡵䡵䡵䡵䊓䡺䡵
Proposed roads 䡵䡵䡵䊓䊓䡵䡺䡺䡺
Mass transit 䡺䡺䡺䡺䡺䡺䡺䡺䡵
Rail 䡺䡺䡺䡺䡺䡺䡺䡺䡵
Flight paths 䊓䊓䡺䊓䡺䡵䡵䡺䡺
...........................................................................................................................
Program fit 䡵䡵䡺䊓䡵䡵䡵䡵䡵
...........................................................................................................................
R.O.M.* costs (ranked; #1 ⫽ Lowest cost) 3 4 N/A 6 1 5 7 8 2
*Rough order of magnitude.
be less than anticipated. Many communities recognize that by law. Rather than accept standard local housing unit/
factors such as housing type and bedroom count have direct pupil ratios, the developer may have the option of survey-
correlation to the number of school-age students that will ing similar developments in the community. With this
occupy a development. In addition, developments geared study, it may be possible to demonstrate that the probable
to older single-person households are likely to generate few impact of the project on student population is lower than
students, even if age restriction is not a factor or prohibited originally suggested.

EXAMPLE OF A PRELIMINARY FEASIBILITY STUDY
Reprinted with permission of Westland Golf Inc., Fairfax, VA.

















REFERENCES National Association of Home Builders (NAHB), Land Develop-

Galaty, Fillmore W., Wellington J. Allaway, and Robert C. Kyle. ment, NAHB, Washington, D.C., 1987.
1988. Modern Real Estate Practice, Real Estate Education Com- National Association of Home Builders, (NAHB), Land Develop-
pany, Chicago. ment Manual, NAHB, Washington, D.C., 1974.
Northern Virginia Builders Association, The Basics of Land Acqui-
sition, Northern Virginia Builders Association, Fairfax, Va., 1985.
ADDITIONAL READING Northern Virginia Building Industry Association and Virginia
Brown, Thomas L., Site Engineering for Developers and Builders, Bankers Association, Guidelines for Environmental Site Assessment,
National Association of Home Builders, Washington, D.C., 1988. Fairfax, Va., 1990.
De Chiara, Joseph, and Lee E. Koppelman, Site Planning Stan- Urban Land Institute (ULI), Residential Development Handbook,
dards, McGraw-Hill, New York, 1978. ULI, Washington, D.C., 1978.


CHAPTER 7
ENVIRONMENTAL
REGULATIONS
Jeffrey M. Moran, P.E.
INTRODUCTION while other requirements can stop development for years

Land development is faced not only with the issue of com- and take millions of dollars to complete. This chapter
peting with the demands of human needs but also with that briefly describes the various regulations that a developer
of meeting the requirements of environmental restoration should be aware of in developing a property. The infor-
and preservation. Our past actions as a society have resulted mation provided in this chapter is not intended to be an
in significant impacts to the environment due to human exhaustive or all-inclusive reference of environmental reg-
consumption and the mismanagement of our natural re- ulations. However, note that entire volumes have been writ-
sources and hazardous waste. To prevent continued deg- ten on many of these topics and specialists in various fields
have found a niche in the industry to deal with these issues
radation of the environment, environmental regulations
from the identification, mitigation, or regulatory perspec-
were established to ensure that everyone acts responsibly
tives. While many of the environmental regulations are un-
toward the protection and maintenance of the environment.
der federal law, these and many others are addressed by a
From the perspective of the developer and the engineer,
myriad of state and local regulations and agencies. The
these regulations impact real estate transactions, demolition,
reader must bear this in mind and become familiar with
restoration, and development. Therefore, understanding the
the agencies and regulations at all levels that may affect
basis and objectives of environmental issues can prevent
development in a particular locale.
unanticipated delays and conflicts with future development.
The old adages that ‘‘What you don’t know won’t hurt you’’ Federal Laws and Rulemaking
and ‘‘Ignorance is bliss’’ definitely do not apply to environ- Most laws passed by Congress are statements of policy
mental issues and the land development process. Environ- broadly outlining what the law prohibits and allows, as well
mental issues must be proactively addressed and dealt with, as the penalties for noncompliance. These laws are found
often with agencies, procedures, and individuals outside the in the United States Code (U.S.C.), Public Law (P.L.), and
traditional development process. For the most part, the ear- Code of Federal Regulations (CFR). The Executive Branch
lier in the development process that these issues are iden- department or agency assigned responsibility by the Con-
tified, the better, since many of them can involve liability gress for enforcement of the law develops rules or regula-
or even affect the purchase of property, not to mention the tions designed to implement the legislation. The rules or
development of it. regulations describe the allowed and prohibited activities,
The intent of this chapter is to provide the reader with detail procedures for permitting, and document the con-
an overview of how regulations are codified and what en- sequences of violation. Initially, the rule is offered as a pro-
vironmental regulations currently exist, describe their pur- posed rule and published in the Federal Register (FR). The
pose, and briefly address their relationship with other FR is published daily by the federal government and also
regulations. Some regulatory requirements are inexpensive includes announcements and notices of federal government
to comply with and take less than a month to perform, activities. Usually, 60 days are provided as a comment pe-
133
ENVIRONMENTAL REGULATIONS
riod following publication of the proposed rule. In addition, There are numerous issues facing the current regulations,
a public hearing is held upon the request of five or more and it is reasonable to expect changes to be made. For ex-
people. In considering the comments received by the pub- ample, there is speculation by some of the policy makers
lic, minor changes can be made to the rule before it is that effective environmental regulations need to focus on
signed by a department head and published in the FR as a good engineering and science to achieve the desired objec-
final rule (i.e., promulgation). A promulgated final rule can tives versus cleanup standards and laboratory detection lim-
be changed through published amendments, technical its. There is also concern within certain industries that
amendments and clarification notices. increased restrictions on the discharge of pollutants may
The basic format of a rule consists of the: have significant economic impacts while achieving little
benefit to human health and the environment.
䡲 Heading, which gives descriptive information such Developers are faced with issues such as smart growth
as who published the rule, the regulations affected and versus urban sprawl. One of the challenges is that both have
a descriptive title of the program addressed environmental impacts. Urban sprawl threatens to reduce
䡲 Preamble, which explains the purpose and intent of the limited amount of undisturbed/undeveloped land im-
the regulation, who is affected, and why the rule is be- pacting our natural resources and the increased traffic vol-
ing written as it is and additionally includes effective ume results in more pollution. Conversely, smart growth
dates, addresses, and contacts for additional informa- has the potential to increase noise pollution and cause
tion higher pollutant loads in a more concentrated area. These
factors, and many more, are issues that a developer has to
䡲 Text, which details the regulations deal with in order to strike a balance between the demands
of human needs and environmental regulations.
All final regulations of the federal government are pub-
Many of the environmental statutes that work together
lished in the CFR. The CFR is organized into Titles. The
to address hazardous waste problems and the protection of
Titles are divided into Chapters, the Chapters into Parts,
our natural resources are outlined in Table 7.1, which
and the Parts into Subparts. An example is the regulations
provides a chronological listing of the regulations. The
the U.S. Environmental Protection Agency (EPA) has prom-
environmental regulations most likely to have financial
ulgated. They are under Title 40, Protection of Environ-
implications and project impacts to a developer are the
ment, Chapter I, Parts 1–799. The CFR, published yearly,
Comprehensive Environmental Response, Compensation,
and the Federal Register are available at most large libraries
and Liability Act (CERCLA) which focuses on response to
and on the Internet by simply searching for the home page
existing environmental conditions, the Resource Conserva-
of the responsible Agency and then searching for ‘‘Regula-
tion and Recovery Act (RCRA), which regulates the man-
tions,’’ typically linked to the agency’s homepage.
agement of hazardous waste, and the Toxic Substance
Control Act (TSCA) which regulates the manufacturing and
ENVIRONMENTAL REGULATIONS use of toxic waste. Table 7.1 cites references for the U.S.C.
Environmental regulations are the mechanism for imple- and Public Law. Actual references to specific CFRs can be
menting the intent of the various acts and statutes devel- found in specific sections describing these regulations later
oped to protect human health and the environment. One in this book. These Acts can be further researched by ac-
of the challenges for developers is that these regulations are cessing the Congressional Research Service through a web-
not only extremely diverse, but they are also continually site maintained by the National Council for Science and the
being updated and revised. Therefore, a developer must Environment: http/ /www.cnie.org.
take the necessary steps to ensure compliance in order to
minimize liability and avoid unanticipated costs and delays Fish and Wildlife Coordination Act
associated with the purchase and/or development of a The objective of this act is to provide wildlife with equal
property. consideration as other water resource development pro-
A brief summary of environmental regulations over the grams. It establishes the need to coordinate activities of fed-
last three decades can help put into perspective the pro- eral, state, and private agencies in the development,
gression of environmental regulations and their future fo- protection, and stocking of wildlife resources and their hab-
cus. The U.S. EPA was established in 1970 to facilitate itat. This act authorizes the preparation of plans to protect
coordinated and effective governmental action designed to wildlife resources. Any report recommending authorization
ensure the protection of the environment by abating and of a new project must contain an estimate of wildlife ben-
controlling pollution on a systematic basis. Consequently, efits and losses and the costs and amount of reimbursement
the 1970s were a decade of extensive new federal legislation required.
covering all aspects of environmental issues. The 1980s
emphasized refining existing legislation and enforcement Federal Insecticide, Fungicide, and Rodenticide Act
policies. The 1990s emphasized balancing economic and (FIFRA)
environmental costs. The future of environmental regula- FIFRA regulates the use and safety of toxic pesticides that
tions is unknown. are produced in order to reduce the amount of waste that
7 䡲 ENVVIRONMENTAL REGULATIONS 135
TABLE 7.1 Examples of Environmental Statutes

REGULATORY REFERENCE
NAME YEAR MAJOR AMENDMENTS U.S.C. PL
Fish and Wildlife Coordination Act 1934 1946, 1958, 1965 16 U.S.C. 661 et seq. P.L.
...........................................................................................................................
Federal Insecticide, Fungicide, and 1947 1972, 1978, 1988, 7 U.S.C. 136 et seq. P.L. 80-104
Rodenticide Act (FIFRA) 1991
...........................................................................................................................
Clean Water Act (CWA) 1948 1956, 1972, 1977, 33 U.S.C. 1251 et seq. P.L. 80-845
1987
...........................................................................................................................
National Historic Preservation Act 1966 1973, 1976, 1980, 16 U.S.C. 470-470t P.L.
(NHPA) 1992
...........................................................................................................................
Wild and Scenic Rivers Act 1968 1974 16 U.S.C. 1271 et seq. P.L.
...........................................................................................................................
National Environmental Policy Act 1969 – 42 U.S.C. 4341 et seq. P.L.
(NEPA) /70
...........................................................................................................................
Clean Air Act (CAA) 1970 1970, 1977, 1990 42 U.S.C. 7401 et seq. P.L. 84-159
...........................................................................................................................
Coastal Zone Management Act (CZMA) 1972 1976, 1980, 1985, 16 U.S.C. 141 et seq. P.L.
1990, 1996
...........................................................................................................................
Endangered Species Act 1973 1978, 1982, 1988 16 U.S.C. 1 531-1 542 P.L.
...........................................................................................................................
Safe Drinking Water Act (SDWA) 1974 1977, 1986, 1996 42 U.S.C. 300f et seq. P.L. 93-523
...........................................................................................................................
Hazardous Material Transportation Act 1990 49 U.S.C.1801–1819 P.L.
5 U.S.C. 553
...........................................................................................................................
Marine Protection, Research, and 1972 1984, 1988 33 U.S.C. 1401 et seq. P.L.
Sanctuaries Act
...........................................................................................................................
Toxic Substances Control Act (TSCA) 1976 1986, 1988 15 U.S.C. 2601 et seq. P.L. 94-469
...........................................................................................................................
Resource Conservation and Recovery 1976 1984, 1992 42 U.S.C. 6901 et seq. P.L. 89-272, title II
Act (RCRA)
...........................................................................................................................
Noise Control Act 1972 1976, 1978 42 U.S.C. 4901 et seq. P.L.
...........................................................................................................................
Comprehensive Environmental 1980 1986 (SARA) 42 U.S.C. 9601 et seq. P.L.-96-510
Compensation and Liability Act
(CERCLA)
...........................................................................................................................
Superfund Amendment Reauthorization 1986 – 42 U.S.C. 11001 et P.L. 96-510
Act (SARA) seq.
...........................................................................................................................
Pollution Prevention Act 1990 – 42 U.S.C. 13101– P.L. PL 101-508 Title
13109 VI
needs to be managed. The objective of FIFRA is to ensure water. One of the major focuses for the national water pro-
that the impacts to the environment resulting from the use gram is to control point discharge of pollutants to water
of pesticides do not outweigh the benefits. through total maximum daily loads (TMDLs), which regu-
late the amount of pollutants permitted to be discharged to
Clean Water Act (CWA) waters of the United States. Water supply and water pol-
The objective of the CWA is to restore and maintain the lution issues also include nonpoint controls and effective
chemical, physical, and biological integrity of our nation’s use of water resources management practices.
F IGURE 7.1 Airplane spraying crops with pesticides.
Sludge resulting from wastewater treatment and pretreat- minerals under federal ownership. Rivers are classified as
ment under CWA must be handled at a RCRA facility if it wild, scenic, or recreational, and hunting and fishing are
is hazardous. Discharges from a RCRA-permitted facility permitted in components of the system under applicable
must be pursuant to a National Pollutant Discharge Elimi- federal and state laws.
nation System (NPDES) permit. This means that either the
facility has obtained a NPDES permit or the waste meets National Environmental Policy Act (NEPA)
CWA pretreatment standards and has been transported to NEPA is a national policy that takes into consideration the
a privately owned treatment works. preservation of the natural environment and human needs
caused by population increases, high-density urbanization,
National Historic Preservation Act (NHPA) and industrial expansion by taking into account economical
The NHPA establishes a national policy of preserving, re- and technical considerations. This act was one of the first
storing, and maintaining cultural resources. The national laws that established the broad national framework for pro-
register of historic places protects historic properties. Cul- tecting our environment. The NEPA process is intended to
tural assessments under the National Environmental Policy help public officials make decisions that are based on un-
Act are now part of the environmental assessment. New derstanding the environmental consequences associated
projects can be affected on the grounds of the potential with a proposed action by a federal agency. NEPA require-
adverse affects in terms of character, scale, or style of the ments are invoked when airports, buildings, military com-
historic district. plexes, highways, parkland purchases, and other federal
activities are proposed.
Wild and Scenic Rivers Act The objective of NEPA is to have a systematic approach
This act designates and protects rivers for their wild and to ensure that appropriate actions are taken to protect, re-
scenic values from activities that may adversely impact store, and enhance the environment. It is the planning and
those values. It describes procedures and limitations for decision-making process of federal agencies. NEPA requires
control of lands in federally administered components of federal agencies to assess the environmental impact of im-
the system and for dealing with deposition of lands and plementing their major programs and actions early in the

planning process. It provides a systematic means of dealing containing such wastes. Disposal of these materials must
with environmental concerns and the associated costs. One comply with RCRA.
of the unique components of NEPA is that it provides a
mechanism for public participation. Coastal Zone Management Act (CZMA)
Prior to a federal agency implementing a proposed ac- The CZMA is a federal program that establishes standards
tion, it must perform an environmental assessment to iden- to protect the coastal resources that are determined to be
tify and address: of national significance. These resources include coastal ar-
eas, wetlands, floodplains, estuaries, beaches, dunes, barrier
䡲 Any environmental impacts of the proposed action islands, coral reefs, and fish and wildlife and their habitats.
䡲 Any adverse environmental affects that cannot be The CZMA also protects these coastal areas by managing
avoided development.
䡲 Alternatives to the proposed action Endangered Species Act

䡲 The relationship between local short-term uses of The objective of this act is to conserve threatened and en-
man’s environment and the maintenance and enhance- dangered species. The Fish and Wildlife Service of the U.S.
ment of long-term productivity Department of the Interior promulgates a list of threatened
and endangered species and their critical habitat. Federal
䡲 Any irreversible and irretrievable commitments of agencies are required to carry out programs for the conser-
resources that would be involved in the proposed ac- vation of the threatened and endangered species and must
tion should it be implemented take actions to ensure that projects they authorize, fund, or
carry out are not likely to jeopardize the existence of the
Clean Air Act (CAA) listed species or result in the destruction or modification of
Some of the major factors that contribute to air pollution their habitat that is declared to be critical.
are urbanization, industrial development, and the increas-
ing use of motor vehicles. Air pollution poses a danger to Safe Drinking Water Act (SDWA)
public health and welfare, including our agricultural crops An estimated 50% of the U.S. population uses groundwater
and livestock. The CAA focuses on the reduction or elimi- as a source of drinking water. The SDWA protects the na-
nation of the amount of pollutants produced or created. Air tion’s drinking water supply by setting drinking water stan-
quality is an international issue because polluted air can dards, known as Maximum Contaminant Levels (MCLs),
migrate across national borders, impacting the environment and regulating underground injection wells. Both the MCLs
and human health throughout the world. Therefore, air and the Underground Injection Control (UIC) program are
quality requires participation from all countries. Given the especially relevant to RCRA. The MCLs are sometimes used
highly diverse economic and political climates of all the by RCRA as cleanup standards for corrective actions.
countries throughout the world, this is an extremely chal-
lenging issue to resolve. Marine Protection, Research, and Sanctuaries Act
The law recognizes that states should take the lead in This act regulates dumping of all types of material into the
carrying out the CAA because pollution control problems ocean and designates certain areas of the ocean waters as
often require special understanding of local industries, ge- sanctuaries. The EPA is responsible for issuing permits for
ography, housing patterns, and other factors. Therefore, the dumping of materials in ocean waters except for
states are required to develop state implementation plans dredged material, which is regulated by the Corps of En-
(SIPs) that explain how they will carry out the CAA. An gineers. Additionally, the EPA will not issue a permit for the
SIP is a collection of the regulations a state will use to clean dumping of any radiological, chemical, biological warfare
up polluted areas. The states must involve the public, agents, or high-level radioactive waste.
through hearings and opportunities to comment, in the de-
velopment of each SIP. Toxic Substances Control Act (TSCA)
Legislation and regulations will continue to evolve to ad- TSCA requires manufactures to conduct tests on chemicals
dress air pollution, such as global warming, ozone deple- to determine whether they have adverse affects on human
tion, acid rain, and indoor air quality. The EPA proposed health or the environment. The risks to human health in-
new National Ambient Air Quality Standards (NAAQS). clude persistence, acute toxicity, and carcinogenic effects.
Some of the issues surrounding air quality are impacts to This act authorizes the tracking of more than 75,000 in-
human health and the effects on the cost to the industries. dustrial chemicals currently produced or imported into the
Air emissions from incinerators and other types of transfer United States. It controls the disposal methods of certain
storage and disposal facilities regulated under RCRA must chemicals such as polychlorinated phenols and the inspec-
comply with applicable ambient standard and/or emission tion and removal of asbestos products from public schools.
limitations of the CAA. Extraction of pollutants from air It also studies the public health danger posed by asbestos
emissions under CAA controls can create hazardous sludges in public and commercial buildings.

F IGURE 7.2 Industry is a source of air pollution.
This act places the burden of testing chemical substances listed wastes, are categorized into four groups, based on the
as related to human health and the environment on the specific process by which they are derived: hazardous waste
chemical manufacturers. from nonspecific sources; hazardous waste from specific
sources; discarded commercial chemical products, off-
Resource Conservation and Recovery Act (RCRA) specification species, or manufacturing chemical interme-
The primary purpose of RCRA is to protect human health diates identified as acute hazardous waste; and discarded
and the environment from dangers of hazardous waste. commercial chemical products, off-specification species, or
RCRA regulates the management of hazardous waste, pro- manufacturing chemical intermediates identified as hazard-
vides technical and financial assistance for the development ous wastes.
of management plans, provides facilities for the recovery of
energy and other resources from discarded materials, and Noise Control Act
provides for the safe disposal of discarded materials. RCRA Noise pollution is a result of human activity and is one of
focuses on the management of wastes from the time it is the most pervasive environmental problems. It is not only
generated until it is disposed of, cradle to grave. Unlike a public health hazard causing hearing impairments, but a
CERCLA, RCRA does not provide for an innocent land- nuisance causing psychological stress. The major sources of
owner exemption from liability. community noise are construction and transportation. As
Hazardous waste is defined by its characteristic or origin. development increases, exposure to these noises increases.
Waste that exhibits the characteristics of being ignitable, The objectives of the Noise Control Act are to establish
reactive, corrosive, toxic, or radioactive are considered haz- noise emission standards for new products, utilize noise
ardous. In addition, chemical products involved in a par- abatement controls, and label products to increase aware-
ticular waste stream are also considered hazardous. The ness and protection against individual exposure.
basis for listing the types or classes of wastes is indicated
by the use of one or more of the hazard codes. The hazard Comprehensive Environmental Response, Compensation,
codes include ignitable, corrosive, reactive, toxicity char- and Liability Act (CERCLA)
acteristic waste, acute hazardous waste, and toxic waste. The primary purpose of CERCLA is to protect human
The chemicals involved in these processes, referred to as health and the environment from the dangers of hazardous
waste. CERCLA focuses on response to existing environ- development of these sites falls under CERCLA regulations.
mental conditions of a property and the liability of the There is an interest in the redevelopment of these con-
responsible parties. CERCLA created a revolving fund, taminated sites from an environmental and public policy
commonly referred to as Superfund, that can be utilized by perspective. To encourage developers to purchase and
EPA, state, and local governments to investigate and re- redevelop such properties, which they otherwise would not
mediate hazardous waste sites that have been listed by the consider because of their liability under CERCLA, the gov-
EPA on the National Priorities List. One of the unique fea- ernment for some cases may limit liability and provide fi-
tures of CERCLA is that governmental and private parties nancial incentives.
who are not responsible for the investigation and remedi-
ation of a property can perform the work using the Super- Superfund Amendments and Reauthorization Act (SARA)
fund and seek reimbursement from the responsible parties.
This act is an amendment to CERCLA and provides addi-
CERCLA covers all environmental media—air, surface wa-
tional authorization and amendments to CERCLA. SARA
ter, groundwater, and soil—and can apply to any type of
establishes requirements for reporting on-site hazardous/
facility. If cleanup is conducted on-site under the CERCLA
toxic materials and/or substances under Title III, the Com-
program, no federal, state, or local permit is required.
munity-Right-to-Know Act. This act establishes require-
A CERCLA hazardous substance includes any substance
ments for notification of uncontrolled releases.
that the EPA has designated for special considerations under
RCRA, CAA, CWA, and TSCA and any substance that pres-
ents a substantial danger to human health and the environ- Pollution Prevention Act
ment. Exclusions from CERCLA’s hazardous substance list The Pollution Prevention Act established a national policy
include petroleum and natural gas and synthetic gas used for waste management. This includes prevention, recycling,
for fuel. Due diligence and liability fall under CERCLA and treatment, and disposal of wastes. The objective of this act
will likely be the most applicable regulation to land devel- is to prevent or reduce pollution at the source, wherever
opment. feasible. Where pollution cannot be prevented, it should be
Old industrial sites that are contaminated but have the recycled in an environmentally safe manner. In the absence
potential for redevelopment are defined as brownfields. Re- of feasible prevention and recycling, pollution should be
F IGURE 7.3 Recycling is a part of pollution prevention.

treated to applicable standards prior to release or transfers. While the developer is not directly affected, it is important
Only as a last resort are wastes to be disposed of. that the developer understand the consequences of not ad-
hering to the regulations or performing illegal cleanups us-
Occupational Safety and Health Act ing unprotected workers who have not received the proper
training and certifications. All contractors performing work
As important as the above acts are in protecting health and
for the developer should be thoroughly evaluated to ensure
the environment, it is equally important to protect the that they, as a business course, always are in full compliance
workers who are working to mitigate the environmental with all environmental and OSHA regulations.
problems. The Occupational Safety and Health Act of 1970
(29 U.S.C. 651 et seq.) contains provisions that protect ADDITIONAL READING
workers performing environmental cleanups. The federal Corbitt, Robert A, Standard Handbook of Environmental Engineer-
agency, the Occupational Safety and Health Administration ing, 2d ed., McGraw-Hill, New York.
(OSHA), is the governing agency for worker protection. Virginia Administrative Code, 9 VAC 20-60-100

CHAPTER 8
ENVIRONMENTAL SITE
ASSESSMENTS
Jeffrey M. Moran, P.E.
INTRODUCTION the public for review and comment. This is an important

The terms environmental site assessment (ESA) and environ- part of the process because of the issues that can be raised
mental assessment (EA) are commonly used to describe the by the public and the potential delays associated with the
due diligence surveys performed under the Comprehensive comment and response period.
Environmental Response, Compensation, and Liability Act Developers could be required to perform an environ-
(CERCLA) or for the studies performed under the National mental study under either CERCLA or NEPA. Although
Environmental Policy Act (NEPA). Despite their similarity they are more likely to be faced with the requirements of a
in title, the objective and purpose of the two studies are Phase I ESA as a due diligence study under CERCLA, both
types of environmental assessments are described in this
quite different. In simple terms, environmental site assess-
chapter.
ments, performed for due diligence surveys under CERCLA,
focus on existing or prior impacts to a property prior to a
ENVIRONMENTAL ASSESSMENT UNDER CERCLA—DUE
real estate transaction to document potential liability asso-
DILIGENCE
ciated with the presence (or likely presence) of any hazard-
ous substances or petroleum products under conditions In the field of environmental due diligence, three generally
that indicate either an existing release, a past release, or a distinct, yet interrelated evaluations are currently utilized to
material threat of release of any hazardous substances or determine the potential for past, present, and future con-
petroleum products into structures on the property or into tamination on a property: environmental assessments, en-
the ground, groundwater, or surface water of the property. vironmental compliance audits, and environmental risk
Whereas the environmental assessment called for within assessment surveys. Although this chapter focuses on en-
vironmental assessments, all three types are briefly de-
NEPA involves the review of a proposed action and alter-
scribed below:
natives to define and evaluate the possible effects of the
proposed project on the environment. Specifically, the en- 䡲 The environmental assessment is generally
vironmental assessment performed under NEPA must con- performed to provide the property owner, purchaser,
sider the environmental impact(s) of a proposed action, or lender with documentation relative to the ‘‘Innocent
while also considering any adverse environmental effects Buyer (Landowner)’’ provision of CERCLA.
that cannot be avoided should the action be implemented.
Additionally, it must identify alternatives to the proposed 䡲 The environmental compliance Audit, which deals
action, including a ‘‘no-action’’ alternative. The assessment with a company’s policies, procedures and operations,
is conducted to determine sources of potential environ-
will also evaluate the relationship between short- and long-
mental liabilities and areas of noncompliance.
term benefits and consequences.
Another difference between the Phase I ESA and the EA 䡲 The environmental risk assessment survey is util-
is that EAs and associated documents are made available to ized to reduce future environmental liabilities that
141
ENVIRONMENTAL SITE ASSESSMENTS
could result from a company’s operations and materials mercial real estate. This practice is intended to allow an
management. owner to satisfy one of the requirements in order to qualify
for the innocent landowner defense to CERCLA liability. An
The environmental assessment is an integral part of site environmental site assessment should be performed very
feasibility and is critical in minimizing a client’s environ- early in the development planning stage to avoid stoppage
mental liability exposure. Since both the environmental
of work or delays associated with environmental conditions
compliance audit and the risk assessment survey are asso-
at the property. Environmental professionals with the
ciated with management and operation of ongoing business
proper training and experience should perform these as-
activities, more specific discussions will not be considered
sessments. ASTM provides guidance to assist users in the
in this chapter.
preparation for, and selection of, an environmental profes-
Due to the impacts on the environment, federal and state
sional to conduct a Phase I ESA. The technical competence
governments have enacted legislation requiring the cleanup
of the environmental professional and the firm’s quality
of conditions that pose a risk, or threat of risk, to human
assurance/quality control program, internal risk manage-
health or the environment. These laws have been promul-
ment program, experience, standard terms and conditions,
gated to prosecute any party deemed to be a potentially
and errors and omissions liability insurance policy should
responsible party (PRP). This has far-reaching implications
because the definition of a PRP is not limited to those par- be evaluated prior to retaining the services.
ties responsible for the actual contamination, but also in- Once a property is identified for which obtaining a Phase
cludes owners: past, present, or subsequent; lessors, I ESA is being considered, certain information should be
managers; lienholders, transporters; and other parties hav- collected, if available, prior to the selection of an environ-
ing ownership or management responsibility. Furthermore, mental professional. This information should be provided
there is no standard rule of assigning responsibility for a to the environmental professional selected to conduct the
liability. Phase I ESA.
PHASE I ESA 䡲 Why the Phase I ESA is required

Other federal, state, and local environmental laws may im- 䡲 Type of property
pose environmental assessment obligations that are beyond
the scope of a Phase I ESA. In addition, there are likely to 䡲 Type of transaction
be other legal obligations concerning hazardous substances 䡲 Complete address
or petroleum products discovered on property that are not
addressed in this practice and may pose risks of civil and/ 䡲 Activity and use limitations (liens, deed restrictions,
or criminal sanctions for noncompliance. There are many etc.)
assessments that are called ESAs with different scopes of 䡲 Property value relative to comparable properties
work. Currently, the standard of care in the industry is the (reduction due to environmental conditions)
American Society for Testing and Materials (ASTM) Stan-
dard E-1527-2000, Standard Practice for Environmental 䡲 Desired scope of services (standard Phase I ESA or
Site Assessments: Phase I Environmental Site Assessment services beyond requirements in ASTM Practice E
Process. 1527)
The objective of a Phase I environmental site assessment 䡲 Parties relying on Phase I ESA report
study is to identify, to the extent feasible, recognized envi-
ronmental conditions in connection with the property. ‘‘Rec- 䡲 Site contact
ognized environmental conditions,’’ as defined by ASTM, 䡲 Special terms and conditions
means ‘‘the presence or likely presence of any hazardous
substances or petroleum products on a property under con- 䡲 Knowledge of or experience with the property per-
ditions that indicate an existing release, a past release, or a tinent to environmental conditions
material threat of release of any hazardous substances or
petroleum products into structures on the property, or into A Phase I ESA has four components: records review, site
the ground, groundwater, or surface water of the property’’ reconnaissance, interviews, and report. The record review
(ASTM E-1527-2000). The term is not intended to include is performed to obtain and review records that will help
conditions that generally do not present a material risk of identify recognized environmental conditions in connection
harm to human health or the environment and would not with the property. This includes review of records for haz-
be the subject of an enforcement action if they were brought ardous substances and petroleum products for areas outside
to the attention of the appropriate governmental agencies. the property that are likely to migrate onto the property.
Phase I ESAs, which are performed as part of commercial The information for the record research is typically obtained
real estate transactions, are very common. These site as- through a variety of public and other database sources. The
sessments are prepared to demonstrate due diligence in site reconnaissance is performed to observe visually and
evaluating the property using good commercial and cus- physically the site and adjoining properties for evidence of
tomary practice for environmental site assessments for com- recognized environmental conditions. If the property has
8 䡲 ENVIRONMENTAL SITE ASSESSMENTS 143
F IGURE 8.1 Recommended outline for a typical Phase I ESA.

buildings or structures, the interiors of the buildings are regulations. Since each potentially contaminated property is
also observed. The interviews conducted as part of the as- unique, a detailed environmental sampling and analysis
sessment are performed to gather information about the plan should be developed for each property. For more in-
property from those who are most familiar with the current formation on the ASTM environmental site assessment pro-
and past uses of the property. Finally, the Phase I ESA report cess, visit their website at www.astm.org.
is prepared to document the work performed, findings,
opinions, and conclusions. The report format recom- PHASE II ESA
mended by ASTM is provided in Figure 8.1. An example A Phase II ESA is performed to investigate further the ab-
of a site plan identifying key environmental features is presence or presence of a suspected contaminant or whether a
sented in Figure 8.2. known release of a contaminant or regulated substance oc-
The typical Phase I ESA usually does not include per- curred on the property. Additionally, a Phase II ESA may be
forming environmental testing or evaluations for the follow- required in situations other than real estate transactions. For
ing considerations unless specifically requested by the example, if an existing property owner has a known release
organization paying for the assessment: of a contaminant or regulated substance, that owner is re-
sponsible for the release and must take corrective action to
䡲 Asbestos assess and mitigate the situation, as necessary.
䡲 Lead-based paint In contrast to the defined scope and relatively low cost
of a Phase I ESA, the scope for a Phase II ESA is highly
䡲 Lead in drinking water unpredictable, based on the variety of scenarios associated
with the release of a contaminant. For example, a Phase II
䡲 Radon
ESA may only require a few samples to be collected from
䡲 Wetlands the soil surface to determine if a petroleum product was
spilled or released at a specific location. On the other hand,
Because the laws regarding legal responsibility for envi- a hazardous waste may have been released with potential
ronmental contamination have had insufficient time for le- impact on the groundwater, air, or surface water, requiring
gal precedents to be established, limited safety is available extensive sampling protocol, including the installation of
to a buyer, lender, or insurer. In addition, there are no stan- groundwater monitoring wells.
dards, beyond the guidelines outlined by ASTM E-1527, or The purpose of a Phase II ESA is to determine the ab-
absolutes for environmental inspections (assessments). sence or presence of a contaminant. This generally requires
Technical guidelines exist on how to perform certain inves- environmental sampling. The protocol for collecting and
tigative actions; however, no approved or standard level of analyzing environmental samples is based on the suspect
investigation has been required or adopted in a legal code contaminant, the media, data quality objectives, and the
sense. Subsequently, there is no numerical definition of regulatory program requiring the site assessment. The Phase
what is legally considered an acceptable level of environ- II ESA report addresses the additional research performed,
mental risk, only comparative standards (i.e., drinking wa- provides a description of the field investigation (including
ter standards, risk-based concentration calculations, etc.). sampling procedures and methodologies and sample loca-
The general cost of typical Phase I ESAs ranges from tions), and reports the analytical results. If the presence of
$1500 to $3500, depending on size, location, and type of the suspect contaminant(s) is confirmed, the report pro-
property. Industrial properties and large parcels of land with vides recommendations for any further actions.
numerous recognized environmental conditions could cost The time frame and cost of Phase II ESAs vary consid-
significantly more than the ‘‘typical’’ ESA. A third party, erably, from a few thousand dollars and a one-month turn-
composed of quality professionals, should perform these around time to tens of thousands of dollars and a time
assessments. Oftentimes, lending institutions have lists of frame of more than a year. Extreme cases can cost millions
approved professionals who perform this work. Regulators of dollars to investigate over a period of several years.
may also maintain a list of qualified professionals. Although If an environmental testing program is warranted, there
an environmental site assessment can be technical, a pur- are limitations and risks associated with environmental test-
chaser, developer, and/or lender should be familiar with the ing that all involved parties must be aware of. In fact, if
evaluation’s findings and conclusions. The ESA report is the testing done as part of a Phase II ESA detects contamina-
proof that a due diligence study was performed to deter- tion, the results of that test have to be reported to federal,
mine the status of the property and therefore should be state, and/or local agencies. On the other hand, inadequate
kept on record. studies and testing can expose all of the involved parties to
If environmental concerns are identified in the initial legal liability due to negligence.
ESA, they are likely to require further investigation, typi- The main objective of a Phase II ESA is to determine if
cally referred to as a Phase II ESA. Various environmental the suspect contaminant is present on the property. The
testing methods exist that can be used to analyze for the type(s) and amount of contaminant(s), as well as the prop-
wide variety of contaminants, as required under specific erty location/site characteristics, all play a role in determin-

F IGURE 8.2 Typical site plan showing key site features and recognized environmental conditions at and adjacent to site.

F IGURE 8.3 Removal of leaking underground storage tank.
ing the scope of work for the Phase II ESA. The following the personnel performing the work should be trained, as
list of plans is typically prepared prior to performing a required by OSHA, for certification under 29 CFR
Phase II environmental site assessment for regulatory com- 1910.120, Hazardous Waste Operations and Emergency Re-
pliance, worker safety, and quality assurance. sponse Training.
Work Plan Quality Assurance Project Plan

This plan specifies the performance standards, chemicals of The integrity of the sampling and analysis performed as part
concern, sampling and analytical methods required, field of the ESA is critical to the proper characterization of the
procedures, reporting requirements, and schedule. Devel- contaminants on the property. Since the analytical data are
oping a work plan requires a thorough understanding of used to determine corrective action alternatives, handling
the purpose and objective of the assessment, the regulatory and disposal requirements, and health and safety proce-
requirements, the contaminants of concern, and the sam- dures outlined in the health and safety plan, the analysis
pling methodologies and laboratory analysis appropriate for must be performed properly and in a timely manner. The
the assessment. quality assurance project plan addresses the specific sam-
pling protocol and analytical procedures required to meet
Health and Safety Plan the data quality objectives for a specific project.
In order to identify the hazards and appropriate safety and
health controls, the potential hazards on a property must PHASE III ESA
be evaluated prior to entry onto the property. A health and Typically, a Phase III ESA is the most expensive phase of
safety plan is required to identify chemical, physical, bio- environmental site assessments. Once a contaminant is con-
logical, radiation, flammable/explosive, and confined space firmed (Phase I) and suspected to be significant enough to
hazards to the personnel engaged in operations relating to require corrective action (Phase II), a Phase III ESA is per-
the site investigation. The plan should be prepared in ac- formed to determined the extent of contamination and, if
cordance with applicable Occupational Safety and Health required, remedial alternatives. In cases where remediation
Administration (OSHA) Standard guidelines. In addition, is required, the Phase II and Phase III ESAs are blended

F IGURE 8.4 Environmental sampling of subsurface soil.
together. Therefore, the plans as previously prepared for the chemical treatment) to the in-situ (in-place) biological treat-
Phase II ESA will also apply for the Phase III ESA. ment of the contaminant. Whatever method is determined
The cost and time frame to remediate a site can range to be the most suitable, it is wise to identify several methods
from tens of thousands of dollars over several months to in case your main option does not produce the desired re-
several million dollars over several years. The factors that sults. Similarly, pilot tests should be conducted for each
influence cost and time include the type of contaminant, method before a commitment is made to one particular
quantity of the release, the media that is impacted, and the method. This will likely require the services of an expert in
location of the release. Because of the high variability of site remediation. Additionally, it is recommended that you
scenarios for Phase III ESAs, they are typically handled on confer with the appropriate regulatory entities and get their
a case by case basis. buy-off on the remedial efforts. Do not forget that contam-
As discussed previously, the primary purpose of environ- inated soil may be recyclable or that some facilities may
mental regulations is to protect human health and the en- even buy contaminated waste. Hazardous waste site reme-
vironment. Therefore, the potential exposure scenarios play diation is a very expensive effort. Weigh your options. On-
an important role in the requirements that have been es- site treatment is rapidly becoming more popular as in situ
tablished for corrective action and remediation. Regulators treatment technologies become more available and cost ef-
may require periodic monitoring to ensure the conditions fective.
do not worsen and present a threat to potential receptors.
In other scenarios, regulators may require immediate and NEPA ENVIRONMENTAL ASSESSMENT
thorough remediation to clean up impacted media to re- NEPA requires an environmental evaluation of major federal
move the immediate threat to receptors. For example, a actions that could significantly affect environmental quality.
regulatory agency may require groundwater remediation While this is most commonly encountered with federally
where less than 50 gallons of gasoline were released on one sponsored projects, privately funded or other non-federally
site and require only groundwater monitoring at another sponsored projects that require some form of federal in-
site where over 1000 gallons of gasoline were released. This volvement can also be required to undergo the NEPA eval-
scenario may apply where the site with the 50-gallon release uation process. For example, the granting of a wetland
impacted the groundwater and the 1000-gallon release had permit by the U.S. Army Corps of Engineers could be a
no impact to the groundwater and there was no recognized federal action that has a significant effect on environmental
threat to human health or the environment. quality and thus trigger the NEPA process. Another example
There are many different remediation methods and treat- is a project that, while privately sponsored, utilizes federal
ment technologies available today, ranging all the way from funding in some way, such as U.S. Department of Housing
physical removal and transportation of the contaminant to and Urban Development funds to provide affordable dwell-
a treatment facility so that it can undergo incineration (or ing units.

In addition, many states and local agencies have adopted

regulations that require an environmental assessment as
part of the project authorization or local approval process.
Often, these assessments are patterned after the NEPA re-
quirements and involve an evaluation of the existing envi-
ronmental conditions, potential project impacts, alternatives
considered, and ways to mitigate unavoidable project im-
pacts.
Section 15.02(d) of the NEPA regulations requires agen-
cies to provide for the early application of NEPA to cases
where actions are planned by private applications or non-
federal entities and are, at some stage, subject to federal
approval of permits, loans, loan guarantees, insurance or
other actions. This is intended to ensure that environmental
factors are considered at an early stage in the planning pro-
cess and to avoid the situation where the applicant for a
federal permit or approval has completed planning and
eliminated all alternatives to the proposed action by the
time the EIS process commences or before the EIS process
has been completed. The National Environmental Policy
Act of 1969 (NEPA), 42 U.S.C. 4321 et seq., requires that F IGURE 8.5 Typical format for an environmental assessment un-
Federal agencies include in their decision-making processes der NEPA.
appropriate and careful consideration of all environmental
effects of proposed actions and their alternatives for public preferred alternative is the alternative that fulfills its statu-
understanding and scrutiny, avoid or minimize adverse ef- tory mission and responsibilities, giving consideration to
fects of proposed actions, and restore and enhance environ- economic, environmental, technical and other factors. The
mental quality as much as possible. proposed alternative may or may not be determined to be
The initial step in this process is preparation of an En- the preferred alternative upon completion of the EIS.
vironmental Assessment (EA). The EA is prepared to pro- The EIS requires the evaluation of all reasonable alter-
vide sufficient data and analysis to determine whether there natives to determine the impacts the actions would have on
is a Finding of No Significant Impact (FONSI) or that an the human environment. These alternatives must be rigor-
Environmental Impact Statement (EIS) is required. The EA ously explored and objectively evaluated. Where reasonable
is a concise public document which has three defined func- alternatives are infinite, a reasonable number of alternatives
tions: are required to cover the full spectrum of alternatives. In
addition, a ‘‘No action’’ alternative is required to provide a
䡲 Briefly provide sufficient evidence and analysis for benchmark, enabling decisionmakers to compare the mag-
determining whether to prepare an EIS, nitude of environmental affects of the action alternatives.
This can be a critical element in deciding the preferred al-
䡲 Help identify better alternatives and mitigation ternative because there are impacts with the No action al-
measures when an EIS is not required, and ternative. For example, if the proposed action was to
䡲 Facilitate the preparation of an EIS when one is reconstruct mass transit because of the increased traffic in the
quired. specified area, the impacts associated with the no action
alternative is the increase in traffic.
The EA typically contains a brief discussion of the need for
the proposed action, alternative actions and the environ- REFERENCES
mental impacts of the proposed actions and alternatives. An Corbitt, Robert A. Standard Handbook of Environmental Engineer-
ing, 2d ed. McGraw-Hill, New York, 1999.
example format for a typical EA under NEPA is provided
Environmental Protection Agency (EPA), Musts for USTs: A Sum-
in Figure 8.5. An environmental review process is imple-
mary of Federal Regulations for Underground Storage Tank Systems,
mented to assure NEPA considerations are taken into ac- EPA 510-K-95-002, 1995.
count. This review is the process that determines whether
Environmenal Protection Agency (EPA), Straight Talk on Tanks:
a proposed action may have a significant impact on the Leak Detection Methods for Petroleum Underground Storage Tanks
environment, requiring the preparation of an EIS. An EIS and Piping, EPA 510-B-97-007, 1997.
is not required when the EA determines that the proposed Environmental Protection Agency (EPA), Don’t Wait until 1998:
action results in a FONSI. An EA or EIS may not be re- Spill, Overfill, and Corrosion Protection for Underground Storage
quired if the proposed action is ‘‘categorically excluded.’’ Tanks, EPA 510-B-94-002, 1994.
The objective of the EIS is to present the alternatives, Virginia Department of Environmental Quality, Procedure for En-
evaluate them and determine the preferred alternative. The vironmental Impact Review of Major State Facilities, 1998.
CHAPTER 9
HISTORIC AND
ARCHAEOLOGIC
ASSESSMENT
Elizabeth Couture, MURP, MARCH
GETTING STARTED tionship of both professions to land development. We all

Preservation is viewed through buildings, artifacts and so- hold such images—the old courthouse, cemeteries, battle-
cietal remnants saved in part or whole. It is a process that fields, monuments, sites cordoned off for the excavation of
interacts with land development in two ways: (1) govern- ruins and artifacts, and more finite examples of framed ar-
ment ordinances, permits, zoning, and taxation; and (2) chitectural drawings, aged photographs, and dusty stacks
community awareness, involvement, and reaction. The ex- of deed or land books on library shelves—all of which
tent of interaction varies with the historic or archeological highlight the poignant importance they play in shaping the
resource perceived, discovered, or clearly evident on the definition of a historic resource.
land parcel. Understanding how preservation relates to the Preservation of historic and archeological efforts identify
ownership and use of land is the context of this section. ‘‘material’’ resources significant to the individual and com-
Part of owning land and shaping its use centers on a munity as a whole. By its very nature, the evolution of pres-
knowledge of and respect for its past. That past may present ervation is a natural off-shoot of land changes and
clear and obvious historic or archeological attributes, or it development. It is that part of growth that requires a respect
may encompass a process of study and evaluation that leads and acknowledgement of cultural precedent with careful in-
to the identification or elimination of preservation re- vestigation and documentation to assure that sufficient ‘‘im-
sources. The discovery of such preservation resources, how ages’’ remain amid the rapid and ever changing fabric of
best to define alternative strategies for their inclusion with our landscape.
the planning and development of land, and why their in- Keeping intact parts or all of a particular material image
clusion in the process of land use grows increasingly more underscores the increasing role of historic preservation and
important requires an understanding of: archeological efforts by citizens, public officials, and land
development professionals. Setting aside regulatory and le-
䡲 The Preservation movement gal concerns within the industry, one should recognize that
䡲 Initial resource assessment the precedent use of any given piece of real estate embodies
䡲 Public preservation tools a history of land use itself.
䡲 Strategies for resource inclusion Land development by its nature is the creation of
‘‘places,’’ each of which has the opportunity to establish
Historic preservation and archeology are often thought history. With this understanding, each ‘‘developer’’ (owner,
of together as they clarify the past. Images of ‘‘old’’ things planner, and/or representative) bears the responsibility to
displayed in museums or on tables tell a story of our past. respect the past and to plan for the future. Our future build-
Much of what we display is valued as historic, not for any ing efforts stand on the foundation of land development
national or monumental reason, but merely because it has accomplishments for thousands of years.
survived time. These images and how changes to them af- Preserving the artifacts of our history is a reasonable re-
fect our everyday lives have dramatically altered the rela- sponse to a culture that aches for a sense of continuity while
149
HISTORIC AND ARCHAEOLOGIC ASSESSMENT
complishments define our society, the people, their routines

and their daily lives.
While many builders, citizens and municipalities have
demonstrated a regard for historic preservation and worked
vigorously to save unique structures and land features,
many have not. Numerous instances may be cited where a
revered building or site has been destroyed, resulting in
outrage. Community reaction to real or perceived threats to
resources of our nation’s history have significantly influ-
enced the language and enforcement of federal, state, and
municipal legislative laws, permitting procedures, penalties,
taxes and zoning ordinances during the 20th century. This
increasingly stringent regulatory environment, coupled with
selective financial incentives and tax credits, has spurred a
major increase in rehabilitation, reuse, reconstruction and
documentation efforts.
F IGURE 9.1 C&O Canal. (Courtesy of D.C. Insider Tours) Archeology parallels historic preservation, interacting
within the process of land development in a similar and
related way. Archeology embodies the identification of his-
living amid constant physical change. Many people and tory through the study of remnants, bits and pieces of ma-
communities feel a decline in continuity as they witness the terials buried and left by civilizations and persons of the
physical landscape change daily. Steady and rapid change, past. Each artifact uncovered at a location brings factual
be it building construction, increased vehicular traffic, importance to the investigation of a particular event or
and/or cultural integration, contribute to the psychological place. In many cases, like earthquakes, crashes, fire, etc.,
need people feel to live with a ‘‘sense of place.’’ life and death casualty reports and cause-related evidence
There is a basic human need for ‘‘permanence’’ and re- can only be understood by the archeological findings.
spect for ‘‘society’’ as perceived; this need weaves a thread Archeological studies are time-consuming and expensive.
of stability within ‘‘places’’ experiencing physical change. Consequently, the process of archeology, unlike historic
Rapid social and physical changes without regard to these preservation, is undertaken generally after careful exami-
individual and collective needs have fostered community nation of existing physical forms to determine the impor-
outrage on more than one occasion. Heightened sensitivity tance and likely outcome of excavation.
to preservation concerns within the land development pro- Initial studies of on-site landforms, building remains and
cess can quiet such outrage and yield positive outcomes. former land surveys offer excellent indications of whether
The information in this section is organized and chosen further investigation is warranted. The trained eye and
to broaden the understanding of preservation and archeo- skilled hand of a professional archeologist can often gather
logical considerations within the framework of on-going sufficient information in a partial or sample excavation to
land development and societal change. The old adage, determine if a particular land parcel, or isolated location
‘‘what goes around, comes around,’’ holds true with regard within the parcel, should be contained for further investi-
to land development. Consideration of preservation issues gation.
at the initial stage of developing a parcel of land will result The U.S. Department of the Interior has categorized land
in a variety of long-term benefits, which typically include: elements, available in publications, as key indicators that
an archeological resource probably exists; they list land
䡲 A reduction in real or perceived community appre- mounds, walls, wells, pits/dumps, ruins/relics, founda-
hension, the loss of history tions, vessels/ships/boats, depressions, caves, cemeteries,
䡲 Cost savings as a result of not having to backtrack and/or unusual vegetation formations. Where encountered,
at a later date to resolve issues not addressed stop and take time to permit on-site examination with pos-
䡲 Expedient and more cooperative public review sible sub-surface testing. The importance to and association
䡲 The product result of a built form, which has cul- with land development efforts is clear. Early involvement
tural merit as well as a strong design integrity and site examination could curtail and resolve questions of
archeological resources raised later in the development pro-
Historic Context cess under the guise of environmental assessment.
For thousands of years people have worked to establish
their ‘‘mark’’ on society and/or time. Monuments, tombs, Historic Overview
buildings, billboards, and even the first McDonald’s define The movements of historic preservation and archeology
accomplishment by a person or group of people. Such ac- started with the concerns and actions of private individuals.

9 䡲 HISTORIC AND ARCHAEOLOGIC ASSESSMENT 151
Monticello—the home of President Thomas Jefferson

(1923), the historic core of Charleston, South Carolina
(1930), Colonial Williamsburg, Virginia (1930), and in New
Orleans, Louisiana (1937). These are but a few examples.
Key legislative actions by the United States Congress
have fostered the growth and importance of historic pres-
ervation and archeology. They include the Antiquities Act
of 1906, which concentrated national attention on the pro-
tection of specific building and archeological sites and was
largely spurred by park and monument building efforts
starting after the Civil War. The intent of this act was ex-
panded in 1935 with the Works Progress Administration
(WPA) of the National Recovery Act during the Great De-
pression.
F I G U R E 9 . 2 Jamestown archaeological dig site. (Courtesy of Out of these programs grew the Historic American Build-
Jamestown National Historical Archives) ing Survey, a work program calling for the measurement
and photographic documentation of particular historic
structures. In 1935 Congress passed the Historic Sites Act,
It has subsequently been institutionalized and has evolved which authorized the Secretary of the Interior to identify
into professional opportunities for a diverse range of dis- and acknowledge properties of value to national history and
ciplines, including architects, historians, landscape archi- archeology. At this time the National Historic Landmarks
tects, lawyers, engineers, photographers, archaeologists, Registry and the Historic American Building Survey were
land surveyors, and educators. Several factors have nur- permanently established within the U.S. Department of the
tured the increasing professional pursuit of historic and Interior.
archeological interests within the purview of land devel- In 1949, Congress chartered the establishment of the
opment activity. They include: National Trust For Historic Preservation, a quasi-public or-
䡲 Patriotism: our communal and individual need to ganization created to bridge the gap between private citizen
protect and acknowledge the accomplishments of our efforts and government objectives to identify and preserve
national heritage qualifying properties and sites of historic significance. In its
䡲 Due Process—Representation: legislative actions at creation, the Trust served to recognize officially and unify
all levels of government have legitimized a public man- over 100 years of grass-root citizen and government efforts
date for preservation activity to preserve significant sites and buildings.
䡲 ‘‘Roots’’: our personal need as individuals and pro- In step with this commitment, Congress passed the
fessionals to recognize and save artifacts commemorat- ‘‘Housing Act,’’ 1961, requiring the Secretary and Depart-
ing our heritage ment of Housing and Urban Development (HUD) to iden-
䡲 Media: attention to lost cultural and historic arti- tify, assess, and aid in the protection of historic properties
facts has fostered community awareness and education within the guidelines of urban renewal activities. Congress
of preservation further charged the Secretary and Department of Transpor-
䡲 Profit: The pragmatism of development that a tation in 1966, under the Transportation Act for Highway
saved or eliminated historic resource will generate Expansion, with the responsibility of identifying potential
profit archeological sites for exploration and/or candidate historic
structures as a component of highway planning, design, and
The home of the historic preservation movement is reconstruction. Congress next passed the National Historic
puted to be Fairfax County, Virginia. It began in 1858, Preservation Act (1966), further expanding the responsibil-
when the Mount Vernon Ladies Association succeeded in ities of preservation administration within the U.S. Depart-
saving Mount Vernon, the plantation home of President ment of the Interior and the National Park Service.
George Washington (1754–1799). Their efforts were en- President Lyndon Johnson’s Housing Act of 1964, Amer-
hanced when the State of Virginia passed legislation em- ica Beautiful campaign, and the Housing and Urban
powering the association with the duty to manage, maintain Development Act of 1968 propelled the private sector
and restore the property as a place of national importance preservation movement in negative reaction to federally
for public education and enjoyment. funded urban removal and reconstruction projects in nu-
Comparable efforts can be matched by works of many merous older city neighborhoods nationwide (Waterbury,
other organized and individual endeavors nationwide. Res- Connecticut, being one example).
toration began in Sturbridge Village, Massachusetts (1859), Another powerful event that strengthened the preserva-
in the historic district of El Pueblo de Los Angeles (1920), tion movement and challenged development efforts is the

1978 U.S. Supreme Court’s ruling to halt demolition of 䡲 Department of Agriculture

Grand Central Station in New York City. The Court ruled 䡲 Farm and rural services
the train station to be of cultural, historical, and architec- 䡲 Forest and Natural Resource Conservation services
tural significance to citizens in New York City. The Court 䡲 Department of Commerce
ruled that preservation of the building would not subject 䡲 Economic and Trade (National and International)
the land developer to an unjust economic burden. The de- 䡲 Ocean and Atmospheric Trade
cision expanded the base of preservation. 䡲 Department of Defense
Legislative acts established a precedent for future land All sectors have rescues and sites to maintain
development ventures in several ways. For the first time, all 䡲 Department of Education
building types, including but no longer limited to those 䡲 Department of Energy
associated with the ‘‘Founding Fathers’’ and colonists, were 䡲 Department of Health and Human Services
now candidates for preservation as a function of their lo- 䡲 Department of Housing and Urban Development
cation and association with the heritage of a ‘‘place.’’ 䡲 Department of the Interior
Second, preservation forces could effectively petition the 䡲 Bureau’s of Indian, Land, and Reclamation
courts to enjoin developers from demolishing or jeopard- 䡲 National Park Service
izing the historic integrity of a structure. The extent of such 䡲 U.S. Geological Survey
forces served not only to stop but also to re-direct the de- 䡲 Mining, Fish and Wildlife Services
sign and development of a program envisioned. Third, the 䡲 Department of Justice
decision challenged the intent of zoning. Whereas previ- 䡲 Department of Labor
ously a landowner viewed zoning as the definition of ex- 䡲 Department of State
isting or potential development for a particular land parcel, 䡲 Department of Transportation
this ruling established that a land use zoning classification All sectors: rail, road, aviation, coastal, and transit
does not necessarily guarantee a right or expectation of de- 䡲 Department of the Treasury
velopment. Last, but perhaps most important, this ruling 䡲 Department of Veteran Affairs
also established a new concept for ‘‘fair’’ economic returns 䡲 Environmental Protection Agency
within the context of the private land development financial 䡲 Federal Communications Commission
interest. It upheld that a profit is reasonable and expected 䡲 Federal Deposit Insurance Corporation
by all private development efforts. However, the extent of 䡲 Federal Housing Finance Board
that profit needs to be weighed against the costs that might 䡲 Federal Emergency Management Agency
otherwise be incurred with the loss of a historically signif- 䡲 General Services Administration
icant structure or site. The ruling has been challenged many 䡲 Library of Congress
times and continuously upheld. When historic resources are 䡲 Metropolitan Washington Airports Authority
in potential jeopardy, the privilege of private land owner- 䡲 National Aeronautics and Space Administration
ship and development rights are placed under scrutiny. 䡲 National Capital Planning Commission
䡲 National Endowment for the Humanities
䡲 National Science Foundation
Preservation Resource Identification
䡲 Nuclear Regulatory Commission
Preservation and archeological exploration has come a long 䡲 Presidio Trust
way since the 1978 Supreme Court ruling. As a movement 䡲 Small Business Administration
and philosophy, it has grown far beyond the traditions of 䡲 Smithsonian Institution
rebuilding and saving antiquities to the appreciation of built 䡲 Tennessee Valley Authority
(buildings, land forms, and ‘‘things’’) elements common to 䡲 United States Postal Authority
everyday man that have merely survived time.
Today, 72,000 buildings and sites are listed on the Na- Note: each Federal agency is further expanded at State
tional Register; only 77% of these are structures, including and Local government levels with comparable policy and
all building types and tunnels, roads, dams, bridges, etc. regulatory programs. See: www.achp.gov/federal.html@aol.
(See: www.cr.nps.gov/[email protected].) com.
Public policy and incentives to work with land devel- Controversial land development efforts where preserva-
opment endeavors have also expanded, allowing broader tion is concerned will also fall under Section 106. This sec-
and more incremental flexibility to the extent and goals of tion created the Advisory Council on Historic Preservation
preservation. as an independent Federal agency that provides a public
The National Historic Preservation Act of 1966 was ex- and private forum for the resolution of many interests. See:
panded in 1992, Section 110, to broaden Federal agency www.achp.gov/about [email protected].
involvement. Today, preservation staff and cultural resource Time coupled with increased land development nation-
policies exist within the following agencies (those of major wide reveals the ever-growing power of preservation. Re-
significance to land development are underlined): sources, physically present or perceived (like battlefields,

9 䡲 HISTORIC AND ARCHAEOLOGIC ASSESSMENT 153
mines, and other subsurface archeological evidence) are a civil war battlefield based on its archeological importance.
ever more important to people. The land developer, now Years of community outrage matched by extensive efforts
more than ever, needs to be knowledgeable of the move- on the part of the developer to study alternative designs
ment. What determines whether a resource is worthy of and legal avenues for project realization saw the project end
preservation or archaeological consideration must be un- in a condemnation law-suit in 1990. The court ruled that
derstood within the context of different information cate- the property be purchased and preserved as a national park;
gories: this decision cost taxpayers millions of dollars for land ac-
quisition and legal procedures. Perhaps early archeological
䡲 Resources of national importance are defined by investigation would have curtailed such an outcome? At
the criteria for landmark and National Register nomi- least, in this case, early study would have afforded the de-
nation: veloper more alternatives for land use or sale.
▫ Association with significant events This case further demonstrates the diverse range of pro-
▫ Persons who have contributed greatly to our na- fessional, historians, land planners, landscape architects,
tion and civil with geotechnical engineers to a broad spectrum
▫ Distinctive architecture based on style, materials, of legal specialties included in the process of historic re-
age (50 years or older in most cases), construction source protection today. Other people employed or actively
technique, or that represent the work of a master volunteering in the fields of preservation and archaeology
▫ The potential to yield information pertinent to are also equally valued in the process. The list of speciali-
national history or prehistory zations is lengthy, and in cases overwhelming. This case
䡲 Resources of state and local significance based on clearly demonstrates that the job of resource definition and
the interpretation of national criteria applied at a more resolution is complex.
vernacular level In an attempt to simplify this maze, a two-step approach
䡲 Resources by their location within, adjacent to, or is offered. Start at the local government level, asking who
near a registered historic structure, site, or district or what office handles preservation and archaeology con-
䡲 Resources as a function of environmental assess- cerns. With a clear understanding of local information and
ment findings terminology, branch to county, region and state government
䡲 Potential resources based on perceived historic levels. In most cases, a telephone call will open the oppor-
value tunity for further research via publications, internet, or li-
brary. Second, as your knowledge grows, so will the depth
It is this very aspect of growing flexibility in land-use of your questions. Similarly, you will gain a better under-
that draws every property or building under development standing of professional resources at hand and willing to
in scrutiny with regard to potential historic value. In most help your effort.
instances, the opportunities and benefits emerge early in the One of the best ways to initiate resource identification is
research and design phases of the land development pro- to obtain site and policy information from municipal rep-
cess. At the earliest possible stage of land acquisition and resentatives employed with the job of coordinating and ad-
development, planning an assessment of potential preser- dressing issues of historic preservation, archeology and land
vation resources should be taken. planning. You may find that their help saves time and
Acquisition typically includes the legal research of land money during the early planning stages.
records and the civil engineering of property boundaries.
These transactions and others frequently produce informa- LEGAL ISSUES PERTAINING TO PRESERVATION
tion important to future development planning. At the in- There is abundant legal precedent affording protection to
itial stage of land acquisition and development planning, historic and archeological resources at all levels: local, state
look at deed and property plats for property characteristics and national. The law clearly sets forth limits regarding the
that merit further study. Ask real estate, legal and title per- disturbance of land and the improvements thereon. Land
sonnel during the process of land acquisition to watch for ownership and development carry the responsibility of be-
and highlight any signs of a historic or archeological re- ing knowledgeable of such limits, especially with regard to
source. Secure copies of deeds searched in support of land the demolition of site improvements, the disturbance of
acquisition and clear title. Analyze each document for ref- cemetery plots, and the excavation of earth. While it is often
erences to historic events, buildings, people, or cemeteries. difficult for federal, state, and local administrators to police
Likewise, property surveys and engineering building studies every resource, penalties, fees, and criminal charges can re-
are often routinely preformed during the acquisition pro- sult where deliberate action has resulted in the loss of prop-
cess; ask each professional to look for evidence of historic- erty or artifacts that may be of historic or archaeological
ity—this can not be overemphasized. importance.
Williams Center, a mixed-use development project in It is prudent to secure legal advice at the earliest stage
Manassas, Virginia, was stopped by the reaction of one cit- of land acquisition and program planning to gain a clear
izen who effectively organized a national movement to save understanding of the rights and responsibilities affiliated

with a development effort. Advice pertinent to preservation Darr, Lonnie, A Technical Manual for Woodland Conservation with
issues within the endeavor should include: Development in Prince Georges County, Maryland-National Capital
Park and Planning Commission, Upper Marlboro, Md., 1990.
1. Ask that title reports and deeds searched for land DeChiara, Joseph, and Lee E. Koppelman, Time-Saver Standards
acquisition be reproduced for file records, and that ap- For Site Planning, McGraw-Hill, New York, 1984.
propriate notations be made regarding ownership and Fairfax County, Comprehensive Plan: Fairfax County, Virginia
property improvements over time. Area III, 1986.
Fairfax County, 1987 Standard Report, 1987.
2. Request legal interpretation of references and nota-
Fitch, James Marston, Historic Preservation, McGraw-Hill, New
tions on deed copies provided. York, 1982.
3. Secure copies of property plats, often referenced in Gillette, Jane Brown, ‘‘Elvis Lives,’’ Historic Preservation Magazine,
deeds and required for financing. May 1992.
Macie, Edward A., and Gary Moll, Shading Our Cities: A Resource
4. If a new plat is required, ask the surveyor to re- Guide for Urban and Community Forests, Gary Moll and Sara
search older, former plats, and to provide copies. Ebenreck, eds. American Forestry Association, Island Press,
5. In the event that deeds or plats reference improve- Washington, D.C., 1989.
ments, relics, former events, sub-surface conditions Marois, Denise. ‘‘Farming: ‘A Way of Life under Seige,’ ’’ The Ga-
zette, Vienna, Va., November 10, 1988.
(wells, waste, burial), or information implying historic
or archaeological resources, ask for a definition. Mary Morris Planning Advisory Service, Innovative Tools for His-
toric Preservation, Report #438, 1992.
6. Last, maintain records and communication. With Miller, Robert W., Urban Forestry: Planning and Managing Urban
good records and clear questions, a great deal can be Greenspaces, Prentice Hall: Englewood Cliffs, New Jersey, 1988.
resolved. Most attorneys involved in land development Moll, Gary, and Sara Ebenreck, eds., Shading Our Cities, A Re-
have prior experiences that may offer guidance to your source Guide for Urban and Community Forests, American Forestry
situation. Likewise, most public agents working in land Association, Island Press, 1989.
or historic planning have knowledge of other projects Moloney, Noval, Archaeology, Oxford University Press, England
that may be important to your planning effort. and New York, 1996.
The Mount Vernon Ladies Association of the Union, Mount Ver-
non: A Handbook, Mount Vernon, Va., 1985
CONCLUSIONS
National Association of Home Builders of the United States,
The role of historic preservation and archaeological resource Land Development, National Association of Home Builders of the
assessment within the land development process is contin- United States, Washington, D.C., 1987.
ually growing and expanding. The traditional concerns of a Natural Resources Defense Council Inc. v. EPA, Nos. 90-70671 and
property being historic in terms of age and national im- 91-70200, slip op. at 6217 9th Cir. June 4, 1992.
portance have branched into a wider arena, where contem- Netherton, Ross, and Nan Netherton, Fairfax County in Virginia,
porary issues of culture, heritage, community, environment, Donning Company, Norfolk, Va., 1986.
material use, and archaeology are of significant importance. Robinette, Gary, Local Landscape Ordinances, Agora Communica-
Most land development endeavors recognize and plan for tions, Plano, Texas, 1992.
inclusion of these concerns. The emphasis of this presen- Smardon, Richard C., and James P. Karp, The Legal Landscape,
tation has been to increase the level of understanding of Van Nostrand Reinhold, New York, New York, 1993.
and appreciation for the role of historic preservation and Travers, Naomi S., ‘‘Last Fairfax Dairy Farmer Holds Out for
archaeology as a function of land change. Love of the Land,’’ Washington Post, Sept. 6, 1988.
The cost to overlook resource assessment is substantial. U.S. Department of the Interior, National Park Service, National
Every legal case since Mount Vernon heightens this reality. Register Bulletin: How to Apply the National Register Criteria for
The natural process of change spurred by economic supply Evaluation, Publication #15, Washington, D.C.
or demand, profit, or the needs of people must be viewed U.S. Department of the Interior, National Park Service, Guidelines
in context with the real and perceived value history holds. for Preservation, Washington, D.C.
The rate and degree of change serves to increase the im- Upton, Dell, and John Michael Vlach, Common Places: Readings
portance of history, in part or in whole, to people. This in American Vernacular Architecture, University of Georgia Press,
section broadens both awareness to and appreciation for Athens, Ga., 1986.
preservation and archaeology interests as they play a direct Weinberg, Nathan, Preservation in American Towns and Cities,
role in development. Westview Press, Boulder, Colorado, 1979.
Wiencek, Henry, The Smithsonian Guide to Historic America, Stew-
art, Tabori & Chang, New York, 1989.
REFERENCES Wood, Joseph S., ‘‘Shaping The Present: Geographical Essays on
Couture, Elizabeth, for the Batman Company and U.S. Depart- Historic Preservation Policy,’’ North American Culture, Society for
ment of the Interior, McNair Farms. Herndon, Virginia, 1988. the North American Cultural Survey, Vol. 4 No. 2, 1988.

CHAPTER 10
MARKET ANALYSIS AND

ECONOMIC FEASIBILITY
JoAnna Pillis Alexis
INTRODUCTION and the target purchasers or tenants. However, regardless

In determining the feasibility of developing a parcel of land, of the quality and quantity of statistical information avail-
one cannot overlook the importance of the economic feas- able, the feasibility study also requires a thorough under-
ibility of the project. Previous chapters within this book standing of elements such as community acceptance and
have dealt with the environmental and engineering-related local political environment. This information can be ob-
issues that need to be evaluated during a comprehensive tained only from personal interaction with regulatory staff
feasibility study. This chapter will discuss the components in the applicable jurisdiction, elected officials, and com-
of economic feasibility and its importance in developing a munity leaders.
successful project.
In its most elemental form, economic feasibility analysis MARKET ANALYSIS
is nothing more than stacking up the most likely scenario The market analysis is performed to define the economic
of income and expense and answering the question ‘‘Is the environment. Features analyzed include demographic data,
anticipated return enough to justify spending the money?’’ transportation patterns, and regional social and economic
While the market analysis identifies the product features trends that will affect the supply and demand for a specific
that will lead to the probable income profile, cost estimating type of real property. The analysis provides detailed infor-
identifies the expense part of the formulas. Additionally, the mation about commuting or travel trends, saturation and
required investment return of the developer/builder gives absorption rates for certain types of uses, and consumer
the parameters within which yields are acceptable, while preferences for price, land use, or density variations, and it
the experience factor often shapes the decision in ways that is also used to identify those items that meet with political
are not obvious to any student of the science of analysis. or consumer resistance.
The objective of the market study and the marketability The economic feasibility study looks at those factors that
analysis is to
determine the needs of the community for housing, em-
1. Define the specific product and features. ployment, and retail areas and other land uses. It examines
the growth rate of employment in the community, manu-
2. Set the price range. facturing output, retail sales, and other elements that may
3. Project the expected pace of sales or leasing. reflect job creation and demand for commercial space and
a variety of appropriately priced housing. The analysis looks
4. Identify the most probable changes that will occur
at demographic factors such as number of households,
in the economic and development climate between ini-
household income, and age distribution. These factors de-
tiation of the project and completion of the program of
termine the community’s affluence and characteristics of the
sales or leasing.
available labor force. In addition, those who perform mar-
Decisions based on this information will dictate the cost ket analyses look to the interrelationships between uses.
structure, densities sought, timing of delivery of product, Certain land uses create demands for other types of land
155
MARKET ANALYSIS AND ECONOMIC FEASIBILITY
use that service them, such as warehousing facilities near land use. Data on size of households can be interpreted as
manufacturing centers. Some land uses, usually public fa- suggesting demand for variations in housing, lot size, and
cilities or regional service centers, have features that make number of bedrooms. A predominance of high household
it attractive for related land uses to locate near them. An income could create demand for larger, more luxurious
airport is an example of such a facility, which will attract units as well as units requiring low yard maintenance. An
hotels, shipping and warehousing facilities, and offices. The age cohort analysis indicating a sizeable middle-aged or
broad approach may be used by employers in other cities elderly population, so-called empty nesters, could also
or by developers looking for specific properties in locations suggest demand for smaller, luxury units. In some com-
that fit in with company operations. munities, this demand could suggest housing types that re-
However, the market analysis that is performed in con- quire less maintenance, such as apartments or townhouses
junction with all but the most complex projects focuses on in condominium or cooperative ownership. Have certain
a narrower geographic area, which is usually the area in the segments of the population been overlooked? Could there
general vicinity of land under consideration for develop- be demand for senior citizen communities, more affordable
ment. The market analysis is performed to identify elements housing, or projects that emphasize leisure-time activities?
that will help the developer determine what land use is Information on commuting patterns, such as direction of
most likely to succeed in a given location, what specific peak hour flows and residents’ tolerance and expectations
form and density it should take, what price range is rea- for distance and time, is also important. Along with prox-
sonable, and what features and amenities should be incor- imity to certain employment centers, this information could
porated into the project. indicate who the potential buyers are likely to be.
Although the analysis always reflects a point in time, Examination of the economy concerns itself with em-
decisions based on it must recognize that in many cases, ployment conditions and job growth. Two important ele-
land development is a multiyear process. Conditions often ments are conditions that encourage job retention and local
change significantly during the life of a development; there- efforts aggressively attracting new businesses. Quality of life
fore, comprehensive studies must take into account other issues are important factors in the local economy. These
competitive or complementary projects that may be under include housing affordability, availability of an appropriately
consideration by other developers or may already be in the skilled labor force, cost of living, tax burden on individuals
review process. Such projects may either absorb some of and corporations, interregional transportation facilities, in-
the demand that is assumed to exist for the client’s project cidence of crime, community identity, and cultural ameni-
or create new demand that will enhance the prospective ties. Of particular interest is the expansion of companies
project. By conducting market research before undertaking already located in the community and the movement of
a development project, the developer can lessen the risks new employers into the area.
associated with the venture. The market analysis prepared
for the land developer enables the consulting team to nar- Information Sources
row their range of project alternatives with a plan supported Much of the information contained in the community’s
by its conclusions. While the design consultants rarely con- comprehensive plan offers a strong base upon which to
duct the market research for the developer, their early par- build data about the local market. As with all printed in-
ticipation in the analysis is valuable. formation, however, the timeliness of the information is
Additionally, the market study inventories the range of critical because of rapid change caused by local, regional,
products that are currently available. It categorizes them by and national forces. Local market research firms often main-
their size, price range, and competitive features and the tain relatively current survey data that are useful to the de-
dynamics and change in consumer demand and prefer- velopment team. Such information often is very detailed
ences. Among these factors are the characteristics of the and includes construction and sales rates data, along with
resale market for existing homes. Strength in the resale mar- a description of important features in all active projects in
ket, signified by homes on the market for short duration, the area. In addition, builders often conduct surveys of con-
suggests that demand could be strong for move-up homes, sumer preference based on responses from those who visit
those in the next-higher price range. A survey of the com- their sales offices in different projects. These provide useful
petition should categorize projects by location, price, unit information about which features to emphasize or eliminate
and lot size, features, and sales or leasing rate. This infor- in subsequent projects. Local chambers of commerce, eco-
mation is important to the design consultants engaged in nomic development authorities, utility companies, the U.S.
studying project feasibility, as well as for those projects al- Census Bureau, local building or vital statistics depart-
ready in development review. ments, and similar institutions are other valuable sources of
The demographic analysis examines the characteristics market, economic, and demographic indicators. Organiza-
of the local population. Overall population growth and rates tions such as the National Association of Home Builders,
of household formation affect gross housing needs. In ad- the National Association of Industrial and Office Parks, and
dition, the researcher specifically looks for patterns that are the Urban Land Institute periodically publish information
likely to affect demand for certain types and qualities of concerning consumer preferences.

10 䡲 MARKET ANALYSIS AND ECONOMIC FEASIBILITY 157
MARKETABILITY STUDY 䡲 Feasibility studies, market analysis

Marketability analysis deals with the acceptability of a spe- 䡲 Contracting and purchase costs, including legal, ti-
cific property and product type to be absorbed successfully tle work and title insurance, closing costs, appraisals,
in a given market condition. Recognizing that most projects, loan fees, and lender’s required studies
even small ones, require years of preparation, development,
and construction prior to delivery of the product to the 䡲 Engineering and design
purchaser or renter, the marketability analysis will often be 䡲 Environmental studies
done several times during the life of the project. During the
initial feasibility study, the developer/builder is often deal- 䡲 Boundary survey
ing with the broadest form of the product—for example, 䡲 Topography
townhouses versus single-family dwellings, how large, and
what overall product mix. As the engineering and design 䡲 Flood plain studies
process progresses from schematic to conceptual, the prod- 䡲 Soils tests and bearing capacity
uct definition takes further shape—what exterior materials,
major components of landscaping, patios, and parking ar- 䡲 Site plan, subdivision plan, plans and profiles
eas. Just before commencement of construction, larger 䡲 Easements
builders are often still testing the marketability of their spe-
cific product types—what has sold most among other new 䡲 Land development costs
homes in the region? How large are the bedrooms? How 䡲 Clearing, demolition, rough grading, and earth bal-
many fireplaces are attractive? What features are popular in ance
the kitchen? What modifications are indicated in feedback
from the model home? The most common sources of in- 䡲 Soils/rock—soil import/export
formation at this final stage are the purchasers themselves 䡲 Hazardous materials removal and restoration
and the local brokerage community most familiar with the
product type and sales or leasing, with many larger bro- 䡲 Siltation control, maintenance during construction
kerage firms having acquired professional market research 䡲 Stormwater management, best management prac-
firms that will do gross statistical analysis for their clients.
tices
COST PROJECTIONS 䡲 Wetlands protection and management
In order to determine the potential for profitability, it is 䡲 Retaining walls
required that all of the elements of development be iden-
tified and cost estimates be made, with increasing levels of 䡲 Streets and access, including temporary construc-
specificity as the project moves toward start of construction. tion access
Some of the broad elements of costs are listed below. All 䡲 Curb and gutter, sidewalks, driveways, medians
should be estimated with the greatest possible accuracy,
given the information at hand. Many of these elements will 䡲 Trails and bike paths
be defined through the engineering consultants’ reports. 䡲 Utilities: easements, infrastructure, permits and ac-
These reports will identify certain physical features of the cess fees
property, from which initial cost estimates can be obtained
from the engineers and then corroborated with construction 䡲 Sanitary sewer
professionals. The following list is not intended to be all- 䡲 Water
inclusive, but rather to demonstrate the range of costs in-
volved in most development projects. Because this book 䡲 Gas
deals with land development, the list is most detailed on 䡲 Electric
such development issues and mentions only briefly con-
struction costs of the buildings themselves. 䡲 Telephone, Internet, cable, specialized access
䡲 Street and lot lighting
Major Cost Categories
䡲 Landscaping, trees
䡲 Rezoning, special use permits, special exceptions,
䡲 Fences and decorative walls
and other amendments to land use, including costs of
engineering and legal and community outreach to ob- 䡲 Offsite costs (e.g., downstream mitigation, easement
tain approvals acquisition)
䡲 Land cost (and its relationship to yield) and struc- 䡲 Covenants, conditions and restrictions, formation
ture of payment for land of owners’ associations, applications and qualifications

for regulatory approval (e.g., FHA approval of subdivi- process that the purchaser must produce dollars to pay the
sion), condominium or cooperative documents seller, the higher the price to the seller. Effectively, a land-
owner who contracts with a developer/builder for a land
䡲 Entry features and signs
price based on yield in the zoning process and payment
䡲 Specialized impact studies (for example, noise when units are sold has effectively become a partner with
studies near airports) and mitigation costs the developer/builder, as his land value is at risk until the
complete payment is received.
䡲 Letters of credit, bonds, and other forms of surety
Those dollars not borrowed are considered equity, or
䡲 Completion agreements and other development funds of the owner. In general, all such funds are fully at
documents risk and require unlimited commitment with regard to time
and amount. If the project fails to achieve its projected sales
䡲 Final subdivision approval, punchlist and repairs
goals, the owner’s funds must continue to carry the costs
䡲 Insurance of the project and the loan. If the engineering feasibility
failed to disclose a significant subsurface condition that
䡲 Real estate taxes during holding period and special
leads to increased costs for excavation and removal of in-
assessments
adequate soils, the owner’s funds must pay the additional
䡲 Other transportation access and interface (e.g., bus costs of remediation, as well as continued carrying costs
or train connections) during the delay in the project. If the market study failed
to disclose a significant competing project planned on
䡲 Contribution to public facilities, impact fees, and
nearby property that will dominate the market during the
similar proffer costs
same years the subject project is coming to market, the
䡲 Architecture and engineering fees owner’s funds must bear the difference in project costs.
Overall, the increased risks borne by the owner of the pro-
䡲 Testing and inspections (fees paid to local regula-
ject demand that yields be substantially more than the debt
tory agencies and consultants for professional testing)
rate to justify the investment. It is not uncommon for re-
䡲 Hard costs of construction of buildings, garages, quired returns for institutional investors to be between 20
and related structures and 35% per annum. Although many smaller entrepreneu-
rial developer/builders do not define their required returns
䡲 Amenity package and costs (parks, tot lots, pools,
so clearly, the same elements are present in determining the
tennis courts, club houses, etc.)
advisability of undertaking any particular project, given
䡲 Merchandising, advertising and marketing costs
Given that entire courses of study are devoted to tech-

niques of investment analysis, this discussion will limit itself
to the broadest definition of the practice. Every dollar that
goes into a project has a cost associated with it. If it is a
borrowed dollar, it has a defined interest rate, fees, and a
principal repayment schedule. The lender has made its own
evaluation of risk, including its evaluation of the viability
of the primary source of repayment (i.e., the project and its
sales or leasing probability), secondary sources of repay-
ment (i.e., personal guarantees, additional pledged securi-
ties, etc.), the experience and track record of the developer/
builder, and the regulatory environment within which each
such lender must function. The lender has priced its in-
vestment return based on market conditions for alternative
uses of its available funds.
INVESTMENT ANALYSIS
The timing of payment for the land becomes a significant
factor in the success of a project. The seller and purchaser
will negotiate the balance between the price paid directly
for an all-cash settlement in the beginning of the develop-
ment cycle, a delay of settlement during the contract term
while pursuing rezoning and other regulatory entitlements, F IGURE 10.1 Site plan for sample economic feasibility analy-
and payment as sales progress. In general, the later in the sis.

TABLE 10.1 Summary of Financial Projections

LINE* PER LOT
NUMBERS PROJECT SUMMARY TOTALS 320 PERCENT
Income
Gross sales $127,418,934 $398,184 100.00%
...........................................................................................................................
Expenses
1⫹2 Predevelopment costs $145,000 $453 0.11%
3 Design $500,000 $1,563 0.39%
4⫹5⫹6 Land Development $7,700,000 $24,063 6.04%
7 Amenities package $500,000 $1,563 0.39%
8 Utility fees $3,040,000 $9,500 2.39%
9 Marketing/advertising $470,000 $1,469 0.37%
10 Real estate taxes/insurance $1,336,050 $4,175 1.05%
11 House construction $48,622,216 $151,944 38.16%
13 Land acquisition $21,440,000 $67,000 16.83%
14 Overhead & supervision $4,361,929 $13,631 3.42%
15 Developer’s fees $1,869,398 $5,842 1.47%
22 Selling costs/points $10,193,515 $31,855 8.00%
34 Interest on land $5,499,360 $17,186 4.32%
41 Interest on loan $2,693,388 $8,417 2.11%
47 ⫹ 48 Equity partner’s return $5,814,111 $18,169 4.56%
...........................................................................................................................
Total expenses ⫺$114,184,967 ⫺$356,828 ⫺89.61%
...........................................................................................................................
Net profit before tax $13,233,968 $41,356 10.39%
...........................................................................................................................
60 Income taxes paid ⫺$5,293,587 ⫺$16,542 ⫺4.15%
...........................................................................................................................
Net profit after tax $7,940,381 $24,814 6.23%
* See the following pages for detailed calculations and explanations of items in this summary. Line numbers refer to Lines on the detailed explanations.
Percentage of Projected Income
F IGURE 10.2 Percentage of projected income.

160
F
TABLE 10.2 Sample Economic Feasibility Analysis: Residential Project for Sale
All figures shown in thousands of dollars

**Average cost or income per lot expressed in whole dollars
AVERAGE
E A S I B I L I T Y A N D
PER LOT
S
UNIT **
I T E
NOTES YEARS: COST 1 2 3 4 5 6 7 8 9 10 TOTALS 320

A
Expenditures
1 Feasibility $70 $70 $219
2 Zoning $75 $75 $234
N A L Y S I S
3 Engineering design $100 $200 $200 $500 $1,563

4 Grading/earth balance/walls $500 $500 $1,563
5 Land development: community $2,500 $1,500 $4,000 $12,500
6 Land development: on lots $10,000 $500 $500 $500 $500 $500 $500 $200 $3,200 $10,000
7 Amenities package $500 $500 $1,563
8 Utility fees $9,500 $3,040 $3,040 $9,500
9 Marketing/advertising $100 $100 $50 $50 $50 $50 $50 $20 $470 $1,469
10 Real Estate Taxes/insurance $337 $288 $243 $197 $148 $85 $23 $15 $1,336 $4,175
11 House construction $140,000 $7,000 $7,210 $7,426 $7,649 $7,879 $8,115 $3,343 $48,622 $151,944
............................................................................................................................................................................
12 Subtotal $245 $200 $6,677 $9,388 $8,503 $8,174 $8,347 $8,514 $8,687 $3,578 $62,313 $194,729
............................................................................................................................................................................

13 Land acquisition $250 $0 $2,966 $3,037 $3,037 $3,272 $4,188 $4,188 $502 $0 $21,440 $67,000

14 Overhead and supervision 7.00% $17 $14 $467 $657 $595 $572 $584 $596 $608 $250 $4,362 $13,631
15 Developer’s fee 3.00% $7 $6 $200 $282 $255 $245 $250 $255 $261 $107 $1,869 $5,842
16 Interest on loan 8.00% $641 $629 $537 $407 $281 $158 $40 $0 $2,693 $8,417

17 Interest on land 8.00% $1,458 $1,336 $1,093 $841 $543 $208 $20 $0 $5,499 $17,186
............................................................................................................................................................................
18 Total expenditures $520 $220 $12,409 $15,330 $14,021 $13,511 $14,193 $13,919 $10,119 $3,936 $98,177 $306,804
TABLE 10.2 Sample Economic Feasibility Analysis: Residential Project for Sale (Continued)
NOTES TO SAMPLE ECONOMIC FEASIBILITY ANALYSIS

Expenditures:
1. Feasibility: Costs spent prior to acquisition for market analysis, engineering evaluation of soils, environmental factors, utilities, zoning and land use analysis, and other studies to determine feasibility of the project.
2. Zoning: Attorneys’ fees, application fees, and engineering drawings to apply for change in zoning of the property. In this example, this is spent prior to acquisition of the land.
3. Engineering design: Costs of professional services for design of the project to be constructed, including boundary survey, topography, flood plain studies, site plan, subdivision plan, plans and profiles, easements, utility design, and
other engineering requirements. Some of the funds spent during the study period under the contract and for the design of the basic elements of the subdivision will be spent prior to acquisition of the land, and some design work will
continue after the project is underway.
4. Grading / earth balance / walls: Movement of soil on the site, including, when applicable, removal of poor soils and trucking replacement soils from offsite. In this example, the subject property is sloping and will require retaining walls
and movement of soil from one part of the site to the other. This line item will vary dramatically from one project to another and is unique to the individual lay of the land and composition of the soil.
5. Land development; Community: Costs of construction of improvements that will benefit the entire community, including such things as water, sewer, gas, telephone, electric, cable and any other utilities, streets, sidewalks, curb and
gutter, street lighting, and landscaping. In this stage all public improvements are brought to the individual lot lines, but not onto the lots. Other than earth movement, community land development is the first construction cost.
6. Land development; On lots: As sections of lots are sold, the individual lots are finished with utilities, lead walks, driveways, etc., brought from the lot lines to the houses themselves.
7. Amenities package: In this example, the project will have a pool, two tennis courts, a playground and a small clubhouse with showers and restrooms in a central location. This amenity package will generally be constructed after some of
the houses are sold and occupied and families have started to move into the community to enjoy them.
8. Utility Fees: Availability fees paid to relevant governmental agencies and utility companies to tie into the public utility systems, such as water, sewer, gas and electric availability. These are often called ‘‘tap fees,’’ and they vary widely
among jurisdictions and may include payments for extension of services in some instances. These are one-time fees and generally are purchased for the entire community early in the project to assure availability of services for the entire
project.
9. Marketing / advertising: These costs start as soon as the project can be shown and continue for the duration of the sales program. Marketing and advertising costs include ads in newspapers and magazines, brochures and flyers
describing the project and showing options for floor plans and finishes, broker events, promotional gifts and other materials used for promotions.
10. Real estate taxes / insurance: Real estate taxes and liability and hazard insurance for the project. This figure drops over time as lots are sold.
11. House construction: This line item includes all of the hard costs of constructing the houses in this example, including foundations, structure, exteriors, roof, interior finishes, appliances and fixtures.
12. Subtotal: This subtotal represents expenses which can be funded under the construction loan (Lines 1 through 11, included).
13. Land acquisition: There are an infinite number of ways to purchase land; however, in this example, the purchaser is placing a deposit of $250,000 initially, which is applied to the down payment at closing. Closing occurs soon after
the rezoning is completed (in year 3 of this example) and 15% of the total land value is paid at closing. Thereafter, the remaining cost of the land is paid as the lots are sold (generally called a ‘‘take-down’’ of lots). If regular payments for
the land stay ahead of lots sold, the lots are released from the deed of trust upon sale of the completed house, without further payment. However, when the sales program is going well and lots are being sold quickly, the builder / developer
often has to pay for additional lot releases at the closing of sale of the houses. Releases ahead of schedule are always for more than 100% of the initial purchase price per lot. This example reflects the sale of 50 houses per year and the
payment for the land follows accordingly.

14. Overhead and supervision: Costs of rent, equipment and supplies for the project office and on-site personnel, the construction manager who oversees the job, employee benefits, accounting costs, electricity and other utilities during

construction, use of vehicles on the job-site, and other costs of running the ‘‘business’’ of the project.
15. Developer’s fee: The fees paid to the professional developer or development firm for comprehensive oversight of the project, including all aspects of zoning, design, financing, construction, interaction with owners, management of sales
personnel, marketing and all other aspects of the project. In smaller firms, this role is often assumed by the owner and may not be compensated by a separate fee. In larger firms, it may be a fee or group of fees paid to various
departments which perform these individual functions. In some instances, the owners of the project hire the professional managerial assistance to perform this function and pay a fee based on a percentage of expenditures on the project or
a percentage of sales within the project.

16. Interest on Loan: Interest paid to the institution financing construction and development costs.
17. Interest on Land: Interest paid to the seller of the land on the unpaid balance of the purchase price.
18. Total expenditures: Total of Lines 12 through 17, representing all expenditures for the project except the Equity Investor’s Return.
161
162
AVERAGE
PER LOT
UNIT **
Net Cash from Sales

19 No. of lots sold per year 0 0 0 50 50 50 50 50 50 20 320
20 Average sale price of house 5.00% $300 $315 $331 $347 $365 $383 $402 $422 $443 $65 $398
21 Gross sales per year $17,364 $18,233 $19,144 $20,101 $21,107 $22,162 $9,308 $127,419 $398,184
22 Selling costs/points ⫺8.00% ⫺$1,389 ⫺$1,459 ⫺$1,532 ⫺$1,608 ⫺$1,689 ⫺$1,773 ⫺$745 ⫺$10,194 ⫺$31,855
23 Land releases at closing $0 $0 ⫺$235 ⫺$1,385 ⫺$2,769 ⫺$502 $0 ⫺$4,891
24 Loan payment per lot $203 $203 $203 $203 $203 $203 $203
25 Total loan payment ⫺$10,157 ⫺$10,157 ⫺10,157 ⫺$10,157 ⫺$10,157 ⫺$10,157 ⫺$4,063 ⫺$65,006
............................................................................................................................................................................
26 Net Cash from Sales $0 $0 $0 $5,818 $6,617 $7,221 $6,951 $6,491 $9,729 $4,500 $47,328 $147,900
............................................................................................................................................................................
Land Acquisition
27 Scheduled payments 6 $250 $2,966 $3,037 $3,037 $3,037 $2,803 $1,418 $0 $0 $16,549
28 Releases allowed $83,750 38.40 36.27 36.27 36.27 33.47 16.93 0.00 0.00
29 Releases taken 0.00 ⫺50.00 ⫺50.00 ⫺50.00 ⫺50.00 ⫺50.00 ⫺50.00 ⫺20.00
30 Balance of released lots 38.40 24.67 10.93 ⫺2.80 ⫺16.53 ⫺33.07 ⫺50.00 ⫺20.00
31 Additional release required 0.00 0.00 0.00 2.80 16.53 33.07 50.00 20.00
32 Additional payments for re- $84 $0 $0 $0 $235 $1,385 $2,769 $502 $0 $4,891
leases
33 Balance due $67 $21,440 $18,224 $15,187 $12,149 $8,878 $4,690 $502 $0 $0

34 Interest on average balance 8.00% $1,458 $1,336 $1,093 $841 $543 $208 $20 $0 $5,499

............................................................................................................................................................................
Lots Sold
35 Lots sold 50 50 50 50 50 50 20
36 Lots remaining 320 320 270 220 170 120 70 20 0

............................................................................................................................................................................
Construction Loan
37 Construction Draws $7,122 $9,388 $8,503 $8,147 $8,347 $8,514 $8,687 $3,578 $62,313 $195
38 Interest draws $0 $641 $629 $537 $407 $281 $158 $40 $2,693 $8
39 Payments $0 ⫺$10,157 ⫺$10,157 ⫺$10,157 ⫺$10,157 ⫺$10,157 ⫺$10,157 ⫺$4,068 ⫺$65,006
40 Balance due $7,122 $6,994 $5,969 $4,522 $3,119 $1,756 $445 $0
41 Interest 9.00% 641 $629 $537 $407 $281 $158 $40 $0 $2,693
Net Cash from Sales:

19. No. of lots sold per year: The number of lots sold in this example each year is 50, starting in the 4th year of the project, or one year after acquisition of the land. The final year shows 20 houses, or the balance of the project being
sold.
20. Average sale price of house: In this example, the houses are projected to sell for $300,000 in the first year, with an average increase in sale price of 5% per annum. By the time the first houses are constructed and sold, the price has
escalated to $347,000 and to $456,000 by the 10th year. The average sale price of the houses is shown as $398,000.
21. Gross sales per year: This line reflects Line 19 multiplied by Line 20.
22. Selling costs / points: This is the cost of commissions, recordation taxes and fees, homeowner’s warranty package, administrative closing costs, incentive programs such as the builder paying some of the home purchasers’ points for
loans, etc.
23. Land releases at closing: This line reflects those instances where it is necessary to make additional payments on the land in order to release lots being sold (see Line 13 and 27–33).
24. Loan payment per lot: The amount of the construction loan attributable to each lot being sold, usually representing more than 100% of the value of such improvements, which is repaid to the institutional lender when each lot is sold
and released from the construction loan deed of trust.
25. Total loan payment: This line reflects Line 19 multiplied by Line 24.
26. Net cash from sales: The net amount of cash received from closing of sales of houses, being Line 21 minus Lines 22, 23, and 25.
Land Acquisition:
27. Scheduled payments: This line represents the schedule agreed between the seller and the purchaser for how the price of the land would be paid, without regard to the pace of sales of houses. This schedule is agreed at the time the
contract of purchase of the land is written.
28. Releases allowed: This line calculates how many lots would be allowed to be released from the deed of trust based on the payments schedule initially agreed.
29. Releases taken: This line shows how many lots are required to be released based on the pace of sales.
30. Balance of released lots: This line compares Line 28 to Line 29 and indicates either (a) that sufficient funds have been paid to release the required number of lots, or (b) that additional funds must be paid in order to obtain release of
the required number of lots.
31. Additional releases required: Indicates when additional funds must be paid in order to obtain release of the required number of lots.
32. Additional payments for releases: Line 31 multiplied by the release price, in this example $83,750 per lot or 125% of the initial purchase price of the land per lot.
33. Balance due: Balance due to the seller to pay for the land. Note that the full land price ($21,440,000) is fully paid by a combination of Line 27, Scheduled payments ($16,549,000), plus Line 32, Additional payments for releases
($4,891,000).
34. Interest on average balance: Interest paid on the remaining unpaid balance of the land price.
Lots Sold:

35. Lots sold: The number of lots sold each year.

36. Lots remaining: The number of lots remaining unsold at the end of each year.
Construction Loan:
37. Construction Draws: The amount of funding from the institutional lender each year to cover agreed construction costs, in this example, 100% of land development, house construction, marketing and interest on the loan (Line 12).
38. Interest Draws: The amount of interest due on the construction loan is allowed to be drawn under the loan.
39. Payments: Payments made against the construction loan when houses are sold, usually based on an agreed formula or amount negotiated in the construction loan documents.

40. Balance due: Remaining balance outstanding on the construction loan.
41. Interest: Interest paid on the construction loan.
163
164

AVERAGE
PER LOT
UNIT **
Equity
42 Total Expenditures $520 $220 $12,409 $15,330 $14,021 $13,511 $14,193 $13,919 $10,119 $3,936 $98,177 $306,804
43 Loan Draws $0 $0 ⫺$7,122 ⫺$10,029 ⫺$9,132 ⫺$8,711 ⫺$8,754 ⫺$8,795 ⫺$8,846 ⫺$3,618 ⫺$65,007 ⫺$203,146
44 Net Cash from Sales $0 $0 $0 ⫺$5,818 ⫺$6,617 ⫺$7,221 ⫺$6,951 ⫺$6,491 ⫺$9,729 ⫺$4,500 ⫺$47,328 ⫺$147,900
45 Capitalize required return N/A $26 $64 $344 $603 $538 $388 $237 $125 $0 $2,326 $7,268
46 Balance of Equity $520 $765 $6,117 $5,944 $4,820 $2,937 $1,812 $682 ⫺$7,649 ⫺$11,832
47 Required return 10.00% $26 $64 $344 $603 $528 $388 $237 $125 $0 $0 $2,326 $7,268
48 Equity Partner’s additional 15.00% $39 $96 $516 $905 $807 $582 $356 $187 $0 $0 $3,488 $10,901
return
............................................................................................................................................................................
Taxes on Income Per Lot
49 Sales Income $0 $0 $0 $17,364 $18,233 $19,144 $20,101 $21,107 $22,162 $9,308 $127,419 $398,184
50 Land $67,000 $0 $0 $0 ⫺$3,350 ⫺$3,350 ⫺$3,350 ⫺$3,350 ⫺$3,350 ⫺$3,350 ⫺$1,340 ⫺$21,440 ⫺$67,000
51 Development Costs $37,141 $0 $0 $0 ⫺$1,857 ⫺$1,857 ⫺$1,857 ⫺$1,857 ⫺$1,857 ⫺$1,857 ⫺$743 ⫺$11,885 ⫺$37,141
52 House Costs $151,944 $0 $0 $0 ⫺$7,000 ⫺$7,210 ⫺$7,426 ⫺$7,649 ⫺$7,879 ⫺$8.115 ⫺$3,343 ⫺$48,622 ⫺$151,944
53 Interest on Loan $8,417 $0 $0 ⫺$641 ⫺$629 ⫺$537 ⫺$407 ⫺$281 ⫺$158 ⫺$40 $0 ⫺$2,693 ⫺$8,417
54 Interest on Land $17,186 $0 $0 ⫺$1,458 ⫺$1,336 ⫺$1,093 ⫺$841 ⫺$543 ⫺$208 ⫺$20 $0 ⫺$5,499 ⫺$17,186
55 Equity Investor’s Return: $0

$7,268 ⫺$26 ⫺$64 ⫺$344 ⫺$603 ⫺$538 ⫺$388 ⫺$237 ⫺$125 $0 ⫺$2,326 ⫺$7,268

Annual
56 Equity Investor’s Return: $10,901 ⫺$3,488 ⫺$3,488 ⫺$10,901
Accrued
57 Other annual expenses $25,117 ⫺$25 ⫺$20 ⫺$1,104 ⫺$1,327 ⫺$1,143 ⫺$1,065 ⫺$1,033 ⫺$987 ⫺$941 ⫺$393 ⫺$8,037 ⫺$25,117

58 Selling Costs $31,855 $0 $0 $0 ⫺$1,389 ⫺$1,459 ⫺$1,532 ⫺$1,608 ⫺$1,689 ⫺$1,773 ⫺$745 ⫺$10,194 ⫺$31,855
............................................................................................................................................................................
59 Net Taxable Income ⫺$50 ⫺$84 ⫺$3,547 ⫺$128 $1,045 $2,279 $3,543 $4,855 $2,577 $2,744 $13,234 $41,356
............................................................................................................................................................................
60 Income Taxes (Paid) 40.00% $20 $34 $1,419 $51 ⫺$418 ⫺$912 ⫺$1,417 ⫺$1,942 ⫺$1,031 ⫺$1,098 ⫺$5,294 ⫺$16,542
or Credits
Equity:
42. Total expenditures: The total amount spent on the project, Line 18.
43. Loan draws: Required equity from the investor is reduced by the construction loan draws used to fund costs, Lines 37 and 38.
44. Net cash from sales: Required equity from the investor is also reduced by the net cash from closing of sales, being Line 26.
45. Capitalize required return: The required return (calculated at Line 47) for the prior year has been added to the outstanding balance of equity owed, such that interest is compounded including prior years’ interest.
46. Balance of Equity: At any given time, the balance of funds owed the equity partner equals Line 42, Total expenditures; minus funds from the construction lender shown on Line 43, Loan draws; minus Line 44., Net cash from sales;
plus capitalized required return, Line 45. This balance of equity is earning the required return and is the total investment on which the overall return is calculated.
47. Required return: In this example, the equity partner’s required return is 10.00% per annum—this line is 10.00% of the balance shown on Line 46.
48. Equity partner’s additional return: In this example, the equity partner requires an additional annual return of 15.00% for each year funds are invested—calculated on the balance shown on Line 46. This portion of the return is not
capitalized (therefore, the interest is not compounded); however, it must be paid before any other parties in the joint venture can calculate profit.
Taxes on Income:
49. Sales income: Gross income, Line 21.
50. Land: Purchase price of the land, divided equally among the total number of lots, and deducted from income as the lots are sold.
51. Development costs: Lines 1 through 8, divided equally among the total number of lots, and deducted from income as the lots are sold.
52. House costs: The total of all house costs on Line 11, deducted from income as the houses are sold. (This program assumes the houses sold in any given year are those constructed in that same year.)
53. Interest on Loan: Line 41, Interest on the construction loan, is deducted in each current year, as incurred.
54. Interest on Land: Line 34, Interest on the remaining balance of the land price, is deducted in each current year, as incurred.
55. Equity Investor’s Return: Annual: Line 47, deducted in the year incurred (even though it is capitalized rather than paid current).
56. Equity Investor’s Return: Accrued: Line 48, deducted in the year paid (at the end of the investor’s participation).
57. Other annual expenses: The totals of Line 9, Marketing / advertising; Line 10, Taxes and insurance; Line 14, Overhead and supervision; and Line 15, Developer’s fee; deducted from income in the current year. Although practice can vary
on the sequence of charging these items against income, by the end of the project the result is that all such costs have been charged against income.

58. Selling costs: Line 22, deducted from income as incurred.

59. Net taxable income: Line 49, minus the sum of Lines 50 through 58.
60. Income Taxes: This example uses a blended tax rate of 40.00% to reflect 35% federal taxes and 5% state taxes on ordinary income. Of course, this will vary depending upon the form of ownership, and the tax rate of the owners.

165
other opportunities at hand. In any instance, opportunity accountants have the financial background to do this. Most
costs should be represented as a baseline cost—for the eq- often, though, the final analysis comes from the developer/
uity dollars invested, the interest not earned on those dol- builder themselves—those who have spent the time in the
lars has an identifiable value and should be considered a field and know their individual product type, the process,
cost of the project. the cost structure, and sales or leasing patterns.
In addition to evaluating the income potential and cost With larger developer/builders, the decision tree gener-
structure, the investment analysis usually looks at financing ally follows this pattern:
alternatives. The right combination of debt and equity given
the development and sales climate is essential. In many 1. What are the financial goals?
cases with residential projects, lenders involved with the 2. What is the tested product type?
short-term development financing view this as an entré to
the long-term home mortgage market and structure pro- 3. Where is the desired location in which to build?
grams for financing sales to home buyers that all but elim- 4. Find the property, buy and develop it at a cost
inate closing costs, thus becoming an incentive to the sales that is within the acceptable financial guidelines.
process. The requirement for up-front funding of prede-
velopment and infrastructure costs makes it necessary for Conversely, with smaller and mid-sized regional devel-
significant construction draws prior to the first possible opers, the process often is more driven by availability of
sales or creation of an income stream. land and the local political and community environment,
Timing and a thorough understanding of the interrela- which has the effect of reversing the critical path of the
tionships in the process to bring the property to market process:
also play a critical role in the investment analysis. The de-
veloper must estimate the timing of expenditures as well as 1. Where are the opportunities?
the income from product as sales are made, each month, 2. Find available land.
quarter, and year through ultimate completion of sales or
leasing. Understanding the critical path of decision-making 3. Determine what can be built on it.
is vital to keeping the project on track and not wasting 4. Define a product and control the costs in such a
carrying costs idling with a lag time because applications way to make it profitable.
were not filed early enough or materials not ordered se-
quentially. As the project progresses and construction and In all development projects, location, timing, and cost con-
carrying costs increase, having laid a solid foundation in trol are the critical elements that must be evaluated carefully
the feasibility period can mean the difference between a and exercised constantly in order to deliver a financially
project delivered on time and within budget, versus a fi- successful project. The well-known axiom that ‘‘Location,
nancial failure for lack of early discovery and project man- Location, Location’’ is the most critical factor is certainly
agement. equaled by the admonition that ‘‘Time, Time, Time’’ can be
the greatest enemy. Many projects have fallen victim to fi-
ECONOMIC FEASIBILITY ANALYSIS nancial disaster because of changing markets, the ever-
The final economic feasibility analysis combines the market present interest and carrying costs, fluctuating cost of
analysis and the marketability study with development and money, rework of improperly designed or constructed fea-
construction costs, debt structure, and required rate of re- tures, and poor project management. The only solution is
turn, then tests the outcome. Institutional investors (e.g., to identify, during the feasibility period, the greatest number
insurance companies, pension funds, investment trusts) of variables and learn as much as possible about their im-
generally have fairly well-developed criteria. Required fi- pacts on the project, then schedule and control the process
nancial returns are generally based on returns available from in such a manner that, when the surprises come (and they
other investments or their prior experience on other pro- WILL come), they do not destroy the overall profitability
jects. If the standard statistical analysis does not yield the of the project.
hope of achieving the required return (hurdle rate), the in- The following basic example demonstrates how these el-
vestment is not made. At the other end of the scale is the ements come together in the investment analysis.
small to mid-sized local or regional developer/builder,
whose decision is more based on a gut feel for the market- Example: Multiyear Residential Development
place and previous success with particular product types. Assumptions
The early form of feasibility study is looking for the deal Land. Approximately 30 acres of property zoned for 1 unit
killer so that one can stop spending money sooner rather per acre but comprehensive planned for up to 12 units per
than later on a project that does not show promise of meet- acre. The land will be purchased upon completion of zon-
ing the overall return criteria. ing and site plan approval, which will take two years to
Who does the economic feasibility analysis? Some such complete. Payment for the property will be as follows:
analyses are performed by real estate consultants, apprais- $250,000 deposit at risk after the feasibility period (four
ers, brokerage firms (for residential product, those who spe- months), 15% down payment at closing, interest at 8% per
cialize in sales of new homes often do this), and some annum on the remaining balance, principal payments due
166
in six equal annual installments thereafter. Lots will be re- Equity. The builder/developer is a regional firm backed by
leased from the deed of trust at price equal to 125% of the an institutional joint venture partner that requires a mini-
per-lot value. Annual payments count toward releases, and mum equity return of 10% per annum to be capitalized
funds paid for releases count toward the annual payment annually, with a target overall return of 25% per annum for
next coming due. Purchase price of the land is $67,000 per the duration of time the funds are invested. The developer/
lot approved under the site plan. builder will be allowed a developer’s fee paid on a current
Property Conditions. The land is dramatically sloping such basis equal to 3% of the hard costs of the project. After
that it is ideal for garage townhouses, but requires retaining payment of the 25% per annum return to the Equity Part-
walls and significant stormwater management techniques to ner, the remaining profits go to the developer/builder.
discourage wet basements and other adverse water condi- Tax Assumptions. It is assumed that the ownership entity is
tions. All utilities are at the lot line, but significant street a partnership, limited liability company, or Sub-S corpora-
improvements are required along the property frontage. The tion that is engaged only in this project as its business pur-
total lot yield on the property ends up being 320 lots due pose, and that the entity will be taxed at the individual tax
to the constraints of the topography and the requirements rates for ordinary income at the federal and state levels. For
for setbacks and other community features. the purposes of this analysis, a blended rate of 40% is used.
Product. Market studies indicate demand for townhouses
to sell in the range of $300,000 during the year 2001, with ADDITIONAL READING
an expected sales rate of 50 units per year. Escalation of Bookout, Lloyd W., Jr., Residential Development Handbook, 2d ed.,
values in the marketplace for this product have averaged ULI—the Urban Land Institute, Washington, D.C., 2000.
5% per annum during the past 10 years, although such Galaty, Fillmore W., Wellington J. Allaway, and Robert C. Kyle,
escalations are somewhat unpredictable in their pattern of Modern Real Estate Practice, 15th ed., Real Estate Education Co.,
year-to-year increases. A pool, two tennis courts, a play- Chicago, 1999.
ground, and a small clubhouse with showers and restrooms Kone, Linda D., Land Development, 9th ed., National Association
will be constructed in a central location. of Home Builders, Washington, D.C..
Financing. A lender will advance 100% of the costs of land Lewis, Ralph M., Land Buying Checklist, 3d ed., National Associa-
development, house construction, marketing and interest tion of Home Builders, Washington, D.C.
on the loan, up to 70% of the sale value of the houses under National Association of Home Builders (NAHB), Land Develop-
construction at any given time. The loan bears interest at ment Manual, NAHB, Washington, D.C., 1974.
the prime rate plus 2%, and prime has averaged 7% during Sinclair, Joseph T., Real Numbers: Analyzing Income Properties for
the past five years. The lender requires that land acquisition a Profitable Investment, Richard D. Irwin, Homewood, Ill., 1993.
costs and interest on the land, overhead, and supervision Sirota, David, Essentials of Real Estate Investment, 7th ed, Real Es-
be funded from equity. tate Education, Chicago, 2001.


PART II.C REZONING
CHAPTER 11
THE REZONING PROCESS

INTRODUCTION ject’s original form. Residents’ involvement typically sur-

Several primary objectives guide the land development de- faces during rezoning and special exception procedures.
sign team during project formulation and design. Chief Opposition to a given proposal is often in response to con-
among these is the client’s mandate that the plan be efficient cerns regarding the loss of privacy, open space, or wooded
in its use of land and cost-effective in the use of other re- play areas. Residents frequently express fears about traffic
sources. The plan must also result in a marketable project congestion, potential flooding, damage to sensitive environ-
that appeals in both cost and layout to the developer as mental features, or school capacity. During the public hear-
well as the potential user. The plan must be able to receive ing process, these concerns, even if exaggerated or resolved
local government approval. Sometimes these plan/design by the proposal, can instill lingering doubts that can destroy
objectives compete with those of both local officials and or dramatically alter a project.
neighborhood residents. As a result, approval procedures Similarly, residents who are predisposed against a rezon-
for development ventures influence the project result as ing or special exception application frequently succeed in
much as the local standards and principles used in project gaining input in project design. Not normally subject to
design and can significantly affect project appearance, fi- discretionary review, they have ample opportunity to ask
nance ability, economic return, design budgets, land costs, elected leaders to intervene on their behalf. As illustrated
development costs, consumer costs, and market appeal dur- in Chapter 44, ‘‘Case Study—Union Mills,’’ the growing so-
ing the development review process. The most satisfactory phistication of citizens and their power to influence all de-
plan for the developer, no matter how well designed, is not velopment decisions often leads to stopped or delayed
necessarily the best plan in the community’s eyes, nor is developments. Despite legislation affording property rights,
this always the plan that gets approved. the way in which the public is involved in the design and
Although this chapter focuses mainly on the approval review process can influence the proposal’s success or fail-
process at the local level, the reader should be astutely ure. Although the court often rules to uphold property
aware that state and federal agencies might also need to rights, a lengthy delay and the expense of litigation can
review and approve specific aspects of the project. Depend- make it a hollow victory. Project engineering and carrying
ing on the nature of the project, state agencies such as the costs as well as project finances can imbalance investment
Department of Highway and Transportation or Department and expected return. The developer may face a changed
of Health may need to be included in the approval chain. market that needs a different product. Or worse, the po-
Additionally, the Environmental Protection Agency (EPA) tential end users may no longer be able to afford the cost
and Corps of Engineers (COE) may have to affix their stamp of purchase or lease.
of approval and issue permits as well (please see Chapter 6 For these reasons, the manner in which the development
for additional discussions on this topic). team approaches the rezoning and special exceptions review
Community involvement in the review of development process, with its roots in government and public relations,
proposals increases the likelihood of change from the pro- is as important as his approach to the technical process of
169
analysis and design. The land design team acts as a bridge highest and best use of a property is a critical factor in
between the developer and the other participants in the setting land value and prices. This land value is established
land development process, including the governing body, based on the scarcity of developable land in general and
other review commissions, the jurisdiction’s administrative the demand for property of similar potential. The com-
staff, and community residents. How effectively the land munity’s comprehensive plan and zoning ordinance play an
design team manages this responsibility is critical to a pro- important role in determining highest and best use. For
ject’s acceptance and approval. Communication links must example, a community’s comprehensive plan might suggest
be established and maintained throughout project design that a 20-acre parcel of ground located near a commercial
and review. Since communications between the other par- area should be developed at a multifamily residential den-
ties in the process cannot be controlled, the development sity of perhaps 15 dwelling units to the acre. Although ex-
team must develop rapport and support within each entity isting zoning allows one dwelling per acre, based on the
to create advocates for its plans, ideas and objectives. This comprehensive plan recommendation, the land’s highest
chapter discusses the analyses and procedures required to and best use becomes multifamily. Its value is based on the
accomplish that goal. demand for multifamily development, the scarcity of multi-
family zoned land, and the potential yield of the land.
TECHNICAL ANALYSIS OF REZONING Other motivations exist for seeking rezoning approval.
A developer’s intentions frequently differ from the land use As noted in Chapter 2, comprehensive plans often set a
allowed by the zoning district in which the property is lo- range of densities and uses, rather than a finite density. In
cated. Consequently, the parcel’s zoning must be changed evaluating the plan to determine potential uses, a feasibility
before development can proceed. To accomplish this, the analysis may suggest land uses for which there is consid-
developer must demonstrate, through protracted and com- erable market demand in the area. The situation may exist
plex analytic and legislative procedures, that the proposed where an intended use may be more compatible to the sur-
zoning is suitable for the property and that the proposed rounding area than existing uses or uses permitted by ex-
use is appropriate for the community. Even when the com- isting zoning. Further, the developer may wish to rezone
prehensive plan recommendations support the zoning because of a preference for or bias against a particular type
change, the developer must earn the support of neighbor- of development.
hood residents for a project that might dramatically alter
their community, which can be a formidable task. Background Investigation
Success in the rezoning process depends largely on the The development team’s initial step in preparing an appli-
technical analyses performed by the land design team. cation for rezoning is to conduct an analysis of the com-
However, consideration of the rezoning proposal frequently munity’s comprehensive plan. Many jurisdictions require a
takes place in a politically and emotionally charged atmo- finding that the proposed zoning and subsequent devel-
sphere. Private sector motivations and public sector policies opment comply with the provisions of the comprehensive
often come into conflict with each other and with residen- plan even if under the law of the jurisdiction the compre-
tial citizens’ concerns and desires. Therefore, the land de- hensive plan is a ‘‘guide’’ and not a ‘‘mandate’’ for specific
sign team plays an important role in building strong development. Absent support in the plan for the new zon-
community relations throughout the project. The rezoning ing classification, it is unlikely that the governing body
process represents a major up-front expense to the land would approve the rezoning application. Approval of a re-
developer and comes with few guarantees that the goals of zoning that is inconsistent with the comprehensive plan in-
that investment will be realized. In view of the legal rami- vites legal action by enraged citizens against both the
fications of rezoning and constitutional concerns for due developer and the public officials who adopted the zoning
process, the development team relies heavily on its legal change.
consultants throughout the process. Legal advice is impor- As noted in Chapter 2, adoption of the comprehensive
tant in ensuring that technical procedures are adhered to plan is the culmination of extensive analysis and commu-
and that government actions are consistent with the re- nity participation. Consequently, findings and recommen-
quirements of state and local laws. During the rezoning pro- dations play a central role in defining the development
cess, it is typical for the legal advisors to take the lead. program. Where the plan has recently been revised, it offers
a strong perspective of current community opinion. These
Reasons for Rezoning attitudes, towards both development in general and the cli-
From the land developer’s perspective, the most prevalent ent’s property in particular, will be raised during the review
reason for rezoning is to increase the land use intensity for of the rezoning application by the approving authority.
higher yield and greater profit potential. Developing a tract Neighborhood residents are extremely diligent in demand-
to the maximum density permitted by its existing zoning ing that their elected officials apply literal interpretations of
does not necessarily mean profits to the developer. In fact, comprehensive plan language that they had a hand in de-
in some instances development at existing zoning is not veloping. The land design team must anticipate, respect,
economically feasible. In a typical economic market, the and accommodate these attitudes.

11 䡲 THE REZONING PROCESS 171
Preparation of the rezoning application requires that the munity and surrounding properties. Several factors play a
land design team conduct two levels of analysis of the com- role in assessing that impact and determining future use.
prehensive plan: first, an analysis of jurisdiction-wide pol- Depending on parcel size, the ability with which develop-
icies, identifying the constraints and incentives imposed ment can be controlled by either the developer and juris-
during the development process, and secondly, incorpora- diction varies. As that control increases, usually with larger
tion of parcel-specific policies that address detailed require- properties, the developer has broader opportunities for in-
ments into the development plan. Typical considerations are corporating features that make the project compatible with
discussed below. Although much of this familiarity comes its surroundings. The comprehensive plan may recommend
from experience with previous projects, the land design a range of land use intensities and establish conditions un-
team should maintain an in-house reference copy of the der which the jurisdiction considers different proposals. For
comprehensive plan. This copy should be annotated to re- example, the plan may call for a residential use range from
flect recurring issues and themes encountered in previous five to eight dwelling units per acre, allowing the high range
project plan reviews to aid the land design team in antici- of eight DU/AC only with the satisfaction of specific de-
pating future conflicts. velopment conditions.
Each jurisdiction’s comprehensive plan is unique to that As part of the background analysis, the land design team
community, and a comprehensive listing of the types of pol- simplifies project design by assembling a checklist of com-
icies encompassed in a plan is not possible here. However, prehensive plan guidelines. This checklist is instrumental in
the land design team should refer to the following list, preparing the rezoning application, particularly so far as it
which can be referenced as a framework for identifying sig- raises issues of concern to citizens and community groups
nificant development issues, both jurisdiction-wide and that must be addressed. Application format may vary sig-
parcel-specific, that must be addressed and resolved by the nificantly from jurisdiction to jurisdiction; however, typi-
proposed development. Depending on local practice, these cally included is basic information as to ownership,
factors offer an indication of the types of studies and the location, existing and proposed zoning, and justification for
level of detail of analysis required as part of the rezoning the zoning change request. The planning staff, governing
application. body, and civic groups will consider all issues during public
hearing testimony. Early identification of these issues by the
䡲 Development patterns and ‘‘futures’’ scenarios: These land design team provides the opportunity to consider and
define and distinguish areas where development is resolve potential conflicts and/or contradictions with the
both desired and discouraged, usually identifying comprehensive plan.
ranges of development density, intensity, and criteria The following list includes typical conditions and spec-
against which development proposals will be mea- ifications that the land design team can expect to find in
sured. the plan:
䡲 Adequacy of public facilities, growth management and 䡲 Base density or intensity recommendations for the
systems management programs: These often suggest the client’s property.
commitment of financial and/or land resources to in- 䡲 Unique conditions imposed to reduce impacts,
ternal and external improvements in order to accom- both created by or imposed upon the development.
modate proposed development, including the location These may include:
of such facilities, the timing or phasing of construction,
and the impact of these factors on the development ▫ Screening, buffering, open space or landscaping,
proposal. requirements beyond the minimum to protect pro-
ject or adjoining properties
䡲 Environmental and cultural preservation: The identifi-
▫ On-site requirements for gradation of density;
cation of the type of natural and man-made resources
given priority by the community suggests the type of ▫ Special requirements for preserving on-site his-
investigation needed to identify such resources and the toric, heritage, geological or archaeological features
method of protection and preservation to be used.
▫ Setback requirements from major roads, parks,
Such criteria often affect project yield by reducing
or other features which exceed the minimum speci-
buildable land area and impact project design and con-
fied in the zoning ordinance or other regulation
struction.
▫ Sound attenuation requirements
The comprehensive plan’s geographic and functional
components also provide information directly related to the 䡲 Conditions imposed to justify increases in allowa-
ble density or intensity beyond base recommendations.
client’s property. This information refers to specific circum-
These include:
stances that must exist or conditions that may be applied
in reviewing development proposals. The plan’s recommen- ▫ Parcel consolidation to bring small tracts into a
dations for individual parcels consider impact on the com- larger parcel under a single developer’s control

▫ On-site improvements, intended primarily for This process is lengthy and uncertain and can add as
occupants of the project, beyond those normally re- much as a year to the development process. However, often
quired the plan amendment and rezoning processes are conducted
concurrently. Absent an expression of initial support from
▫ On-site amenities and services such as unique
the staff and governing body, it is usually not a wise in-
recreation facilities, open space, day care, public art
vestment of resources to proceed with an out-of-turn plan
▫ On- and off-site improvements or dedication of amendment. In such cases, it is prudent to wait for the
land or contributions for public facilities and ser- community’s normal plan amendment process to introduce
vices, such as roads, schools, parks, utilities, and the proposed amendment.
housing
ADMINISTRATION OF THE REZONING PROCESS
▫ Innovation in plan design or a mix of uses in- The rezoning of property is a prelude to relatively perma-
tended to make the project less reliant on existing nent alteration of a community’s physical and economic
community infrastructure structure. In view of its importance, and due to the re-
▫ Innovations in layout and structural design to sponsibilities and obligations prescribed by local and state
minimize the impact of off-site nuisances, such as legislation, analysis of a rezoning application requires an
noise intense commitment on the part of local government. The
governing body must be assured that the zoning change is
䡲 Criteria concerning the relationship between the in the best interest of the public health, safety, and welfare
proposed project and other land uses that would sup- of the general public and is consistent with the guidance
port and serve the development. adopted in the community’s comprehensive plan. The gov-
erning body must be satisfied that development proposals
Comprehensive Plan Amendment accommodate the concerns raised by its constituency and
resolve the issues outlined by its professional staff. In many
Sometimes the comprehensive plan is outdated and the de-
cases, constituent concern outweighs issues identified by
velopment team may believe that it no longer accurately
staff.
reflects the community or reflects good planning principles.
Due to the level of analysis required, zoning applications
This occurs when a significant amount of time has passed
present urbanizing communities with a tremendous work-
since the adoption of the existing plan. In such instances,
load. This is true not only for the staff, but also for the
the land developer may have an opportunity to seek an
elected and appointed officials who must review and render
amendment to the plan to reflect conditions that have
recommendations and decisions on the proposal. To man-
changed since its adoption. Although the plan amendment
age this workload, jurisdictions often limit the time frame
process varies greatly from jurisdiction to jurisdiction, the
within which rezoning applications can be received and
opportunity to amend the plan will be available in some
heard, which facilitates the allocation of review time and
form. scheduling of meetings. Applicants who fail to meet a pre-
Specific authorization to undertake a comprehensive scribed deadline are forced to wait for the next period to
plan amendment might require a vote by the governing file applications. In addition, many jurisdictions establish a
body. Typically, the actual process is not unlike the one the waiting period before previously denied rezoning applica-
community follows in originally adopting its plan with the tions that have since been amended can be refiled. This
primary difference being that it is focused on a very specific prevents the jurisdiction from being burdened by the need
geographic area and is primarily land owner-initiated. It to conduct frequent reviews of projects submitted for the
should be noted, however, that in some jurisdictions any- purpose of testing the waters and finding the right formula
one can nominate a plan amendment whether or not they to win approval. This limitation on refiling also forestalls
own the land subject of the proposed plan amendment. In the submission of frivolous applications.
undertaking a plan amendment, the land development team The development team may have only one opportunity
prepares an economic and demographic inventory of the at presenting its proposal. Further, typically a year or more
vicinity. The proposed revisions to the plan, both maps and can pass between the time of the applicant’s filing of the
text, are prepared, along with justification for the change. rezoning request and the governing body’s decision. In view
When the proposed amendment is prepared, notice is given of the time and expense involved in the rezoning process,
to the community through mailings, advertisements, and the development team must take maximum advantage of
posted signs. The draft amendment is reviewed by the pro- the singular importance of this opportunity. This mandates
fessional staff and will be the subject of meetings and public overcoming potential obstacles and using all available re-
hearings before the community’s planning commission and sources in formulating and justifying the development pro-
governing body. Adoption of the amendment enables the gram. Those who will review submission materials, those
developer to continue with the rezoning phase in accord- who approve the rezoning, and those who live near the
ance with the new plan recommendations. project are perhaps the three most important resources

available to the development team. The approach that has uphold that opinion can be strong. In addition, it might be
proven to be most effective in project development is the axiomatic to suggest that the lower-ranking public staff,
early involvement of these groups in determining a site’s those likely to be directly involved in coordination and plan
development potential and the issues, problems, and op- review, often assume the greatest control over development
portunities for resolving conflicts. As stated earlier, proc- submissions. Although there are ample opportunities to
essing of a rezoning application without the early inclusion have decisions of these professionals overruled, with both
of these three groups invites opposition and increases the administrative and legislative actions this can be counter-
likelihood of failure. productive. The relationships established among staff mem-
bers, the land developer, and the land design team extend
The Professional Staff: Decision Influencers
well beyond the geographic and calendar boundaries of a
Typically, in a growing jurisdiction the governing body will single project. Through development of strong relationships
delegate the responsibility for performing the rezoning ap- with the staff, information is more readily obtainable con-
plications to the professional planning staff. The staff also cerning the attitudes and desires of community residents
manages the application review process, which involves dis- and elected officials. In addition, the staff is usually more
tributing of applications to other government agencies and receptive to proposals when members of the development
assembling responses for presentation to the advisory (plan- team are perceived as forthright, knowledgeable, coopera-
ning commission) and approving (governing body) author- tive, accommodating, and understanding.
ities. In some cases, the planning staff is in a position to In working with the professional planning staff, the fol-
resolve conflicts among agency reviews. In addition, the
lowing questions should be asked early in the project design
staff will frequently engage in preliminary negotiations with
phase, preferably as part of the project feasibility study:
the development team.
As is often the case in larger communities and in those 䡲 Have there been recent rezoning or development
broken into smaller planning areas, staff members are as- proposals concerning the subject property?
signed to each of the community’s geographic areas. Each
may play a specialized role as coordinator for all planning 䡲 Has the property been considered during recent
and development activity. These individuals frequently comprehensive plan reviews?
oversee dissemination of information and respond to public 䡲 In either case, what issues have been raised by
inquiry on land use, zoning, and development issues in the civic leaders, elected officials, or government agencies?
assigned area. These activities place the staff in a unique
position and establish them as an important resource in 䡲 Are the community’s residents organized and
project formulation. united in their concern and consideration of develop-
The staff offers a critical communication link between ment proposals in their neighborhood. More specifi-
the development team and the other important process par- cally, who or what organization appears to take the
ticipants, and consequently the team must take advantage lead?
of this valuable resource. Staff members have access to the
䡲 Does the governing body or planning commission
historic records concerning prior zoning and/or develop-
have members who are elected or appointed by dis-
ment actions. Further, these professionals are often in direct
communication with elected officials whose constituency is trict; have those members established a formal or in-
affected or concerned about development proposals. Seen formal network for receiving input from community
as advocates for private citizen issues, staff members are residents? Have these individuals been in contact with
frequently sought after by community residents and other the planning staff to discuss the subject or nearby
civic groups. Many such groups have become diligent in property?
monitoring development proposals and equally diligent in 䡲 What constituent issues or complaints relative to
attempting to build allies as a first line of defense in pro- land development in general appear to be commanding
tecting their neighborhood. Lastly, the staff is responsible the attention of elected or appointed officials?
for administering and interpreting comprehensive plans and
regulatory policies and ordinances as they relate to each 䡲 What specific recommendations does the staff
development proposal. member have for the future development of the prop-
The staff can be either a powerful advocate or a difficult erty?
adversary. A staff member who becomes enthusiastic about 䡲 What are the most critical issues that must be re-
a proposal will often press that support in meetings with solved by the rezoning application and development
the planning commission, governing body, and even civic
proposal?
groups and influence the incorporation of his ideas into the
plan. The opposite is also true in that the professional opin- 䡲 Is the staff member aware of other development
ion of the staff is often made without the influence, or bur- proposals being considered or reviewed in the vicinity
den, of political and economic needs. The commitment to of the subject property?

The answers to these questions will provide the critical Assessing the Community
historical perspective needed in considering the develop- Public hearings that have community residents and the de-
ment potential and design of the property, help focus atten- velopment team standing shoulder to shoulder in support
tion on those issues that could terminate or delay a project offer the greatest potential for successful rezoning applica-
and provide important clues concerning the local leadership tions. The most skillfully designed and economically sound
and decision-makers in the community. Finally, by directly plan can fail if the jurisdiction’s elected leaders see that
involving the planning staff in the project, the staff becomes community support is lacking. The support or opposition
part of the team, whose opinion is important and assistance of neighbors and residents is frequently a measure of how
valuable. To the extent that those opinions are addressed in well the team communicates throughout the project design
project design, the professional planning staff may feel ob- and application review process. As with the staff relation-
ligated to help in the support of the proposal in subsequent ships, the communication links and established levels of
public forums. trust will extend far beyond the current project’s bounda-
Staff, other than the professional planners, are also in- ries. Establishing this relationship of trust is particularly im-
volved in application review. In each agency that comes in portant where projects are multiphased or where the
contact with the plan, individuals familiar with specific is- development team expects to undertake additional activity
sues relative to their expertise and program also are impor- in the vicinity.
tant sources of information and potential support. Initially, community fact-finding must be undertaken.
The Political Leaders: Decision-Makers The first step in this activity is to determine the dynamics
of local community leadership to identify those community
The community’s governing body is responsible for devising leaders whose opinions are sought after, both by other res-
and implementing policies and strategies to manage the ec-
idents and by the jurisdiction’s elected leadership. These
onomic, demographic, social, and environmental resources.
community leaders are the people whose actions have im-
With respect to land use and development issues, the gov-
pact on the opinions of their neighbors. Ultimately, these
erning body must distinguish between development pro-
will be the people with whom the development team must
posals that provide the greatest benefit to the community
work to establish clear lines of communication. These com-
and those that impose the greatest costs. At the same time,
munity representatives will almost certainly become in-
unique relationships exist between the community’s elected
volved in the development process, whether or not their
leadership and its citizens and those in the business and
participation is at the urging of the development team.
development community. The governing body and those
Therefore, it falls to the team to seek out these individuals,
whom it appoints to advise and implement policy, such as
with the goal of aligning favorable attitudes towards the
the planning commission, have a responsibility to consider
the needs and attitudes of both of these groups. The fact development program. This is most successfully accom-
that they are elected and their terms in office determined plished by involving the community early in the design pro-
by the satisfaction of the electorate, often poses a significant cess.
dilemma in making land use decisions. However, many take How community leaders share information, opinions,
their leadership role seriously and are willing to use that and attitudes with other residents, and how residents com-
role to build support for development proposals they be- municate with each other, must also be determined.
lieve to be in the community’s best interests. Whether the residents are organized under formal home-
The timing of local legislators’ formal involvement in the owners or community associations or are unstructured,
rezoning process varies among jurisdictions. However, the with various individuals taking active roles on ad hoc is-
development team should seek informal opportunities to sues, should be determined. Homeowner associations are
meet with members of the governing body early in the feas- organizations formed by developers of new subdivisions to
ibility analysis, particularly for large and potentially contro- enable residents to manage community open space or main-
versial projects. Elected officials do not like surprises, tain a community’s amenities and common elements. As
therefore, the earlier they are informed of a development these communities become fully operational, the developer’s
proposal the better. input in the organization lessens and ultimately is elimi-
When such opportunities become available, the team’s nated. These associations soon become forums for the
primary objectives are twofold. The first is to provide the exchange of opinion on a myriad of internal and external
official with information on the project and opportunities issues that may affect the community. This is particularly
for the community. The second is to learn from the official true in jurisdictions encompassing broad geographic area,
about outstanding concerns he or she may have, as well as such as counties, where community identity is not tied to
to attempt to identify any predisposition towards the use of incorporated political boundaries. Smaller associations may
the property. Such meetings can become useful in deter- be linked in a hierarchical network of larger umbrella as-
mining if the official is likely to take an advocacy role in sociations formed for the express purpose of monitoring
the process or, conversely, to oppose the rezoning for what- development activity and government actions. In addition
ever reason. to organizations representing community residents living

within a single development, they may also represent they are commercial or residential ventures. This faction is
broader geographic subareas of the jurisdiction. This is of- frequently concerned about competition from new business,
ten the case in incorporated towns or cities. compatibility, access, or other conflicts in operation. The
If the development team is not already familiar with the word ‘‘residents’’ is used liberally throughout this text. How-
active community groups and outspoken community lead- ever, a business owner, even one in a business closely
ers, the planning staff can usually provide assistance in the aligned with the building industry, becomes a ‘‘resident’’
identification of these key players in the development pro- when a development proposal attempts to become a neigh-
cess. This knowledge is based on their experience from bor. As with other residents, attitudes towards a specific
prior contacts during previous comprehensive plan reviews project will reflect the way in which that proposal addresses
or nearby zoning or subdivision activities. In addition, the local issues. Decision-makers are often very sympathetic to
planning office or jurisdiction’s office of community affairs the concerns of the community’s business interests, reason-
often maintains a listing of formal community associations. ing that they have made a long-term financial commitment
These groups often request to be notified about pending to the community. The recognition of their contribution to
development applications or proposed legislation that may the community’s tax base is also an important factor in con-
affect their community. sidering their comments about a proposal.
Members of the governing body or planning commission
may also be approached for information about community Identifying the Issues: Working with the Community
leaders. Sometimes council, board, or commission members The focus and intensity of public reaction to any develop-
are elected or appointed to represent specific wards or dis- ment proposal largely depend upon several factors that are
tricts within the community. If this is the case, they often often beyond the immediate control of the land develop-
have established a formal organization that advises them on ment team. These factors include the level of frustration
development or legislative matters. with quality-of-life issues experienced by residents, their
The files of previous development applications, not only dissatisfaction with the responsiveness and policies of local
for the specific property but also in its general vicinity, are government, and even the workmanship of their homes and
a valuable resource for the development team. Given the experience with its builder. Important quality of life issues
freedom of information, or ‘‘sunrise’’ laws, these files are include traffic congestion, quality of schools, parks, recre-
generally open for public inspection. They often contain ation facilities, environmental health, and aesthetics. Of the
transcripts from previous public hearings, lists of those who resources already identified, such as political leaders and
have provided testimony, and letters from neighbors and staff, rezoning files often prove to be the most easily acces-
groups who felt moved to comment about the proposal. File sible in identifying concerns with a development proposal
records may also contain staff memos concerning meetings that are likely to be raised during the review process.
with interested parties. All potential sources of community After the development team identifies the appropriate
interest must be identified. Residents often are not satisfied community organizations and leaders, it must determine
with the answers they may receive from their local elected how best to approach the residents of the community in
leaders. It is not uncommon for them to approach their which a development project is located. The development
elected state and even federal legislators to ask for inter- team must understand that in general, the public has very
vention in a local issue. Members of the development team little concern about project economics or the role of the
may wish to contact the offices of these individuals to learn economic factors in designing the project. The issue of pri-
more about opinion leaders and their concerns. vate property rights become secondary to perceptions about
Such research takes time, a luxury not always available the personal impact and the welfare of not only the im-
to the development team, which often must act quickly mediate community. This is often true even when a devel-
during the feasibility phase of a project due to land pur- opment proposal is supported by the jurisdiction’s
chase contract or other time constraints. The land design comprehensive plan as a way of fulfilling its goals. Even if
team will find it helpful to compile and maintain permanent the project has the support of the community’s elected of-
office records about neighborhood and community leaders. ficials, they will be hard pressed to justify approval when
This list should include their geographic area of interest and it is contrary to the desires of their constituents. Their ten-
typical concerns expressed about development and govern- ure in office can be shortened if they habitually ignore the
ment administration. However, the team must understand constituents’ desires with respect to land use.
that the location of residents in support or opposition of a At the same time, the objective of the development team
development proposal is not always predictable. Attitudes is to get the public to accept the project or, at a minimum,
towards protection and progress vary, as do concerns re- to lower the degree of opposition. Although the team may
garding enhanced or diminished property value. never succeed in having the community fully support the
Business operators often become extensively involved in project, it may be successful in guaranteeing that opposition
attempting to influence development decisions. It cannot is withdrawn or not expressed publicly. This type of con-
be assumed, however, that employers and owners of busi- sensus building is called ‘‘informed consent’’ by some public
nesses will be supportive of development projects, whether administrators and observers (Institute for Participatory

Management and Planning, 1984, p. 16). It is generated by with the proposal. Much of this information will be needed
intentionally drawing in and actively involving all compo- later, although in much greater detail, during formal rezon-
nents of the community and others in the decision-making ing and development processing.
process in the act of plan formulation. If objectors can be
made to recognize and acknowledge the development 䡲 A vicinity sketch, showing the location of the prop-
team’s earnest attempts to accommodate concerns, opposi- erty in relation to the larger community.
tion to the proposal may be withdrawn.1 䡲 Relevant comprehensive plan or zoning maps
The communication and education process must begin showing the property and adjoining parcels and lots.
with the development team itself. Since land development
is a complex and extremely involved process, the individ- 䡲 The parcel configuration, showing boundaries, and
uals playing a major role in the project must acquaint them- the existing topography, with five-ft contour intervals
selves with needs and concerns of the neighborhood in sufficient.
which the proposed development will be located. The key 䡲 The transportation network that serves the prop-
individuals involved with the project at this stage, such as erty, including abutting and nearby roadways.
the developer, lawyer, planner, engineer, and architect,
should be completely familiar with the project. Contact 䡲 Major utility locations, both those that serve the
with the public to introduce the proposed project can be property and major transmission facilities that may
initiated in several ways. The exact means of exposing a traverse the property. Capacity assessments of water
development proposal to the public depends on the expe- and sewer facilities are also helpful if there may be
rience of the design team, its familiarity with the area, the questions concerning adequacy.
complexity of the project, and the organizational structure 䡲 Suggested layout and interior road alignments,
of the municipality. Therefore, it is important to assemble showing lots, development sites, major buildings, and
a development team that is made up of people who are other major features, such as open space and preserva-
sensitive to the locality’s concerns, familiar with local or- tion areas. The smaller the project, the greater the de-
dinances and administration of policies, and attuned to the tail that should be shown. On a small 5-acre
political attitudes of the area. residential proposal, the sketch might show a rough
road and lot layout. A larger 100-acre planned residen-
Preparing for Community Interaction tial development might only show major road align-
Before the team approaches neighborhood groups, it is a ment and land bays with an indication of housing type
good practice to initiate meetings with public agencies to and density.
present a schematic drawing of the project. Some commu-
䡲 Calculations showing parcel size, the maximum de-
nities have formalized this phase, calling it a preapplication
velopment capacity permitted under the existing zon-
meeting. The schematic proposal might be a reasonably
ing and the proposed zoning classifications, and the
scaled, preferably single-sheet drawing of the site layout.
yield expected to be achieved by the developer.
Unless formal requirements direct otherwise, the drawing
should be in very loose sketch format so as to preclude While discussions at the meeting should focus on the
possible interpretation as a firm, final proposal. Sufficient merits of the project, the meeting should be approached as
information should be provided to assist the staff in locating a listening session. The development team should attempt
the property and getting a sense of its relationship to ex- to elicit as much information from the staff as possible. The
isting development and potential uses that might be expe- intent is to identify information about possible restrictions
rienced in the vicinity. While the staff may be generally relevant to the project, potential problem areas, and what
familiar with the community, they often are not specifically the expected concerns might be of the citizens in proximity
familiar with all of its neighborhoods and business areas. to where the project is located. The professional staff is
Even in small jurisdictions, it is not uncommon for the staff attuned to the public’s concerns. Information on the issues
to rely fully on their own maps, aerial photographs, and of concern of the civic and neighborhood groups will pro-
publications. Therefore, any help the development team can vide the developer a clue on the type of opposition that
offer in characterizing the vicinity of the project is useful, can be expected and also how the project might be struc-
particularly at this informal stage. The less time it must tured to temper this opposition. Knowing what to expect
spend in collecting information, the more time it will have from the citizen groups, the developer and his team can
to dispense it. prepare the necessary information and strategy. Design in-
The following information should be shown on the put from the professional staff should also be welcomed.
sketch or included as supporting material in tabular form Incorporating specific staff recommendations in the early
formulation of a project will help to strengthen staff support
throughout the life of the project. Any suggestions incor-
1
This condition is called SEACA (Substantial Effective Agreement on a Course of porated as a direct result of a staff suggestion can provide
Action) by the Institute of Participatory Management and Planning (1986), p. II-2. the impetus for a favorable staff report.

Building Community Consensus for a specific period within which construction must begin
Based on prior knowledge of the community, its leaders, and be diligently pursued.
and the subject property gained through experience or As more municipalities seek to narrow the range of uses
background research, the development team may judge the allowed by right in each zoning district, the distinctions
project to be highly controversial. In such instances, it will between rezonings and special exceptions have become less
be advisable to contact the citizen groups prior to sharing evident. However, an important principle of the special ex-
the proposal with public agencies. This approach may en- ception process is the presumption that uses specified as
hance the relationship, establish good rapport, and build special exception uses meet the intent of the zoning district
confidence between the development team and the com- subject to certain conditions or performance criteria. This
munity. Communications with community groups must be presumption eliminates one of the major obstacles faced in
rezoning.
open and forthright. The team must guard against any ac-
tion on its part that diminishes the established level of trust, Variances
and it must operate with the explicit intent to listen to
Variance application procedures are similar to those estab-
concerns and incorporate suggestions where possible.
lished for special exceptions; however, the applicant who is
Eventually, knowledge of the project will be widespread.
seeking a variance must demonstrate that full compliance
The main objective is for the development team to be the
with the zoning regulations would impose undue hardship
original source of information so that rumors about a pro-
in developing or redeveloping a site. This is accomplished
ject are not circulated throughout the community. If this
by preparing plans or analyses showing the effect of strict
scenario materializes, the citizens will be misinformed and
compliance, alternative solutions, and the proposed solu-
develop preconceived opinions. The spreading of misinfor-
tion to the ordinance provision. Supporting documentation
mation can doom a project before it gets off the ground. must include an analysis of adjoining structures to illustrate
The development team must ensure that the community the effect of the variance on them. It may be persuasive to
becomes involved as soon as possible and has accurate in- show that existing development is already developed as the
formation on which to base its support and/or opposition. applicant intends. When variances are sought in conjunc-
In summary, notification and participation should be tion with a rezoning application, the jurisdiction may allow
viewed as a parallel, rather than linear, process. That is, one the two to be processed concurrently. Otherwise, separate
group should not be notified, and its issues addressed, be- applications are required. Most communities provide pre-
fore the next is notified. Dispelling the dissenting attitudes printed forms and checklists relating to their procedures,
of the public can best be achieved by communication and submission requirements, and fees associated with the ap-
education. Many decisions on land development projects plication. In many jurisdictions, a variance requires a quasi-
have to stand the test of a public hearing. Rezoning appli- judicial set of determinations and findings. The applicant
cations are subject to public hearings, and the project must and the land use attorney should ensure that the requisite
have the citizens’ support in order to have a reasonably determinations or findings are made to ensure the legal va-
good chance of approval by the elected officials. Public lidity of the variance approval.
opinion on an application is a strong element of the
decision-making process. If the turnout at the public hear- PRESENTATIONS
ing is substantial and the groups are organized in opposi- In making presentations at civic association or neighbor-
tion, the project stands little chance for approval. Unless hood group meetings, the development team should pre-
the development team has been successful in its community pare a well-defined agenda. The team members may be
relations, a large turnout is indicative of the resistance that technically proficient in their fields of expertise; however,
will be presented. organizing and conducting presentations for citizen group
meetings require distinctly different skills. Inherent negative
attitudes towards development will not be changed quickly.
Special Exceptions
The team will need to educate the citizens on the project
Preparation and review of the special exception application and the process and inspire their confidence. If all members
is very similar to that of a rezoning. Application procedures of the development team are known for their good work,
and submission requirements are contained in the zoning the community will be more receptive to the team and the
ordinance. The most significant difference is that review is project. Conversely, if the team is viewed as money hungry
most often focused on physical appearance and operation and as not keeping its commitments or respecting its po-
of the use and the municipality usually is empowered to tential neighbor, negative feelings on the part of the com-
impose conditions on the applicant. The development team munity are certain to surface.
must assess the financial and practical impacts of these con- At least one member of the team should be comfortable
ditions on the project. Unlike zoning changes, which run at public speaking. At such meetings, it is preferable that
with the land, special exception approvals are specific to the development team assign a speaking role to a limited
the applicant, with such approvals usually remaining valid number of its members. Logical distribution of topics for

presentations may not always be the best approach. Some 䡲 Price ranges of the finished product
of the development team members will be there as support
䡲 School-age children
and to provide answers to technical or procedural ques-
tions, as well as to absorb the issues and concerns from the 䡲 Environmental impacts, both to natural areas and
citizens in order to devise solutions for the negotiation de- to private property
tails. The team should know who is to speak and when and
䡲 Storm drainage and erosion-control measures
on what topics and to what degree of detail. Even the attire
of the development team during community meetings 䡲 Machinery and equipment activity, dust and
should be evaluated. The team should consider the in- cleanup during and after construction
tended audience in balancing casual versus formal, sophis-
䡲 Other topics relating to the economic, physical,
ticated versus simple, flashy versus conservative, and
and social impacts to the community
urbane versus homespun. The objective is for an outsider
to gain citizen consent, support, and approval. Rehearsal of Know where the flexibility lies, as concessions will have
the presentation and preparation for likely questions is im- to be made by both sides. The team may have to meet with
portant. Physical layout of the presentation room, audio- several groups to introduce the project. Each group should
visual equipment, and audience comfort should be planned be met with independently so that the team can get an idea
in advance if possible. Anticipate the size of the crowd and of the issues. Some of the groups will have similar concerns,
provide for overflow. When the audience cannot see or hear, and the issues of one group may conflict with those of
impatience can lead to heckling. The presentation team another. The team should identify which people in a group
must guard against perceptions that information is being have the influence and arrange to meet with them.
withheld or that the team considers the meeting to be a Prior to formal community meetings, an initial introduc-
required, not a needed, step in the process. The presentation of the project should be made to a small core group
tion team should provide for audience feedback. The meet- of people who represent the overall organization. The best
ing should be a forum for disseminating information on the meeting place for this assembly would be at one of the
project and identifying and addressing potential conflicts. houses of the core group. The objective is to keep the group
In organizing the agenda for these meetings, considera- at ease and comfortable. Emotions can run high over land
tion should to be given to the type of project that is pro- development issues, and the informal surrounding may
posed. Different projects will require different approaches. tone them down. The core group is the perfect forum in
Although the public agencies and legislative officials might which to discuss the merits of the project as well as possible
be able to offer advance information on the topics of con- negative impacts. However, suggestions should be made as
cern of the citizens, the development team should realize to how the negative impacts will be mitigated. Provide the
that other issues may come up during the meeting. A pre- necessary information to this core group and let them take
liminary social hour around plans propped on easels can it to the larger group for discussion. The development team
help flush out serious objections that may be raised during should arrange to meet with the larger group after all the
the presentation. group’s members are familiar with the project.
The team should prepare to answer questions on items After initial meetings, the development team should
such as evaluate comments. Analysis will include the practical and
financial costs of modifying the plan proposal. All parties
䡲 Density and open space
will not be satisfied with the final plan. However, if the
䡲 Concerns about neighborhood change, influx and majority of the people can be satisfied and the development
spread of high-density residential and commercial areas team has made a legitimate attempt to accommodate out-
standing issues, the project stands a reasonable chance of
䡲 Traffic generation, impact on congestion, neighbor-
approval.
hood convenience, the likelihood of cut-through traffic
Perhaps the most frequent issue for the team to address
䡲 Proposed road and intersection improvements, in- is neighboring residents’ concern regarding the compatibil-
cluding pavement widths, sidewalks, traffic lights ity of the proposed project with existing residences in the
community. This is particularly true with residential pro-
䡲 Bike paths and trail systems, which are often re-
posals when single-family attached units are proposed
quired by local government but feared by neighbors as
within or adjacent to a neighborhood of predominantly
an intrusion on privacy and threat to security
single-family detached housing. The objection is expressed
䡲 Screening, buffering, and landscaping most often as a fear of devalued property, with concern that
a product of lesser quality is intruding. Underlying this at-
䡲 Noise, lighting, signs, and other disturbing activi-
titude is the belief that the income of the new residents will
ties involved in the operation of the land use
be substantially less than their own. Existing residents are
䡲 Architectural style and quality often shocked to learn the new home prices, probable mort-

gage payment, and income requirements for new housing. a manner as to imply accommodation to change. If the
In addition, townhouses need not conjure up images of drawings look too finished, too final, too slick, it leaves the
inner city rowhouses. Differing architectural treatments can impression that the team has little flexibility for revision in
be employed to enhance the new project’s compatibility, the final plan design.
even to the point of making the new structures appear to In addition to the materials identified earlier for pre-
be large single-family residences. Buffering, landscaping, application meetings with the public staff, following are
tree preservation, and retention of open space areas along recommendations for the presentation graphics use at com-
the project’s boundaries may also eliminate fear of the new munity meetings:
project and win community support.
䡲 As shown in Figure 11.1, development plans
Concerns about traffic congestion are also high on the
should be rendered (colored) to aid in visualizing the
list of neighborhood objections to new projects. Sometimes
layout of roads, lots, buildings, and open space. Plans
those objections are withdrawn when commitments are
should be mounted on boards to facilitate their display.
made to improve the road network. This can be accom-
If meetings are large, multiple copies can be prepared
plished by providing street widening, turn lanes, traffic con-
for display around the room. Slide and overhead pro-
trol devices, or techniques to prevent cut-through traffic
jection of the proposed development plan is also an ef-
from neighboring arterial roads. As with all design modifi-
fective means of presentation.
cations, the cost of the proposed improvement must be bal-
anced against expected return on investment. However, if 䡲 To the extent possible, include adjoining homes
incorporating the changes means that the plan is more and properties on the graphics. If adjacent property
likely to win the support of the community and can be owners are expected to be present, be in a position to
made more marketable at the same time, rezoning approval locate their property and refer to the owners by name
is more likely to be granted. during the presentation.
A change to a different type of land use, for example,
䡲 If new landscaping is proposed, a typical plan
from residential to a commercial district, presents a different
should be shown. In plan view, use reasonable repre-
scenario. The neighbors that the development team must
sentations of tree canopies at a given maturity, whether
communicate with will likely come from a greater distance.
at time of planting or at 10 years of age, and only
Community associations often band together when they fear
show those trees that are intended to be planted. Com-
that spreading commercialization threatens their commu-
munities and neighbors have been mislead by an over-
nity stability. In this case, as with a more intense residential zealous use of tree stamps, only to find that the
proposal in a residential area, there are a significant number proposed plantings are much less than represented on
of opportunities to address important concerns by modi- the graphic. In some communities, the developer may
fying a proposal to address community concerns. be bound by what is shown on site plans, even if it
Despite the majority of the groups having been success- exceeds ordinance requirements.
fully negotiated with, there may be other individual citizens
who remain strongly opposed to the project. The team 䡲 If clearing of existing wooded area is proposed,
should anticipate those individuals who will publicly op- show the proposed clearing line accurately. This is par-
pose the project and should be prepared to identify and ticularly important if the clearing line is near the prop-
address the specific issues revised during public hearings. erty boundary and the existing trees serve as a buffer
It is important to demonstrate that outstanding objections to the adjoining property.
have been noted and that the team has attempted to make 䡲 Show building materials and architectural style as
all reasonable efforts to resolve them. It is advisable to doc- accurately as possible; however, a qualifier should be
ument important plan revisions and compromises that have included on the elevation to allow flexibility in final
been made throughout the early stages of the project. materials and architecture. This is especially true if
renderings will be used during future public hearings
Presentation Information and Graphics where graphic representations are perceived by the au-
Facts, figures, and graphics should be prepared to support dience to be absolute and final. If renderings are not
the statements made at all meetings. In view of the various intended to be an accurate representation of final de-
levels of sophistication and understanding of land devel- sign, that fact should be made clear and repeated of-
opment and local process of the audience, graphics should ten.
be simple and easily readable. The team should be flexible,
䡲 To demonstrate that what is on paper is not set in
and presentation graphics should imply that flexibility. Ex-
stone, use overlays, inserts, pasteovers, and alternate
pensive rendered site plans and building elevations present
drawings to demonstrate other design schemes, chang-
nicely; however, as the sophistication of residents and civic
ing designs, and changeable designs.
groups grows, so does their skepticism about the informa-
tion shown on these drawings. The graphics must be pre- 䡲 Scale models may be useful to represent the rela-
pared to reflect honesty, and they must be drawn in such tionship of site massing and other features. Due to the

Typical graphics used in community group presentations.

11.1
F IGURE
180
(Continued) Typical graphics used in community group presentations.

11.1
F IGURE
181
(Continued) Typical graphics used in community group presentations.

11.1
F IGURE
182
high cost of models, their value should be evaluated pleted within a certain specified time period, including spe-
against other project variables. The precautions used in cific findings relating to the application.
preparing plans and renderings should be considered The professional planning staff or planning consultant
in model production. for the jurisdiction reviews the application for compliance
with recommendations of the comprehensive plan and re-
䡲 In certain situations, it may be necessary to orga-
lated ordinance requirements and established public policy.
nize a site visit, using balloons to depict proposed
The staff will distribute the application to other agencies
building heights and skylines and survey markers and
and request that they review the proposal relative to their
ribbons to demonstrate building footprints and clearing
own area of expertise. Upon completion of its reviews, the
limits.
staff will often schedule meetings with the applicant to relay
䡲 More complex or sophisticated projects may benefit its findings. Such a meeting will focus on the changes
from the use of computer graphics to show how new needed to be incorporated by the development team in or-
structures will fit in with the existing environment. der to secure an endorsement from the staff. The develop-
ment team may take advantage of this opportunity to
Addressing the Issues in the Formal Rezoning Process negotiate with staff and, perhaps, reconsider its proposal
In addition to convincing the general public to consent to and submit revisions to the original plan. The staff will then
or support the project, the development team confronts a make a nonbinding recommendation to review authorities.
formidable hurdle in generating support and approval of The rezoning application will then be reviewed by an
the public agencies and the legislative body. These agencies advisory panel, such as a planning commission or zoning
are concerned with the health, safety, and welfare of the hearing examiner, usually in an open forum. In some juris-
community as a whole, and the benefits of the project to dictions, these reviews are sequential, that is, the planning
the immediate locality must be weighed against the benefits commission will review the application and forward its rec-
or impacts to the larger community. As discussed in Chap- ommendations to the hearing officer. Depending on the ju-
ter 34, the restrictions or limitations imposed by approving risdiction, public hearings may be scheduled before either
agencies are complex. Procedures are established and re- or both of these reviewing bodies. The public hearing pro-
quirements imposed in an effort to protect the health, safety, vides both the public and the development team an op-
and welfare of the community and are intended to be uni- portunity to present evidence that supports their position.
formly applied. The analysis and decisions made in con- In most cases, the recommendations made by commission
junction with the rezoning process are designed to ensure or hearing examiner are advisory to the governing body;
not only that the project addresses the projected and de- nonetheless, they carry a lot of weight because most often
sired land use patterns but that it protects the health, safety, the recommendations are a result of citizen input.
and welfare of the entire community. Following review of the advisory panel, the team has an
The procedures followed in many communities vary, de- opportunity to rethink the proposed development plan in
pending on state enabling legislation, local ordinance, and light of the comments received from the panel. In some
custom and practice. In general, applications are prepared instances, the team may wish to defer the public hearing
in accordance with specific ordinance standards that specify with the governing body to allow time to revise their pro-
the narrative and graphic information that must be included posal in hopes of addressing issues raised by the advisory
and the format for presenting the proposal. Such informa- panel. Such revisions may or may not be required to be
tion usually includes extensive analysis and studies address- reviewed again by the advisory body. However, the planning
ing possible impacts of the new development on the and professional staff is usually involved in review of the
community and the demand for additional public services amended application to determine the appropriateness of
that it will generate. Standard application forms and infor- the modifications and the success with which the applicant
mation checklists are usually available from the municipal- has resolved outstanding issues.
ity’s planning or zoning office. Public notice is required by The jurisdiction’s governing body considers the appli-
way of certified mailings and posting of the property. The cation, along with recommendations from the professional
notices generally contain information regarding the pro- staff and from its planning commission or hearing officer,
posed use, scheduled public hearings, and the responsible prior to rendering a decision on the rezoning. In most ju-
staff person of the coordinating agency. The municipality risdictions, the governing body conducts a public hearing
usually advertises public hearings in local newspapers and as part of its consideration. In some jurisdictions, however,
public cable TV, if available, as well as in community as- the governing body may only consider the evidence and
sociation bulletins and newsletters. The applicant must fol- public record presented in the application at previous hear-
low legislated administrative procedure to the letter, as ings, with direct or ex parte communication with legislators
adversary groups can delay or terminate projects where concerning the application prohibited. A simple majority of
proper notice has not been given. State legislation generally the members of the governing body, that is, one more than
mandates that action of the governing body must be com- half the number of voting members, is usually required to

decide upon a rezoning application. Some communities re- 䡲 Fire-protection officials are frequently involved in
quire a supermajority to adopt a rezoning for which the the review to monitor development activity to assist in
staff or planning commission have recommended denial. locating future station facilities.
The governing body often suggests or imposes condi-
䡲 School districts typically perform an analysis of po-
tions or modifications that the developer must incorporate
tential school enrollment generated by new develop-
into its proposal before it takes formal action. Further, it
ment. This review is often geared towards determining
may direct the applicant to establish communication with
adequacy of the existing system and identifying sites
neighborhood groups to resolve outstanding differences,
needed for future facilities.
deferring its decision until the proposal is modified. Zoning
ordinances usually establish procedures for anyone ag- 䡲 A local parks and recreation department will re-
grieved by the decision of the governing body to appeal view applications to evaluate recreational needs gener-
that decision in the court system. A waiting period is often ated by the new development as well as the impact on
established after an approval is granted, in order to allow existing facilities. This department may also be respon-
appeals to be filed. sible for preservation and acquisition of important en-
vironmentally sensitive areas, such as stream valley,
floodplains, and wetlands, the control of which may be
Review of the Application Submittal
included in the comprehensive plan.
The land development team should be prepared to address
comments from a broad variety of local and state agencies. 䡲 The local utility companies will be involved in con-
The following agencies or functions typically are involved firming system adequacy.
in the review of rezoning applications (see Figure 11.2):
As noted in the previous chapter, some jurisdiction’s or-
䡲 Long-range comprehensive and current planning dinances and enabling authority do not allow or require
zoning and subdivision functions are often, but not al- developers to be bound by a development plan used to
ways, included in a single department. Personnel re- justify the rezoning. Where the proposed zoning district
sponsible for long-range planning usually determine if allows a wide range of uses or intensities, there may be
the proposed use and development conforms to the reluctance to approve the rezoning due to concern that a
recommendations of the comprehensive plan. They project more intense than that being proposed could be
also identify lands proposed for development that may built in its place, either now or in the future. In such in-
be designated in the plan for public use, such as for stances, it may be possible to seek rezoning to a less intense
highways, schools, parks, libraries, or fire or police sta- zoning district that allows uses similar to that which is be-
tions. The staff will determine the extent to which the ing proposed but does not permit those uses viewed as too
proposal addresses specific concerns raised in the plan intense. In some cases, a district that is lower in the hier-
and whether the manner in which these issues were archy may allow the proposed use as a special exception,
addressed is consistent with established plans and poli- or may not allow a use to which residents object. The elim-
cies. ination of uncertainty may serve to moderate opposition to
the plan.
䡲 Personnel in current planning will determine com-
pliance with zoning ordinance requirements, such as
The Public Hearing and Role of the Development Team
lot size, setback, and density requirements. The analy-
sis will also focus on other uses that may be allowed The public hearing scheduled by the planning commission,
by the zoning district being requested, which uses may hearing examiner, and governing body is often the only
or may not be desirable. With the continuing emphasis formal opportunity for the development team to address the
on the protection and preservation of the environment, entire body directly to discuss its intentions and the merits
of the application. In addition, this forum provides citizens
most municipalities have established a department or
with an opportunity to express their opinions about the
group that reviews all development proposals and re-
project.
zoning applications in terms of potential impacts on
In many jurisdictions, the meeting sessions during which
the environment and compliance with federal regula-
development application-related public hearings are held
tions.
are lengthy. In rapidly developing communities, the meeting
䡲 The public works or transportation department agendas are often crowded with hearings for development
typically addresses proposed improvements to the applications that include projects of all size and varying
transportation network, the adequacy of streets, and degrees of impact. The hearings are often scheduled in the
public utility systems. In some jurisdictions, a state- evening or on weekends to accommodate commission
level transportation agency will be involved. Similarly, members, who may serve on a voluntary, part-time basis,
water and sewer systems may be run by a regional au- as well as to increase opportunities for citizen participation.
thority serving several jurisdictions. For the governing body, the public hearings may be part of

F IGURE 11.2 In addition to this application, Fairfax County has a four-page instruction memo listing 16 other requirements and fees that must
also be submitted.

an even longer agenda reflecting their role in managing the or the public, credibility and reputation should be estab-
municipality. Hearing rooms are often uncomfortable, filled lished. This can be accomplished by referring to other local
with observers, applicants and their attorneys and consult- projects with which the developer may have had a role, or
ants, citizens, and the news media. The proceedings may using renderings or slides of successful projects elsewhere.
be televised for the benefit of those unable to attend. The The presentation should include a comprehensive, yet brief,
public hearings frequently run for hours, often into the outline of the proposal. In particular, emphasis should be
early morning, as participants in each case present testi- placed on how the recommendations of the comprehensive
mony reflecting their position on the application. Contro- plan led the development team to pursue the proposal. A
versial cases may have long lists of preregistered speakers, brief assessment of how the proposed project creates and/
witnesses, and experts. At times, testimony in one case may or satisfies economic or marketplace demand should be
motivate observers to participate in another case while wait- presented. Benefits to the community in terms of tax rev-
ing. enue, job creation, public improvements, and aesthetics
Members of the commission or governing body usually should be addressed.
are given a packet of materials prior to their meeting re- It is important to note the critical issues that were iden-
flecting the day’s agenda. These information packets are of- tified during the feasibility/technical analysis phase and
ten lengthy, with endless photocopies of development how they were addressed and mitigated. The presentation
applications, maps and plans, engineering analyses, traffic should also focus on the relationship of the proposed de-
studies and other rationale, staff analyses and recommen- velopment to the zoning ordinance and the adapted com-
dations, as well as letters of support and opposition. Mem- prehensive plan. In addition, it is helpful to discuss issues
bers often engage in interminable debate, sometimes raised by the community and how the plan was revised to
insightful, sometimes philosophical, sometimes taking a resolve them. Citizen support usually makes the decision-
role of devil’s advocate and oftentimes politically motivated. making by the governing body easier.
The questions they may ask of their staff, the applicant, or If a development plan is included as part of the appli-
others who testify may be probing may be critical, suppor- cation, a rendered version of the plan should be available
tive, and sometimes even inane. Often the person asking at the hearing for discussion. Depending on the require-
the question knows the answer and merely wants it spoken ments of local ordinance, the plan should closely represent
for the record. what is proposed to be constructed. It should be under-
Given the incredible amount of information provided to stood that items shown in excess of minimum ordinance
the members of the governing body and the numerous de- requirements may become binding upon the developer.
cisions required to be made in a single session, the key task Even if not binding, their omission in actual construction
of the development team is to get the members of the gov- may prove damaging to the developer’s reputation.
erning body to focus on the development plan they have The team must prepare to address any and all types of
brought to the table. The governing body may know the questions that might be asked of it. For important, com-
exact location of the project or have only general familiarity plex, controversial projects with high visibility, key devel-
with the area and consequently place heavy reliance on the opment specialists who have been involved in analysis and
analysis and recommendations provided by the professional design of the proposal should be present and prepared to
staff. Due to the lengthy agendas, relatively little time is address a myriad of technical questions. The presentation
allotted to each speaker and little or no time afforded to should anticipate questions and criticisms that might be
the development team to rebut or refute the reports or tes- lodged against the proposal by board members, citizens, or
timony of citizens or the staff. In the most controversial of staff. Throughout the course of the hearing, members of the
cases, the citizens groups may even hire their own expert board or commission may call upon the development team
witnesses. Community residents themselves may be attor- to respond to questions or issues raised by other’s testimony.
neys or traffic engineers or members of any number of pro- In answering, the respondent should use the opportunity
fessions whose testimony is given as much credence as that to stress related points that may have been omitted or ab-
of the development team. The skill with which the devel- breviated in the formal presentation. Often, at the close of
opment team approaches the hearing will have a strong the hearing the board will refer back to the professional
bearing on the outcome. staff for concluding arguments or analysis of the presenta-
In view of the limited time given for formal presentation tion. Consequently, it is important to have worked closely
of the development proposal, perhaps only 10 or 15 with the staff during its analysis as they often have the last
minutes, the team member making the presentation must word.
be well organized. He or she must establish and adhere to The legislative or governing body normally renders its
a well-defined agenda that focuses on the main points the final decision at the close of the hearing. Its decision will
team needs to make: be based on the information presented by the applicant,
The speaker should begin with a personal introduction advice from the staff, commissions, and testimony from the
and describe his role on the development team and intro- citizens. If it is believed that continued negotiations be-
duce other members of the team who might be present. If tween the developer and the opposing groups can achieve
the developer is not generally known to the board members greater accord, the public hearing or decision may be con-
tinued or deferred to a later date. The outcome of the vote Institute for Participatory Management and Planning. 1986. Citi-
is contingent upon the response of the citizens and how zen Participation Handbook, Laramie, Wy.
sympathetic the board or zoning administrator is towards International City Management Association, The Practice of Local
the project. It is imperative that the development team pro- Government Planning, International City Management Association.
ceed through the various stages by the book, such as proper Washington, D.C., 1979.
notices sent out at the right time, all applications at the National Association of Home Builders (NAHB), Subdivision Reg-
state level and local level filled out and properly submitted, ulation Handbook, NAHB, Washington, D.C., 1978.
proper notification given. The negotiation and hearing pro- Urban Land Institute (U.L.I.), Working with the Community: A De-
cess may take several months and possibly several years, veloper’s Guide, U.L.I., Washington, D.C., 1985.
depending on the complexity of the project and the number
of citizen groups involved. The developer should anticipate
this time frame and establish the purchase contract accord- ADDITIONAL READING
ingly. David Jensen Associates, Inc., How to Win at the Zoning Table,
National Association of Home Builders, Washington, D.C.
REFERENCES Engineers and Surveyors Institute, Improving Preparation, Review
Institute for Participatory Management and Planning. 1984. The & Approval of Subdivision and Site Plans in Fairfax County, Fairfax,
Consent Builder’s Bulletin, vol. 1, no. 4, Winter. VA., 1988.


PART III
CONCEPTUAL DESIGN
Introduction developed as part of this initial conceptual design phase.

Conceptual Design represents the initial effort of describing The ensuing discussion with the development team may
alternative plans that satisfy the development program ob- prompt a dialogue as to the pros and cons of the various
jectives in light of the site characteristics identified in the solutions and identify problems the designer alone may not
site analysis. It requires full recognition of the client pro- have anticipated. The end products associated with the con-
gram components, initial site assessment, site context, and cept design phase may be a series of sketches or diagrams
planning and regulatory controls. highlighting the distribution of land uses and preliminary
Sketches, functional diagrams, or concept plans are nor- infrastructure requirements. The diagrams themselves may
mally completed to illustrate a framework for the given de- be annotated to underscore the advantages or disadvantages
velopment program. They generally represent diagrams of associated with the depicted solution and memorialized for
the potential distribution of land uses and major circulation future reference.
requirements. The effort seeks to meld all pertinent com- As demonstrated in Figure III.1, conceptual level
prehensive or master planning information with site-specific sketches generally include preliminary delineation of such
considerations to illustrate how the site might best be de-
considerations as:
veloped. For large-scale development, this initial cut at the
design effort is often accomplished in what are termed 䡲 Points of site access together with an initial align-
‘‘blob’’ or ‘‘bubble’’ diagrams. The intent is focused less on
ment of major vehicular circulation routes. The
sophisticated graphic technique and more on fostering di-
principal road network should be developed in the
alogue, a preliminary review and assessment, and confir-
context of any public comprehensive or master plan-
mation of design direction among the design team
participants. Concept plans reflecting land use distribution ning policies or recommendations.
and associated circulation are reviewed in the context of 䡲 A distribution of major land use elements by type.
their preliminary implications on infrastructure require- The delineation should reflect the approximate area re-
ments as well as economic, functional and political feasi- quirement for each use to begin to gauge the massing
bility. This phase, similar to the more subjective assessment or relative area requirements necessary to accommo-
included in the initial feasibility and site analysis steps,
date individual program components.
moves from the review of general intent to actual physical
diagramming of use arrangements. This level of conceptu- 䡲 Delineation of areas mandated or desirable as open
alization is generally completed prior to the investment of space based the previously completed site analysis,
resources and time resolving more detailed levels of design. such as floodplain, protection areas, wetlands, mature
STEP 3: CONCEPTUAL DESIGN woodland, and streams and stream valleys.
There are generally multiple solutions for the design of any 䡲 Preliminary determination of the need and location
one site. It is common for alternative concept plans to be of major public facilities such as schools, parks, fire

CONCEPTUAL DESIGN
Conceptual design.
III.1
F IGURE
190
CONCEPTUAL DESIGN
CONCEPTUAL DESIGN 191
stations, and libraries, as identified in public planning able for early discussions with appropriate public officials.
documents They provide sufficient information to obtain an informal
assessment by appropriate public agents/officials as to the
While normally not a formal public submission docu- development plan’s compliance with public comprehensive
ment, conceptual sketch plans do provide information suit- and land use policies and the local political climate.

CONCEPTUAL DESIGN

CHAPTER 12
DEVELOPMENT PATTERNS
AND PRINCIPLES
Dennis Couture, A.S.L.A, R.L.A
INTRODUCTION growth and green infrastructure offer meaningful insight

This chapter presents an overview of some of the more into responsible land development activity. These latter con-
prevalent land use types and development patterns that siderations are appropriate across the spectrum of urban-
comprise our contemporary built environment. It offers a rural development activities.
general discussion regarding development intensities and An extensive overview of the basic tenets associated with
design patterns, including some of the more widespread these more recent ideological approaches to land develop-
influences on development activity. Such influences range ment is beyond the purview of this chapter. Contemporary
from aesthetic and prevalent community attitudes regarding literature and professional journals abound with informa-
tion on both theory and practical application. Familiarity
land development project design to the more formative fac-
with this information is particularly relevant for land design
tors associated with environmental, political, and economic
agents given that these approaches are perhaps more inter-
considerations that guide site design and engineering ac-
twined in the livability and marketing side of land devel-
tivity.
opment and site design than might be evident from in-place
Perhaps the most overriding consideration for any land
land use regulatory controls, statutes, and zoning codes.
development endeavor should be the project at hand in the
This chapter provides an overview of prevalent contem-
context of the larger community. Community in this sense
porary land use types. Residential and select nonresidential
is more than the physical characteristics of a given project’s building considerations are presented in isolation of each
surrounds. It embraces the extant sociocultural, political, other. Although this format may be considered anathema
and economic paradigms that model the dynamics in any to proponents urging greater integration of potentially com-
given jurisdiction, resulting in the land development types patible or supportive land uses, extensive discussion of such
and patterns that are built. As local context offers a guide endeavors, even in the context of current mixed use and
to project design opportunities, so do more universal con- planned developments, is not the objective here. Rather,
structs that have evolved in response to the real and per- identifying some of the base considerations associated with
ceived shortfalls of contemporary development trends. select land use types may provide a cursory foundation for
Sensitivity to the urban-suburban-rural distinction in de- better appreciating and identifying what may be unique to
velopment types is simplistic. Development considerations each use and how they may be best integrated.
that are mindful of the community-making and place- A variety of factors determine the type and configuration
making opportunities and design principles associated with of a given land use, including the expectations of landown-
traditional design, such as traditional neighborhood design ers, users, and consumers; the availability of land; the cost
(TND), neotraditional, and new urbanism, afford a renewed of construction; the natural attributes of the site; and the
perspective on both the dynamics of community and the character of the surrounding community. These are modi-
opportunities for meaningful site and project design. Sim- fied to a great degree by local regulations, which are based
ilarly, constructs associated with the advocacy of smart largely on more encompassing issues of health, safety and
193
DEVELOPMENT PATTERNS AND PRINCIPLES
194 C O N C E P T U A L D E S I G N
welfare, local considerations relative to the nature of local growth, housing, transportation, community facilities, and
commerce, prevalent community attitudes, and past com- land use. While a comprehensive plan may contain a
munity practice. mapped graphic representation of what the community
An examination of the zoning ordinance in all but the might look like at some point in the future, the local zoning
smallest communities reveals great variety in the categories ordinance and zoning map are the tools that provide the
of permitted land uses. Typically, this includes residential, day-to-day implementation effecting land use decisions rel-
commercial (sometimes broken down into retail and office ative to the overall comprehensive plan policy objectives. A
uses), and industrial uses. Depending on the size, location, clear understanding of the distinction between these doc-
and maturity of the community, a jurisdiction’s zoning documents is imperative to understanding the extant land use
ument may establish other land use categories to reflect its patterns associated with development activity in any given
unique economic base, such as manufacturing, agriculture, community. Decision-makers in land development and de-
maritime, mining, forestry, and institutional uses, to cite a sign must be sensitive to the rationale for the type and use
few. Furthermore, the zoning ordinance, as discussed else- intensities identified in the comprehensive plan. They must
where in this book, normally identifies a series of de- also be fully apprised of the design standards and criteria
velopment standards, commonly expressed as minimum governing the size, form, and character of proposed devel-
requirements focusing on such elements as lot size, building opment, as identified in the local zoning ordinance and
height, yard requirements, open space, and impervious similar regulations.
cover. It may be useful for the novice to consider a local com-
That architectural styles vary in different geographic munity as a single large planned community. The compre-
regions in the country is no surprise. Regional variation in hensive plan and its associated policy statements represent
history, culture, and heritage affects development patterns the collective public vision to guide community growth.
in density and configuration as well. Different names are Various ordinances and regulations provide the means to
often used to describe similar types of land use. implement that vision. Together they provide the two im-
Most local regulations are extremely specific concerning portant elements that establish the foundation for land de-
permitted density, height, bulk, and setback requirements velopment patterns in a community.
for most land uses. To attempt to assemble and reproduce Historically, zoning ordinances have relied on the delin-
this wide range of specifications would be neither produc- eation of distinct geographic zones or districts that accom-
tive nor useful. The discussion of land uses, development modated the development of one land use type. These
intensities, and the design principles in this chapter is in- districts generally included residential, commercial (nor-
tended as a primer. mally inclusive of office and retail uses), and industrial cat-
If there is a common denominator throughout contem- egories. Subcategories of each use may stipulate gradations
porary development, it may be its heavy reliance on the in density within a land use, prompting alternative devel-
automobile as the principal means of transportation. The opment patterns or building programs. While much land
suburban development pattern is characterized by a strong activity is rooted in a single zone/single use development
dependence on the car for both work- and leisure-based pattern, more flexible development patterns and land use
trips. Historically, the separate clustering of residential and combinations are fostered by development controls that
employment areas at density levels low enough to make perpetuate planned, planned unit, and mixed use devel-
public transportation infeasible have reinforced this. The opments. The objective of these latter categories move be-
single-occupant automobile continues to be the most prev- yond singular use and attempt to foster a framework for
alent form of transportation in the suburbs. This phenom- greater variety in permitted land uses and arrangements.
enon places a unique set of requirements on resulting land Prior to discussion of individual development types, it will
use types and development patterns. Attention to a com- be valuable to outline briefly some of the more encom-
mon need for both vehicular circulation and on-site parking passing planning terms.
is necessary. Streets and roads provide the common linkage
between and within land uses and the principal framework Conventional Subdivision
of the resulting development patterns. Similarly, parking re- The historic basis for much suburban land use is the con-
quirements for the automobile are a major design element ventional subdivision, created by the division of larger land
in the sizing and organization of individual land uses. tracts into smaller land units. Such subdivision generally
requires new streets for accessing the newly created smaller
DEVELOPMENT TYPES land units or lots. The subdivided acreage provides individ-
Ideally, a community seeks to guide its growth in a manner ual lots for houses and lots or parcels for nonresidential
consistent with its heritage, common goals, and economic uses. While subdivisions have become varied in pattern, lot
interests. Local land use activity is guided by comprehen- size, street alignment, open space network, and in some
sive or master planning, representing a compendium of pol- cases a mix in permitted land uses, conventional develop-
icies, usually subjected to arduous public participation, ment continues to be predicated on the simple subdivision
focusing on topics such as population and economic of land. It has been the mainstay of suburban residential

12 䡲 DEVELOPMENT PATTERNS AND PRINCIPLES 195
development and accommodation of proximate retail, em- Cluster subdivision requires increased attention to the
ployment, and public facilities. details of design. Reliance on smaller lots necessitates regard
The larger tract acreage is divided in a manner that pro- for other methods of maintaining privacy and buffering be-
vides for complete transfer of land ownership to subsequent tween residences. Often greater controls are placed on unit
users. Streets are normally incorporated into public own- design and orientation. Design controls often exceed stan-
ership, and community open space, if provided, may be dards enumerated in zoning and subdivision regulations. It
deeded to an appropriate public or semipublic entity. Single is common for cluster development to be executed as
or multiple builders may on a lot-by-lot basis, initiate con- planned developments, as discussed below. A typical cluster
struction. Figure 12.1 below represents a typical conven- subdivision is presented in Figure 12.2.
tional subdivision.
Planned Unit Development (PUD)
Cluster Subdivision A planned unit development (PUD), as its name implies,
Cluster development relies on subdividing larger properties is planned as a single entity and usually represents some
into smaller lots or parcels, but differs from conventional minimal-sized contiguous acreage, as specified by local
subdivision in that it typically results in a land plan with a ordinance. It contains single or multiple residential clusters
greater percentage of the overall acreage set aside in com- or planned units with provision for public, quasipublic,
mon, community, or conservation open space. To achieve commercial, or industrial areas. Normally, nonresidential
this open space, local regulations generally allow a reason- uses are provided in a ratio to residential uses, as stipulated
able reduction in individual lot size and associated setbacks, by ordinance. Planned unit developments generally provide
provided there is no increase in the overall number of lots for a mix of housing types and land uses and situate de-
that would otherwise be permitted under comparable con- velopment within an overall open space system, with an
ventional subdivision. The resultant land area not placed in emphasis on amenity provisions and preservation of natural
individual building lots is normally devoted to common resources. Figure 12.3 is representative of a planned unit
open space. This development pattern allows for the con- development.
centration of building activity on the more usable areas of
a site and ideally results in a reduction in development costs Planned Community or Master Planned Community
associated with site grading and supporting infrastructure. The planned community usually provides for a wider range
Cluster subdivisions are also often used to protect environ- of residential land uses and includes commercial-retail, em-
mentally sensitive areas of a given site. The reduction in ployment, recreation, and institutional uses to create a
individual lot size and associated exterior yards is compen- balanced hierarchical community. Planned communities
sated for by the communal open space that is made avail- represent large land assemblies that attempt to satisfy a full
able.
F IGURE 12.1 Conventional subdivision. F IGURE 12.2 Cluster subdivision.

F IGURE 12.3 Planned unit development.

range of lifestyle and support elements to sustain its resi- ciated with these mitigation measures. The concentra-
dent population. Normally, development is undertaken by tion of density within a site may require less extensive
a single owner or master developer who in addition to or- required mitigation activity, or at least contain it.
chestrating the financing, planning, and design of a project
may construct the required infrastructure and community Aesthetic Impacts and Opportunities
amenities, making sites available to others for individual
building construction. Figure 12.4 represents a master 䡲 Context: Compatibility with adjoining land uses can
planned community. become problematic as proposed development intensity
increases. Careful site planning and design can assist in
DEVELOPMENT CONSIDERATIONS mitigating this problem. Structural solutions may be
A development team must consider the effect that each type costly, and buffering solutions may be land consump-
of land use has on environmental, aesthetic, financial, op- tive.
erational, and marketing characteristics of a land develop- 䡲 Architectural design: More intense development gen-
ment project. They should understand the relationship erally requires more stringent architectural controls to
between these characteristics and their effect in offsetting ensure overall visual coherence. Modest building ele-
the impacts of development. These may range from physical ments on large lots or parcels benefit from distance be-
limitations inherent in the site to a community’s predispo- tween improvements. Individual units capture their
sition to a proposed program of land development. Follow- own identity and are less visually and functionally de-
ing are some characteristics that warrant consideration in pendent on their neighbor. As building size increases
their implications on resulting land use patterns. or parcel size decreases, increased proximity warrants
Generally, there is a direct relationship between the in- greater attention to issues of compatibility.
tensity and density of development and its impact on the
site and surrounding community. These concerns may focus 䡲 External views: Larger buildings or more intense
on the following: building programs may impact the extent and quality
of exterior views. Denser development requires careful
site planning to ensure privacy and minimize the
Environmental Impacts and Opportunities
visual and noise impact of abutting uses.
䡲 Site disturbance: More clearing and grading is re-
Financial Impacts and Opportunities
quired as buildings, site improvements, and infrastruc-
ture occupy an increasing proportion of land. There is
䡲 Infrastructure: While higher-density development
normally a reduction in the opportunity to retain natu-
generally requires higher total infrastructure costs, it
ral grade as density increases. Opportunities to pre-
may result in lower construction, operation, and ser-
serve existing wooded or natural areas are similarly
vice costs on a per unit or square foot basis.
reduced as building program coverage is expanded.
Lower building density does not in itself result in less 䡲 Land: Higher-density development permits land
impact. It is the combination of existing conditions, costs to be distributed within a larger development
proposed program, and resolution of program detail program, resulting in lower per unit land costs.
that eventually delineates the degree of impact. An
䡲 Site amenities: Although higher density may require
equivalent program in a more compact development
a more elaborate amenity program, the increased pro-
envelope can have substantially less site disturbance
ject development yield and resulting revenue may pro-
impact than a comparably sized program dispersed
vide an incentive for such provisions.
over a greater amount of acreage. Similarly, building
programs that are tailored to unique site conditions 䡲 Construction: Typically, more intense development
can have less impact on land than generic solutions. results in higher total construction costs. It may foster
For example, a residence designed for a steep site will certain economies in construction due to the potential
have a better fit and require less grading than one for distributing costs over a larger program base. Con-
originally designed for level terrain. centrated building programs generally provide a lower
per unit construction cost than a similar program dis-
䡲 Stormwater management: As the impervious surface
persed over a larger area. Such reduction results from
associated with a given development program in-
savings associated with a more compact building enve-
creases, so does stormwater runoff, along with the in-
lope and shorter lengths of expensive infrastructure.
creased potential for non-point source pollutants.
Conversely, greater opportunities exist for storm drain- 䡲 Public/semi-public facilities: Aggregate and per unit
age control, erosion and sediment control, and best operation and maintenance costs of select facilities may
management practices, in that higher density can assist be reduced with denser development patterns. This is
in financially compensating for construction costs asso- particularly important for major capital facilities, such

F IGURE 12.4 Planned community.

as a sewerage treatment plant. These may be funded

by municipal bonds or special assessment or develop-
ment association fees and rely heavily on project usage
to retire debt. The building of major private facilities,
such as utility transmission lines, also relies on de-
mand to justify new construction.
䡲 Tax revenue: Tax revenues generally increase on an
acreage basis as a result of public and structural im-
provement, and subsequently increased density nor-
mally results in a higher average per acre assessed
value.
䡲 Municipal service: Public service improvements can
F IGURE 12.5 Typical conventional lot.
more readily be supported by concentrated population
and development patterns, which afford a more effi-
cient delivery system.
nance. Similarly, in a cluster lot, the single-family structure
Operational Impacts and Opportunities is surrounded on all sides by yards reserved for the occu-
pant’s exclusive use; however, the lot may be smaller than
䡲 Maintenance: Occupants realize lower per unit normally prescribed under conventional zoning and the
maintenance costs due to economies of scale associated yard setbacks are generally lessened. Figure 12.5 is repre-
with larger, more intense development patterns. sentative of a typical conventional subdivision lot, and Fig-
ure 12.6 represents its cluster equivalent.
䡲 Energy: Per unit energy cost savings are generally Utilization of cluster lots requires greater attention to
realized in development that is more compact. house siting and house-to-house relationships, given the
need to preserve individual unit privacy and maintain com-
Marketing Impacts and Opportunities
munity design standards among smaller average lot sizes.
The benefit of cluster development rests with the potential
䡲 Market exposure: Increased scale, intensity, or qual-
reduction in per unit infrastructure costs, given the aggre-
ity of development may foster a visual presence, which
gation of dwellings on only a portion of the project acreage.
translates into greater market exposure. Depending on
Similarly, the conservation of community open space in
the actual development program, this may increase
cluster arrangements and its amenity appeal may offset mar-
project appeal to a broader spectrum of the market or
ket concerns about smaller lot sizes and the potential re-
increase awareness among targeted consumer groups.
duction in individual unit privacy. Conventional or cluster
䡲 Community identity: Larger-scale developments can arrangements alone do not dictate lot size. Relatively speak-
provide additional justification for amenities, which ing, large and small house types may be developed in either
may, in turn, increase community identity and arrangement. While acre and multiple-acre home sites are
resident/tenant affinity with a project. common in suburban areas, more typical single-family de-
tached lots ranged from 1⁄4 to 1⁄3 acre in size throughout
RESIDENTIAL LAND USE most of the last several decades. However, current trends
Typically, housing is the most prevalent land use within a are moving toward smaller lot sizes, given escalating land
jurisdiction. Residential design requires sensitivity to the costs and changing lifestyle requirements. Single-family de-
pragmatics of sound construction economics, an under-
standing of site conditions, and an appreciation for con-
sumer lifestyle preferences. Similarly, sound residential
planning and design requires a genuine appreciation for the
individual dwelling unit.
Single-Family Detached
In a single-family detached residential dwelling, each indi-
vidual living unit is a freestanding structure. Each dwelling
unit normally occupies a separate recorded lot. In a con-
ventional lot arrangement, the single-family home is sur-
rounded on all sides by property or yards reserved for the
occupant’s exclusive use. The lot must meet a minimum or
average size prescribed in the community’s zoning ordi- F IGURE 12.6 Typical cluster lot.

tached dwellings on 2000–5000-ft2 lots are increasingly erations are based on sound site planning and community
common in both in-fill developments and planned com- design criteria.
munities. Zoning ordinances generally provide setback and yard
Lots are normally square or slightly rectangular in shape. requirements for single-family residential development to
Minimum lot widths are generally governed by local zoning ensure functional side, rear, and front yards. Front yard set-
ordinance. Decisions to exceed that dimension are often backs are generally a minimum of 20 to 30 ft to accom-
prompted by market demand for additional distance be- modate the length of a parked vehicle in the driveway. Front
tween dwelling units, the dimensions of the proposed yard setbacks may vary depending on the nature and scale
house, or preferred driveway approach to the garage. An of the adjacent street. Lesser setbacks may be acceptable
attached side-loaded garage requires a wider lot than a sim- where alternative parking arrangements are provided, as is
ilarly sized front-loaded facility. the case where rear-accessed alleys or service drives are em-
Lot lines normally run perpendicular to the street front- ployed. Deeper setbacks may be required along more heav-
age. Variations in lot configuration commonly include pie- ily traveled arterial streets than on neighborhood streets or
shaped lots around cul-de-sacs and flag or pipestem lots. cul-de-sacs with less traffic volume.
The latter convention provides limited lot width along the Demand for affordable single-family detached housing in
public street frontage to accommodate driveway access and a time of escalating land prices has prompted greater reli-
a widening of the lot at the building setback line sufficient ance on smaller lots. The smaller lot size not only appeals
to satisfy the desired house type and its yard requirements. to builders and developers who can realize lower per unit
Examples of these lot configurations are presented in Figure infrastructure costs and higher per acre unit yields but re-
12.7. sponds to consumer preference for the reduced mainte-
Pipestem or flag lots were originally designed to allow nance requirements associated with the smaller yards.
access to otherwise landlocked parcel acreage. Use of this Smaller lots in well-designed communities with provisions
technique recognizes the environmental and economic ad- for common amenities appeal to a lifestyle that seeks con-
vantage in substituting private drive lengths to tap land that venient accessibility to diverse leisure activities. Safeguards
otherwise would require additional street length and poten- to a well-designed small lot community reside in well-
tially greater site disturbance and infrastructure costs. The conceived architectural design of the unit and sensitive site
negative attributes of this technique include the potential planning.
burden on homeowners to individually maintain longer Design Considerations. While conventional subdivision
driveways or private street lengths, potential access con- regulations normally prescribe setbacks for front, rear, and
straints for emergency vehicles, and possible undesirable side yards, dwelling unit design, variation in lot sizes, lot
house-to-house relationships, as pipestem dwellings may be dimensions, and concessions suited to cluster or unique
perceived to be in the rear yards of adjacent residences. detached housing prototypes provide opportunities to tailor
However, judicious use of pipestem lot arrangements can design to local market and site conditions. Several ground
provide distinct benefits in residential design when its use, rules can provide a strong foundation to residential layout
resulting lot size, dwelling orientation, and access consid- design. These include:
F IGURE 12.7 Example of variation in lot size due to site char- F IGURE 12.8 Example of the use of flag lots in lieu of extended
acteristics. street length.
common floors and ceilings. Each unit has a separate pri-

vate entrance at grade level and usually a contiguous ex-
terior yard reserved for the occupant’s exclusive use.
Variations may include:
Townhouse (Row House or Townhome). Made up of three
or more units attached side-by-side, the townhouse, long a
common urban housing prototype, has become a popular
component of the suburban housing market. A common or
party wall separates individual units, each with an at-grade
entry. Property on at least two sides, normally front and
back, is generally reserved for the occupants’ exclusive use.
The townhouse provides flexibility in plan and style,
with design variations that include integral or detached ga-
rages. Indoor/outdoor relationships generally focus on the
rear yards, although they may orient to small front court-
yards. Exterior yard privacy may be enhanced with land-
scaping, fencing, or privacy walls. Lot widths can vary
depending on the desired character of the unit. While con-
ventional suburban townhomes may range from 16 to 24
F IGURE 12.9 Example of variation in lot size due to site char- ft wide, units of 32 ft or greater are not uncommon when
acteristics. market considerations warrant a street presence approach-
ing that of a single-family detached residence. At the more
conservative widths, lot depths may range from 60 to 100
䡲 Lot and place houses in a manner that responds to ft. Densities normally range from 7 to 12 units per acre.
the site’s natural features. Depending on the unit width, parking requirements, site
conditions and desired community character, densities of
䡲 Avoid extremes in either random plan organization up to 20 units per acre are not uncommon in more urban
or uniformity to the point of monotony in the pattern settings. The figures below illustrate a range in townhouse
of development. configuration, including the more conventional front-
䡲 Establish appropriate block lengths to minimize loaded unit, courtyard or clustered townhouse court, and
long views of repetitive house-fronts, garages, and alley-served units.
driveways as well as foster convenient vehicular and Each townhouse dwelling has a separate front door, al-
pedestrian movement. though end units may be side entry. Generally, each house
has its own utility connections. Typically, local ordinances
䡲 Ensure yard dimensions and unit orientation that prescribe the maximum number of side-by-side units that
promote individual dwelling legibility and sufficient may be aggregated into a single townhouse ‘‘stick’’ or build-
yard privacy. ing group. While sticks of six to eight townhouses have
䡲 The street pattern should result in a coherent and been a common development practice, combinations of
legible circulation system to support an identifiable three to four units, comparable in scale to a large single-
sense of place. family residence, are popular in some high-end market seg-
ments.
䡲 Building setbacks should reinforce the street hierar- Building lengths with more than eight attached units are
chy. more commonly found with narrow, 18-ft or less average
unit widths. Shorter lengths, and a higher percentage of end
Single-Family Semidetached units are generally associated with wider upscale town-
The single-family semidetached dwelling, commonly re- homes or in instances where parcel dimensions preclude
ferred to as a duplex unit, consists of two living units that longer lengths.
occupy a single structure separated by a common wall. Each While the urban townhouse was configured in a linear
dwelling has its own exterior entrance and is located on a arrangement with units oriented to the street, the suburban
separate recorded lot. Each dwelling unit is surrounded on townhouse community has taken on a more organic ar-
three sides by property reserved for the occupant’s exclusive rangement. This has occurred in response to site conditions,
use. which have accommodated a more expansive layout, as well
as a proclivity toward arrangements in which the units’
Single-Family Attached fronts face towards the parking lots and whose rears are
Single-family attached dwellings include housing types with open-space amenities. The urban street setting, with its at-
multiple dwellings in a building arrangement where two or tendant parallel parking and supplemental rear service alley
more dwellings share common walls, and in some cases access, had been preempted, in the suburbs, by the front
ning to ensure the convenient placement of adequate park-

ing for each unit. Reliance on a single exterior exposure for
each residence requires subtle design considerations to bal-
ance the semipublic nature of a front entry with any privacy
requirements associated with the singular exterior living
space, which occupies the same facade.
Other Townhouse Variations. Another variation to the
townhouse is the stacked or piggyback townhouse. This
may include a multistory townhouse unit over a single-story
flat or a multistory townhouse over a similar multistory
unit. Such arrangements work well on sites where topo-
graphic change will allow upper and lower units to be ac-
cessed at grade on opposing sides of a building. In extreme
instances, the lower unit may be reduced to a single exterior
exposure.
Alternating townhouses with stacked flats in the same
building can produce additional diversity. The flats, some-
times referred to as coach homes may be located either at
building ends or in interior locations. This arrangement is
often classified as a multifamily residential product subject
to zoning requirements associated with that use category.
Figures 12.13 and Figure 12.14, respectively, illustrate the
combined townhouse/coach house and piggyback/stacked
townhouse.
Multi-Plex. Used with a prefix representing the number
of attached units, such as duplex, triplex, quadraplex, etc.,
multiplex residences consist of two or more units in various
configurations, each with its own separate at-grade exterior
entrance. Piggyback townhouses and manor houses are of-
ten considered multiplex units. The yards surrounding a
typical multiplex unit may be reserved for common occu-
pant use or portions of the yards may be designated for an
individual unit’s exclusive use. Figure 12.15 shows a variety
of multiplex combinations.
As the number of units in this type of attached residen-
tial arrangement increases, unique opportunities and con-
F IGURE 12.10 Typical townhouse condition. straints in both design and construction arise. Unit design,
solar orientation, indoor/outdoor relationships, privacy
provisions, convenience of automobile access, and parking
service drive and its associated perpendicular parking. Var- must be weighed against the increase in density and reduc-
iations do include townhouse layouts, which focus on a tion in per unit land, construction, and infrastructure costs.
court and mews arrangement of units. The former generally
results in a cluster of townhomes fronting on a common Multifamily Residential
parking area, often referred to as parking court or parking Multifamily structures are characterized by four or more
bay. The common vehicular circulation area serves as the units in a single building, with units sharing access to the
organizer for the cluster. The mews arrangement focuses on exterior by one or more common entrances. Structures may
a pedestrian open space to organize the front facades of the be one or more stories, and multifamily communities or
individual townhomes, with parking occurring at the ter- developments may consist of one or more buildings on a
minus of the pedestrian area or on the rear or underside of single tract or lot. Structures are surrounded by common
the units. open space, which often contains on-site recreational facil-
Back-to-Back Townhouse. While considered an attached ities for resident use. Private drives or service roads provide
multifamily housing type in many jurisdictions, the back- access to surface parking lots or in some cases structured
to-back townhouse often divides the length of a traditional parking, private garages, or carports.
townhouse stick with an additional common wall that Most zoning ordinances specify detailed design criteria
serves to separate units organized along opposing facades. and development standards for multifamily projects. Project
The resulting aggregate building form has two front yards. density is usually set as a maximum number of dwelling
The double frontage prompts a need for careful site plan- units per acre or, in some instances, may be expressed as a
F IGURE 12.11 Traditional townhouse unit arrangement.
maximum permitted square feet of building or floor area to be maintained in the event that one entrance becomes
coverage per acre of land. obstructed.
Minimum standards are adopted to guard against over- Site planning for multifamily developments requires an
crowding, ensure access to light and air, protect privacy, and appreciation and understanding of the proposed building
ensure compatibility between land uses. Most jurisdictions design. The higher densities, size of structures, and rela-
seek to locate multifamily residential development in areas tionship between structures and site elements leaves less
where land costs are high. Typically, this type of develop- latitude than may be afforded in site design for less dense
ment coincides with areas of considerable existing or residential housing types. The placement of driveways, lo-
planned investment in public infrastructure, or where prox- cation and sizing of parking areas, and other infrastructure
imate commercial retail and office activity would benefit considerations require knowledge of building dimensions,
from higher-density residential development. In this regard, elevations, and orientation.
multifamily housing often provides the buffer between non- Multifamily structures are generally categorized as either
residential activity and single-family attached and detached garden or low-rise, mid-rise, or high-rise structures. Dis-
developments. tinctions and characteristics of each of these are described
Due to the more intense traffic generation resulting from below.
the higher densities associated with multifamily housing, Garden apartments, sometimes referred to as walk-up or
convenient access to major collector or arterial streets is low-rise, consists of one- to four-story structures. The in-
desirable. Depending on the size of a development, local dividual apartment units may be arranged along corridors
fire and public works officials may require at least two en- or around common stairwells, which may be enclosed
trances or connections to a public street. This allows access within the structure or unenclosed and integrated into the
F IGURE 12.12 Back-to-back townhouse.

F IGURE 12.13 Combination townhouse and coach house arrangement.
exterior architectural design. While some units may have which the individual unit runs from the front to the rear of
direct private entrances at grade level, normally units share a building (through-units) to double-loaded arrangements
common entries. As the name implies, the garden apart- where in each unit has a single (front or rear) exposure. In
ment focuses on melding the dwelling unit to the building terms of site design, awareness of interior room organiza-
grounds. The building units are generally organized around tion and relationship to exterior space is important to pro-
landscaped open space and parking areas. Ground floor mote desirable views and to enhance individual unit
units may have direct access to exterior patios or garden privacy. This is particularly important where parking is con-
areas, and upper floors may have balconies or terraces, pro- centrated near the building. Provision of intermediate land-
viding each individual unit with exterior living space. scape between the unit and the parking area enhances the
Garden apartment building configurations vary depend- livability of the dwelling, particularly if it is the unit’s sole
ing on a myriad of marketing, program, and site consider- exterior exposure. Figure 12.16 illustrates single- and
ations. They can range from single-loaded buildings in double-loaded garden apartment layouts.
F IGURE 12.14 Piggyback or stacked townhouse.

F IGURE 12.15 Typical Multiplex Combinations: triplex, quadraplex, eightplex.
Garden apartments afford significant flexibility in site de- Mid-rise and high-rise multifamily residences are generally
sign due to the adaptability of various building forms to four- to eight-story structures. High-rise residences nor-
divergent site conditions. Unit densities can range from 10 mally exceed eight stories. Both rely on elevators for vertical
to 20⫹ units per acre, depending on the building config- circulation. Individual dwelling units access common cor-
uration, unit sizes, number of stories, parking, open space, ridors. Units are generally arranged along opposite sides of
and amenity packages. In an effort to appeal to varying the corridor, providing a single exterior exposure for the
markets, garden apartment communities increasingly pro- principal interior living spaces. While the economies of
mote amenity packages that expand beyond the traditional construction weigh heavily in favor of this arrangement,
swimming pool to include facilities complete with spas; ex- unique market considerations may prompt alternative de-
ercise, game, meeting and community rooms; and ex- sign, such as single-loaded corridors, as in the case where
panded site improvements including tot lots, court facilities, a unique amenity mandates that all units have comparable
trails, and park courses. Multifamily residents increasingly exposure to the attraction.
desire amenities comparable to those provided in single Internally, buildings are organized around the elevator,
family residential communities. Even sheltered parking utility, and a stairwell core, which may be central to the
such as carports, or more infrequently individual garages, building floor plate. Entered at a common lobby, or mul-
is an increasingly popular element in select garden apart- tiple lobbies at differing levels, if terrain permits, the cor-
ment communities. ridors penetrate the building extremities providing access
to the individual residential units. Additional stairwells po-
sitioned at the further reaches of the corridor provide an
alternative means of access/egress. The concentrated need
for service and delivery is generally satisfied by a central
loading area, which is often located to the rear or side of
the building removed from main tenant access and view.
Figure 12.17 is illustrative of a typical mid- and high-rise
multifamily floor plate.
Four- to eight-story multifamily buildings can achieve
densities of 30 to 40⫹ units per acre. Provision for parking
increasingly relies on subsurface or structured arrangements
to maximize land use efficiencies and promote tenant con-
venience and safety.
Many of the amenity provisions of mid- and high-rise
residential buildings may be internal to the structure, but
exterior elements may include a full range of recreational
and leisure activity areas. In more urban settings, this may
F IGURE 12.16 Example of double-loaded and single-loaded include indoor or rooftop swimming pools, landscaped ar-
garden apartments. rival courts, and lush landscaped perimeters. On more ex-

䡲 Screening and buffering standards, given the spe-

cific use or use intensity proposed in relationship to
the nature and density of adjoining uses
䡲 Maximum lot coverage
䡲 Minimum lot dimensions and frontage require-
ments, including distinction between interior and cor-
ner units/lots, pipestem or flag lots, and cul-de-sac lots
䡲 Maximum number of pipestem lots permitted
䡲 Lot restrictions regarding inclusion of environmen-
tally sensitive areas and utility easements
䡲 Parking and access criteria, which may include the
number of parking spaces required, limitations on
F IGURE 12.17 Typical mid-rise and high-rise multifamily
housing floor plate.
public or private street length, and street loading ca-
pacities
䡲 Maximum building height and methods for calcu-
lating height
pansive sites, the provisions may include tennis courts,
elaborate pool facilities, and exterior exercise and recreation 䡲 Minimal landscape or tree canopy requirements
offerings in a park-like setting. In attached and multifamily housing types, considera-
tions may include:
Site Design: Residential Development
䡲 Minimum unit width or size
Local zoning codes and planning documents generally pro-
vide the principal guidelines and criteria governing residen- 䡲 Limitations regarding maximum number of units
tial development patterns. These include stipulations as to that may be grouped together
means and methods for ensuring code compliance. Some
䡲 Maximum distance between unit entry and parking
of the more conventional considerations normally include:
䡲 Variation in architectural facade and setbacks
䡲 Maximum permitted density, including means and
method of calculation. Density calculations may require 䡲 Minimum setback from common property lines
the omission of all or portions of a site area encum- 䡲 Minimum distance between buildings
bered by environmental constraints such as steep
slopes, floodplain, wetlands, major utility easements, 䡲 Standards and criteria for determining the number
and public rights of way and placement of loading and service areas
䡲 Minimum acreage assembly for select residential 䡲 Building and fire code requirements
types. Often cluster or planned development districts
require a minimum amount of acreage to be eligible NONRESIDENTIAL LAND USE
for that zoning district Principal nonresidential development in the suburban en-
vironment focuses on retail, office, and industrial land uses.
䡲 Minimum yard requirements, including front, rear, The following discussion highlights the more prevalent
and side yard requirements, may be expressed as a building types and site considerations appropriate to each.
minimum dimension or relationship to the height of
the building Market Considerations
䡲 Minimum open space provisions, including poten- Provision of retail, office, and industrial development pro-
tial distinction among usable open space, dedicated grams can be prompted by a myriad of factors, including
open space, and common green space. Ordinances may observation of a demonstrated need for local distribution of
discount or cap the amount of public open space al- goods and services at a neighborhood or community level;
lowed as part of the project open space calculation. recognition of an opportunity to fulfill a local jurisdictions
Similarly, a percentage of the total open space may development goal in expanding either local or regional ec-
need to meet certain location, distribution, or perform- onomic base; or recognizing local trends focusing on the
ance criteria, such as size, shape, and topographic con- growth, consolidation, or relocation of business ventures
siderations, or be exclusive of floodplains, utility within an area. Regardless of the genesis or justification for
easements, or wetlands such facilities, site design and site execution must be si-

multaneously sensitive to the requirements of the provider,

prospective tenant and patron, site, and surrounding com-
munity.
Design Considerations
As with all land development activity, commercial site de-
sign criteria stem from two principal sources. The first con-
sists of standards associated with the prospective use. This
includes the spatial characteristics and site provisions req-
uisite to housing and servicing the facility and its tenants
and customers. The second set of criteria concentrates on
local land development plans and controls. While the zon-
ing ordinance is the primary gauge for establishing site per-
formance, other considerations, such as environmental, fire,
and safety compliance, factor heavily into facility and site
design. This set of criteria may vary among jurisdictions
and the nature and intent of the specific land use under
consideration.
Common Standards. Subsequent to determination that
the proposed use is appropriate for a given property, set-
back, height, bulk, and other dimensional and performance
standards constitute the principal site design criteria. These
standards are normally contained in most jurisdictional
subdivision and zoning regulations.
Floor Area Ratio. Nonresidential development is most fre-
quently programmed and sized on the basis of the aggregate
square feet of built structure relative to development site F IGURE 12.18 Example of comparable floor area ratios.
area. The common method of computation is the floor area
ratio (FAR), a method of measurement expressed as the
relationship of total building square feet to the total site height to peripheral yard setbacks. If an acceptable angle of
area. For example, as shown in Figure 12.18, a 10,000-ft2 bulk plane from the top of building to a given property or
building located on a 40,000-ft2 parcel would constitute a parcel line is designated, the setback can increase propor-
floor area ratio of 0.25 (building area divided by parcel tionately as the building height increases. For example, a
acreage). The number of floors associated with the built required 40⬚ angle of bulk plane might require a 17-ft set-
product does not influence the floor area calculation. In the back for a 20-ft high building and a 34-ft setback for a 40-
cited example, the 10,000-ft2 building might be constructed ft tall building. Other jurisdictions may express a minimum
as a two-floor building of 5,000 ft2 each, or a four-story yard setback based on a given building height and simply
building of 2,500 ft2 each. The floor-area-ratio is 0.25 in all stipulate that for every additional foot of building height
cases. Most jurisdictions do not include parking structures the setback dimension will increase a set distance. Figure
in floor area computations. Similarly, exclusions may in- 12.19 illustrates the concept of angle of bulk plane for reg-
clude portions of the building that are below grade or space ulating building height.
programmed for select circulation, service, and support fa- Parking, Loading, and Service. Criteria governing mini-
cilities. It is important to be aware of the method for cal- mum parking, loading, and service are normally expressed
culating FAR in each jurisdiction. in relationship to the floor area of the proposed building
Lot Size and Bulk Regulations. Minimum lot size, build- program. Typically, the zoning ordinance stipulates this
ing height, bulk, setback, and yard requirements are nor- standard as a minimum number of parking spaces to be
mally stipulated in the individual zoning categories for provided on-site, although in some cases a portion of the
nonresidential uses. The criteria generally vary in relation parking may be provided off-site or in combination with
to the intensity of the desired development and the char- adjacent uses. Jurisdictions vary in terms of how they ex-
acteristics of the adjacent land use. Areas designated as press this relationship. It may be based on gross building
more urban will normally require smaller setbacks from square footage, net building square footage, net leasable or
parcel boundaries. While a maximum building height may tenant area. The designer must understand the method of
be stipulated, the permitted height of a structure may be calculation, ascertain the minimum requirement based on
governed by performance criteria. A common method of public standards, and ensure that such a minimum provi-
control focuses on maintaining a relationship of building sion has client and market acceptance. Unique program re-

RETAIL
Retail development may be loosely categorized according to
the size and physical characteristics of the proposed facility.
The principal types of retail locations include freestanding,
strip, center, and mall arrangements of sales and accessory
uses.
Freestanding
The freestanding retail establishment has taken on reduced
import in the suburban market, given trends focusing on
the aggregation of retail uses and the benefits associated
with collective marketing, expanded visibility, and customer
capture associated with more encompassing retail or mixed
use projects. Where a freestanding retail use does exist, it
is generally positioned to respond to several sets of location
criteria. It may be an establishment, sited on a separate
recorded lot or parcel, that is part of a larger community
of like uses, such as a town or village center or in a linear
arrangement along a major road or highway. It may consti-
tute a modest forerunner retail service in a geographic area
of insufficient population concentration to warrant more ex-
pansive retail development. It may represent a national or
local business with a sufficiently unique market to generate
patronage at a location apart from other retail trade or
F IGURE 12.19 Illustration of angle-of-bulk plane. whose functional requirements are best satisfied as a free-
standing structure.
In today’s suburban retail market, freestanding retail es-
quirements or marketing considerations often prompt a tablishments are commonly associated with locations within
need for parking and loading space provisions to be in ex- or proximate to larger retail or shopping center. Establish-
cess of the minimum zoning criteria. ments such as restaurants, banks, movie theaters, bowling
Landscape and Open Space. For nonresidential uses, this alleys, gasoline stations, office buildings, and similar sin-
is typically expressed as a percentage of the total site area gular operations may be located on separately recorded lots,
that is not encumbered with the building, vehicular circu- sometimes referred to as pad sites, within the parking area
lation, and parking. While it is normally considered the or along the road frontage of larger retail centers.
residual portion of the site remaining for landscaping, in The size and functional characteristics of such establish-
some localities it may be more conservatively delineated to ments vary considerably. However, building visibility, the
exclude pedestrian walkways, patios, and similar site im- number and convenience of customer parking, and the size
provements, which are deemed impervious surface treat- and location of loading and service requirements generally
ments. Landscape requirements are generally categorized as represent the primary site design criteria that establish the
two main types. pattern for such uses. Where such a facility is contemplated
Peripheral yard and buffer area requirements may be at isolated locations, one can anticipate a greater need to
stipulated for nonresidential projects, which are deemed in- ensure measures of compatibility with surrounding devel-
compatible with surrounding land uses. These may be pre- opment. Integration of freestanding retail uses as an adjunct
scribed as a fixed dimensional width with certain pro forma to neighboring strip, center, or mall retail development pat-
landscape treatments or as a performance criteria requiring terns generally presents less difficulty in ensuring commu-
a combination of plant material and/or structural elements nity fit and may afford advantages to the extent parking,
that provide an equal or improved buffering condition. street improvements, and other infrastructure considera-
A second set of standards focuses on minimum land- tions may serve multiple users.
scape improvements required given specific development
program components. These may deal with shielding or Strip Centers
screening of parking areas, service and loading zones, min- Strip centers literally represent the aggregation of retail uses
imal streetscape standards, foundation planting, parking lot in a linear arrangement, most notably with their front fa-
landscaping, or other specific concerns of the local juris- cades paralleling roadways or positioned in an ‘‘L’’ config-
diction. uration at the intersection of major transportation routes.

Generally, the establishments are one store deep, share com- standing retail establishments such as banks, gas stations,
mon interior walls, and are linked by a common pedestrian and restaurants at the center or along the roadway frontage
walkway across the storefronts. The bulk of parking is ag- gives a functional complexity to a retail center and requires
gregated into one or more principal parking areas normally careful attention to site details to ensure sufficient visibility,
located between the store facade and the street. Strip cen- access, convenience of parking, and service and loading.
ters rely on a strong visual relationship to the adjacent street Figure 12.21 represents a typical retail center design.
frontage for identity and marketing. Strip retail arrange-
ments can vary in size, however, once the linear distance Retail Mall
across the collective storefronts exceeds 400Ⳳ ft pedestrian
The distinguishing characteristics of the retail mall include
circulation between stores begins to subside. Once a larger
the separation of major pedestrian movements from pe-
retail establishment, such as a major grocery store or drug
ripheral vehicular parking and circulation. Generally
store, is introduced into a linear arrangement, the distinc-
located between opposing store facades, an internal pedes-
tion between strip and retail center becomes less clear. Fig-
trian walkway or mall may be either open or under roof.
ure 12.20 illustrates the typical strip center configurations.
Both arrangements provide an opportunity to direct cus-
Retail Center tomers along expanses of intervening retail establishments.
A typical mall is presented in Figure 12.22. A normal
Finding definitive criteria to distinguish a retail center from
convention in organizing on-site vehicular circulation is to
a strip center can be difficult, given the negative connota-
position a service drive at the building perimeter and a
tion that the latter has acquired. Retail centers share in their
perimeter road near the outer edge of the major field of
reliance on common parking areas, major pedestrian cir-
parking. Major approaches to the mall tend to be aligned
culation across storefronts, and maintenance of a reasonable
with main store anchors. In many instances, freestanding
relationship and visibility to adjacent roadways. A distinc-
tion can best be found in the number of potential anchor
or larger retail establishments that are located in a retail
center, an abandonment of sole reliance on a linear arrange-
ment for all of the retail establishments, and the introduc-
tion of smaller pad site within the retail center site. Centers
often are arranged in an ‘‘L’’ or ‘‘U’’ shape, with anchor stores
occurring at the building extremities and/or central to the
parking lot. These arrangements take advantage of parcel
depth, and lining multiple sides of the parking area with
stores reduces the distance between the parking stalls and
a variety of retail establishments. The introduction of free-
F IGURE 12.20 Typical strip center arrangement. F IGURE 12.21 Typical retail center arrangements.

F IGURE 12.22 Retail mall arrangement.
uses (pad sites) may occupy acreage between the outer mall parking can assist in reducing distances between parking
loop drive and the perimeter street network. areas and retail stores. The resulting site solution often en-
Figure 12.23 illustrates the front-sided multilevel park- tails the bridging of peripheral service drives around the
ing arrangement employed at the Tysons II retail mall in center perimeter, and in the case of multilevel malls may
Fairfax, Virginia. In the background (right rear), parking result in pedestrian walkways that connect to various levels
decks have been constructed over former surface park- of the center.
ing lots to accommodate the expansion of neighboring
Tysons I. Retail Center Design Considerations
There is a considerable range in the size of retail malls, Site design for retail centers should be predicated on overall
with major regional serving facilities often exceeding 1 mil- customer ease in identifying and locating the individual ten-
lion ft2 of leasable area. Increased reliance on structured ants within the center. Convenience of vehicular access, ad-

F IGURE 12.23 Retail mall with structured parking. (Photo by Larry Olsen)
equacy and placement of customer parking, and safety of Beginning at the site perimeter, design considerations for
pedestrian movements between parking areas and retail es- retail activities should include the following:
tablishments are all fundamental site planning considera- Center Orientation to Surrounding Road Network. Retail
tions. A secondary set of criteria focuses on the internal establishments should be positioned to take advantage of
servicing and operation of the center, particularly in regard visibility to abutting public rights of way. Leasing agents
to separation of service, delivery, and loading facilities. Typ- maintain the greatest market asset of a retail center is unob-
ically, reasonable convenience of parking areas (to the retail structed visibility from adjacent roadways. In expansive
establishment) imposes a limit on the maximum acceptable centers, the major anchors are usually singled out for this
distance between the most peripheral parking space and the elevated position, with smaller flanking or interior store lo-
center itself. This distance generally approximates 400Ⳳ ft, cations dependent on foot traffic generated by the anchor.
the equivalent of a two-minute walk. There are ample examples of successful retail centers that

do not rely on excessive road exposure. It should be cau- access and exit the parking area can assist in reducing re-
tioned, however, that many of these more introspective cen- liance on travelways nearer the building and minimize the
ters are located in planned communities, governed by site potential conflict between through traffic and the discharg-
and architectural guidelines, and operate within an envi- ing of passengers or loading of merchandise. In more con-
ronment where the location of competing establishments is ventional retail arrangements, depending on the depth of
stringently controlled. the parking bays and the size of the retail center, interme-
Sizing. The distinctions among freestanding, strip, center, diate travelways midway between store facade and perim-
and mall arrangements are related to the architectural mass- eter boundaries can assist high traffic volumes in navigating
ing and organization of retail space. With the exception of parking areas and assist overall traffic flow.
freestanding retail establishments, whose size and location Service traffic should be directed to separate loading ar-
may be a function of numerous unique circumstances, the eas and service docks. Normally this occurs to the rear of
size of the retail project and the profile of resident tenants the retail stores, where it can be appropriately screened and
relate to their intended service population. Normal conven- refuse containers can be shielded from public view. Loading
tions include a distinction among neighborhood centers, bay approaches and service drive design should conform to
community centers, and regional centers. Although juris- appropriate geometrics for the size and number of vehicles
dictions may provide precise definitions for each in their necessary to serve the development program adequately.
respective zoning documents, general definitions of each are Entry drives should be of sufficient length for vehicles to
as follows: enter the site adequately prior to contemplating major turn
movements. Exists should provide sufficient stacking space
䡲 Neighborhood centers generally service a population to accommodate safe transitions into adjacent roadways.
of 2,500–40,000 or a 1.5-mile radius. They may range Parking. The minimum number of parking spaces re-
from 3 to 10 acres in size, approximate 40,000– quired to support retail activity is normally specified in the
100,000 gross leasable square feet, and include a su- zoning ordinance, as is the required number of loading
permarket or drug store as the lead tenant. Other spaces. Criteria are usually expressed as a ratio of parking
establishments focus on convenient consumer access to spaces to the square footage of the development program.
frequently purchased goods and services. The standards may vary depending on the service charac-
teristics of the retail establishment. More spaces may be
䡲 Community centers, located on 10 to 40 acres, range
required for enterprises with higher customer occupancy,
from 100,000–400,000 gross leasable square feet and
such as restaurants, than for stores with more extensive
service a three- to five-mile radius and a population of
display and stock storage space, such as a furniture store.
20,000–50,000, or the equivalent of several neighbor-
The required number of parking spaces is normally between
hoods. The range in uses may include a supermarket,
four and six spaces per 1000 ft2 of gross leasable area. The
drug store, general merchandise, or similar offering, as
local zoning ordinance should be consulted for specific
well as attendant smaller retail establishments.
standards. Requirements for certain retail uses may require
䡲 Regional centers generally include retail assemblies provision of additional spaces based on the number of em-
sufficient to provide a full range of retail goods and ployees or, in the case of restaurants and theaters, on seat-
services. They may range in size from 400,000 to over ing capacity.
1,000,000 ft2, service areas approximating an 8 to 10- Although freestanding and smaller centers may accom-
mile radius, or 20 minute drive, and populations of modate parking stalls parallel to the pedestrian walkway
100,000⫹. They generally contain specialty offerings immediately in front of the retail store, larger retail centers
and full-scale department stores, as well as supporting generally preclude parking from the vehicular drop-off and
establishments. Sites may range from 40 to over 100 pedestrian approach zone. In these larger retail centers, the
acres. parking area normally begins beyond the frontage service
drive and drop-off aisle. While the configuration of the par-
Vehicular Circulation. Transportation circulation is excel may warrant a different arrangement, parking aisles are
tremely important to retail site design. Access and egress generally positioned to run perpendicular to the store fa-
points should be well articulated and smoothly transition cade. This arrangement promotes ease and safety in pedes-
to the adjacent public road system. Ideally, multiple access trian movements from their parked vehicles to the store
points, sufficiently distanced to promote safe alternative ap- entries.
proach routes, should be secured. Traffic routes should at- Retail parking normally locates the major parking area
tempt to separate service vehicles from customer traffic. A between the retail establishment and the major frontage
separate site entry/ egress point for service traffic is ideal road. In larger multisided centers, such as shopping malls,
but may be impractical in many instances. Customer vehicle parking generally encircles the center. In planned commu-
routing should provide as near a continuous drop-off zone nities, where stringent design standards are in place, park-
along the facade of retail establishments as possible. A pe- ing areas may be required to be buffered from public view
rimeter circulation route, ring road, or street network to or located to the rear of the retail area. Such an arrangement

minimizes the visible expanse of parking as well as pro- the anchor should command a fairly central and visible
motes the retail building form in a forward position on the location, with smaller stores flanking each side. This
site to assist in defining the street edge. This latter approach arrangement assists in promoting market identity,
is key to traditional design principles, which give height- places the larger user central to the field of parking,
ened importance to pedestrian circulation, the use of build- and positions the smaller establishments to benefit
ing architecture, and massing to enhance street definition. from the pedestrian circulation generated by the larger
store. In multiple-anchor malls or centers, the expanse
Other Considerations between the major stores is most valued.
The sizing of retail use for a particular site and the estab- 䡲 Large retail centers may reasonably support a mul-
lishment of the building floor plate should be done in con- tilevel building program. In large retail centers, the in-
sultation with both client and retail marketing professionals. ternal vertical circulation within multilevel anchor
While there are general rules of thumb associated with the stores augments core mall escalators and elevators in
provision of retail space, rapid changes in marketing prac- directing pedestrian movements to smaller stores on
tices and the unique circumstances associated with many upper levels. Smaller neighborhood and community
individual retail establishments often prompt a tailored re- centers, dependent on ease of access and short dura-
sponse that may vary from the norm. As a foundation, how- tion of visit, seldom include second story retail space.
ever, several general planning guidelines are appropriate for If land costs or unique market circumstances warrant a
conceptual retail site planning. second level, it is often occupied by office or service-
related uses.
䡲 Single-story retail programs generally result in an
effective floor area ratio of 0.18 to 0.25, depending on 䡲 In a large mall, a major anchor generally exceeds
the configuration of the parcel and unique site condi- 100,000 ft2 of gross leasable area. In neighborhood or
tions. Multilevel malls with structured parking can re- community centers, the principal food market or drug
sult in a floor area ratio exceeding 0.5. store anchor tenant may range from 25,000 to 50,000
ft2.
䡲 Conventional retail parking requirements of 5Ⳳ
per 1000 ft2 of building area generally entail a parking 䡲 Design principles for power centers or big box
area approximately 2 to 2.5 times the gross area of the users generally conform to those for comparably organ-
building floor plate. ized retail centers, be they standalone, strip, center, or
mall arrangement. The size of the individual establish-
䡲 Individual store depths generally range from 40 to
ments, ranging from 40,000 to 100,000 ft2 and up,
150 ft, while widths may approximate 20 to 150⫹ ft.
however, requires additional attention to potential ve-
Often the ability to partition individual tenant space is
hicular and pedestrian circulation conflicts and the size
dependent on the method of construction and dimen-
of the parking field.
sions imposed by modular structural components. The
clear span between such modular supports is often re-
ferred to as a building bay. OFFICE USES: OVERVIEW
Suburban jurisdictions have experienced a tremendous
䡲 Mall widths generally approximate 30 to 40 ft
amount of office development over the last several decades.
along pedestrian corridors. The distance may increase
The scale of this activity has evolved from tacit provision
to 60 or more ft at intersecting corridors, or where fea-
of small- scale office and administrative space serving lo-
ture courts or common areas are introduced along the
cally based municipal, medical, and professional services to
pedestrian spines.
increasing accommodation of a major share of the employ-
䡲 In enclosed malls, 15 to 20% of the total gross ment base of metropolitan areas. The type, scale, location,
leasable area may be included in common areas such and arrangement of these facilities vary considerably. They
as corridors, courts, and common mall area. may house single or multiple tenants and may be occupant-
owned or leased. Construction may be prompted by the
䡲 Seven hundred ft is a reasonable walking distance
specific program requirements of the occupant or be initi-
between major retail anchors in an indoor mall. Four
ated on a speculative basis in response to existing or antic-
hundred ft is a maximum desirable distance from
ipated market demand.
parking areas to retail entries.
In office development, zoning regulations most fre-
䡲 Large center retail layout is dependent on the num- quently focus on building bulk and site characteristics. Spe-
ber and positioning of anchor stores. Anchors are nor- cific controls generally include criteria detailing acceptable
mally located at the building end or building limits for building site coverage, floor area ratios, building
intersections to provide each establishment with multi- height, and impervious cover allocations. Typically, mini-
ple facades and entrances for maximum building expo- mum standards include provisions for parking and loading,
sure and accessibility. In smaller single anchor centers, building setbacks and yard requirements, lot size, and open

space provisions. Additional criteria may refine the quality of sites suitable for sale for individual building construction.
of the open space in specifying the extent to which it must The availability of appropriately zoned office acreage with
be landscaped to qualify as landscaped open space or green in-place infrastructure is attractive to prospective owners or
space. These controls vary according to the intensity and tenants who may not have the time, resources, or inclina-
character of existing development within the community. tion to subject themselves to time-consuming front-end re-
Controls may be less stringent in more densely developed quirements necessary to transform raw land for office
areas surrounded by compatible land uses. development. The proximity of similar and related uses
Four office types or configurations are commonly found coupled with the shared infrastructure and amenity pack-
in suburban locations: the freestanding office building, the ages, which may not be economical for any single user, are
office park, the garden office complex, and the townhouse inducements for location within a well-planned and exe-
office. cuted office park. Shared infrastructure elements may
include both on- and off-site utility and roadway improve-
Freestanding ments as well as on-site amenities. Amenity provisions can
Freestanding office buildings generally include a self- range from extensive woodland preservation areas and wa-
contained building on an individually recorded lot or par- ter features to common recreation, athletic, and social fa-
cel. The building may contain single or multiple users or cilities. Depending on the location and scale of the park,
tenants. Space may be rented or owned by the tenant or hotel, select retail, and day care facilities may also be in-
tenants. Its occupancy of a separate recorded parcel or lot cluded. Figure 12.24 presents an office park parcel plan.
and need to singularly satisfy appropriate zoning criteria is Site development in office park design, as with any com-
perhaps the only generalization that may be made of the plex multiuse building program, requires careful consider-
free standing office structures. They can range from multi- ation of existing site features, criteria imposed by both local
floor multitenant structures with relatively high floor area jurisdictional controls, prospective tenant requirements,
ratios and heavy reliance on structured parking to small and sound engineering and design practices. Site systems,
single-tenant buildings serviced entirely by surface parking. including vehicular and pedestrian circulation, must be de-
The location and context of the surrounding land use veloped to balance the overall needs of the park with those
factors heavily into the nature and execution of site design of individual building sites. Parcelization plans require di-
for office buildings. A more urban siting, with higher land mensional accuracy and flexibility in ensuring sales and
costs, may confine the size of the building footprint and marketing. The likelihood of surface, structured, or below-
prompt a taller structure to secure the desired square foot- grade parking has bearing on the relative development in-
age. Such buildings may demand stronger street presence tensity that may be anticipated on any single site within the
to satisfy pedestrian access, increased reliance on structured park, as well as the aggregate development potential for the
or below-grade parking, more intensive landscape devel- overall facility.
opment associated with modest residual open space, and
greater restrictions on the number and location of access Garden Office
points. The garden office generally provides for multiple tenancies
Buildings in less urban locations benefit from lower land in a low-rise assembly of buildings. It is particularly attrac-
costs and may result in larger building floor plates, lower tive to professionals and service-oriented businesses that
building height, and more expansive site improvements, in- benefit from proximity to surrounding residential areas. Its
cluding reliance on surface parking. Building siting may or scale is generally conducive to locations near residential de-
may not demand a strong street presence. Institutional and velopment, and the architectural style and scale may closely
corporate clients may prefer a more secluded setting in resemble garden-style multifamily residential construction.
which the building is buffered from surrounding uses for Ranging from one to three stories, the tenant space is nor-
purposes of privacy or security. mally divided horizontally by floor, with individual entry
often open to common stairwells. Multilevel structures may
Office Park be equipped with elevators. Buildings may be arranged lin-
The office park requires coordination and control of a prop- early with common parking areas to the front, or clustered
erty assembly suitable for multiple office buildings and sup- around parking areas or pedestrian courts. Where the ter-
port services. Not unlike its residential counterpart, the rain permits, entry may be gained at different levels of the
planned community, the office park seeks to locate individ- building, providing the additional benefit and convenience
ual freestanding office structures in a setting enhanced by of having associated parking at the same level as tenant
open space and landscape amenities. In addition to in-place space.
jurisdictional controls, supplemental guidelines and cove-
nants generally ensure that all development within the park Townhouse Office
will meet certain predetermined standards. The internal Low-rise office space compartmentalized vertically may be
street system and infrastructure are normally planned and classified as townhouse office. Similar to its residential
developed by a single entity. This results in the availability counterpart, each unit is organized to access directly to the

F IGURE 12.24 Example: office park parcel plan. (Photo by Larry Olsen)
exterior at grade level. The individual units may be single- and minimum parking counts, as well as govern the height,
story or multiple levels. While normally a single tenant oc- bulk, and size of the building program. Municipal controls
cupies each unit, smaller businesses may occupy separate may reflect pro forma criteria attributable to the parcel zon-
floors of the same unit. ing or tailored to the unique circumstances of a site relative
Townhouse office, like garden office, benefits from a to surrounding land uses and/or on-site characteristics.
scale that is conducive to a location near residential areas. Design of these elements requires attention to the details
Its tenant profile focuses heavily on occupations and proof site organization and function. Considerations generally
fessional services that seek that proximity. Typical layouts include:
vary from linear to cluster patterns, and topography may
䡲 Sensitivity in orchestrating an appropriate external
facilitate use of the underside of the unit to accommodate
image given potential roadway and land use adjacen-
a separate tenancy.
cies
Office Design Principles 䡲 Site and building access that is legible and avoids
As with retail design, there are a few governing principles congestion
that are appropriate for office parcel layout and design.
䡲 Efficient floor configurations that are conducive to
Foremost in this checklist are the specific requirements of
leasing and occupancy requirements
the local jurisdiction. Zoning conditions may encompass
building setbacks, buffering and screening requirements, 䡲 Sufficient parking given tenant requirements
䡲 Parking that is convenient to both occupants and physical characteristics of industrial facilities. It has also
visitors lessened community resistance to a genre of uses that do
not pose the level of incompatibility historically associated
䡲 Site development and amenity provisions that are
with industrial activity, including potential air pollutants,
tailored to meet the requirements of developer and
hazardous waste byproducts, acoustical and vibration im-
tenant
pacts, and heightened fire and safety considerations.
䡲 Service and loading design that avoids conflict with While heavy industrial, extractive mineral, and expan-
normal building operations and is adequately screened sive processing facilities can be found in suburban loca-
from occupant and community view tions, escalating land values combined with new
technologies have often prompted many of these types of
The range of land use intensity attributable to conven- industries to relocate to areas where land cost and labor
tional office use can vary considerably. Floor area ratios in supply and use controls are more conducive to their
excess of 1.0 are not uncommon in proximity to suburban operations. In their stead, activities focusing on research
mixed-use centers. However, suburban office intensities for and development, smaller-scale electronic assembly, data
conventional freestanding buildings more commonly range processing, telecommunications, product distribution, and
from a 0.25 to a 0.4 FAR, which results in building heights warehousing have become more significant industrial com-
of one to four stories. The 0.4 FAR is normally considered ponents of many metropolitan areas. The noxious charac-
the threshold at which an office building may be surface teristics of traditional industrial activity located proximate
parked while maintaining reasonable distances between the to railroad lines have given way to expansive industrial and
building and outer perimeter parking areas. An FAR greater technology parks whose locations are governed more by
than 0.4 normally requires significant reliance on subsur- convenient access to interstate highways, airports, and pop-
face or parking structures. ulation centers.
Although traditional parking ratios for office use aver- Building programs associated with industrial activity
ages four spaces per 1000 ft2 of net leasable space, the re- generally rely on a strong building-to-ground relationship.
quirement may be lessened at locations close to public This is in keeping with their dependence on truck transport
transportation or mass transit. In some circumstances, park- as a principal means of product delivery and assembly op-
ing demands may be lessened if a disproportionate amount erations, which rely on horizontal line arrangements and
of building space is to be utilized for operations that are on-grade structural conditions to support machinery and
not employee-dependent. On the other extreme, tenancy expansive storage and warehousing requirements.
that requires high visitor turnover, such as medical office Sensitivity to the diversity in industrial uses of both his-
uses, may necessitate higher parking ratios. Similarly, antic- toric and contemporary facility types has prompted most
ipated building occupancy by tenants employing smaller jurisdictions to adapt their zoning ordinance to provide var-
per employee work areas, such as telecommunication call ying standards for select classes of industrial activity. Clas-
centers or 24-hour operations with overlapping work shifts, sifications normally differentiated among light, medium,
may require parking that exceeds conventional office cri- and heavy industrial uses. The gradation was strongly re-
teria. lated to the potential level of land use incompatibility an-
ticipated between the subject industrial operations and
INDUSTRIAL adjacent land uses. In recent years, finer distinctions have
Local development standards governing industrial activity been made to accommodate the less onerous industrial
have often augmented traditional zoning criteria that estab- characteristics associated with research and development
lish controls on maximum land use intensity, minimum lot (R&D) activities. In R&D parks and similar institutional
size, setbacks, and building bulk and height, with specific environments promoting scientific research and product de-
performance standards that serve to categorize not only per- velopment, training and offices manufacturing or product
mitted types of industrial activities, but minimum standards assembly may be either nonexistent or only a diminutive
associated with their operation. Performance criteria may part of the overall facility operation. The potential land use
be tied to standards governing air pollution control; fire and conflicts and levels of incompatibility characteristic of tra-
explosion; radiation hazard; electromagnetic radiation and ditional industrial activity may be negligible.
interference; liquid and solid waste discharge; and noise, Building programs that reflect some of the more typical
vibrations, and light source considerations, among others. industrial arrangements found in the suburban market are
The nature, extent, and complexion of industrial land illustrated below.
use has changed dramatically in the last several decades.
The expansive single-purpose facilities focusing on raw Heavy Industry
mineral extraction, product manufacturing, and assembly Precedent activity, proximity to raw materials, natural re-
have been overshadowed by the provision of more flexible sources, power sources, and location at major transporta-
space that focuses on product distribution, research, and tion hubs and population centers are several factors that
service industries. This transition has had a profound im- prompt the need for heavy industrial activity in otherwise
pact on the location requirements of industrial uses and the urban and suburban markets. Generally, these activities fos-
ter a litany of potential use conflicts. Zoning criteria nor- compatible industrial activities in planned industrial parks.
mally focus on minimum dimensional standards and The emergence of zoned industrial districts qualified as in-
performance criteria to reduce or contain the impacts of stitutional, research, technology, warehouse, and distribu-
such uses. Facilities may include intense manufacturing option centers reflects unique sets of operating requirements,
erations; heavy equipment, construction, and fuel yards; an affinity for like-kind uses to collocate, and market-driven
mining and quarrying; major transportation terminals; and pressure to elevate the site aesthetics of select industrial
other equivalent concentrations of potential noxious uses. land use activities.
Heavy reliance on truck transport favors industrial locations Local public controls may afford opportunities for the
with reasonably convenient access to major arterial or col- creation of an industrial district that caters to uses that can
lector roads or, in the case of interstate trade, major free- demonstrate compatibility with surrounding land activities.
ways and highways. Reliance on rail and water access Minimum land assembly, larger minimum lot requirements,
continues to be important to certain types of industrial ac- increased setback, screening and buffer requirements, in-
tivity. creased landscape and open space standards, reduction in
Heavy industrial uses tend to be land-consumptive in allowable building profiles, more restrictive building bulk
terms of building program or exterior space requirements criteria, and allowable land use intensities as low as 0.25
for vehicular movement and storage. Floor area ratios of FAR assist in ensuring reduced visual impact on surround-
0.5 to 1.0 with surface improvements as high as 80 to 90% ing areas for uses that can demonstrate no adverse off-site
impacts. Positioning more compatible activities at perimeter
of the usable site area are common. Site design issues focus
locations often assists in creating an overall planned indus-
on adequacy of site entry and egress; internal site circula-
trial development that affords considerable variety in ten-
tion with regard to potential separation of visitor, employee,
ancy and use opportunities. A typical industrial park is
service and facility operating needs; and screening of exte-
presented in Figure 12.25.
rior storage and loading areas from external site views.
Industrial/Office/Retail Hybrid Building Forms
Medium Intensity and General Industrial Use One of the more notable and popular building forms that
Product fabrication and assembly operations, storage, and has emerged in suburban development markets is the flex-
similar industrial operations in suburban locations tend to tech or office showroom prototype. The overall building
be categorized as light manufacturing. They offer reduced shell is designed to allow the compartmentalization of sep-
levels of noise, smoke, glare, and other environmental pol- arate units, depending on the spatial needs of individual
lutants normally associated with the more intense or heavy tenants. Generally, unit or bay sizes are tied to the modular
industrial activity. Development considerations and site de- dimensions of the building structure (the roof span between
sign issues do not differ substantially from those previously vertical support elements). Common modules range from
cited. Characteristics associated with a smaller scale of op- 20 to 45 ft. As in construction techniques employed in
eration or activity that has a relatively less invasive impact conventional retail centers, the overall length of the build-
on surrounding land uses often accommodate mitigation of ing may be divided by interior walls, providing each oc-
cupant an exterior exposure on both the front and service
concerns within the confines of the site
side of the building. The front exposure is generally devoted
to pedestrian access and proximate parking. Limited retail
Light Industrial sales, showroom, or administrative offices may be located
The light industrial classification affords more lenient stan- at the front of the tenant bay. The utility or service side of
dards, given the more compatible nature of permitted uses. the bay is accessed from a vehicular service drive. Service
Uses include activities considered least obtrusive and op- drive pavement dimensions are sized relative to the type of
erating under high performance standards relative to off- service vehicle required for the targeted tenant group. While
site impacts. Floor area ratios may be less expansive, smaller delivery trucks can be accommodated in as little as
ranging from 0.4 to 0.5, and operations including storage 45 ft, docking and circulation widths generally range from
may be required to be entirely under roof. 85 ft to 130 ft for larger vehicles. Individual or shared load-
ing docks or service doors generally extend along the ser-
vice facade proximate to interior bay storage, fabrication, or
Special Industrial Use Patterns assembly operations.
Contemporary development patterns, evolution in building While buildings are normally single-story on slab con-
technology, and opportunities or requirements for the construction, full or partial second stories (mezzanine levels)
tainment of noxious impacts have fostered a radical alter- may be incorporated into the building. Upper levels are
ation in industrial prototypes over the last several decades. commonly devoted to administrative uses and often are lim-
This has resulted in refinements in standard land use con- ited to the font module of the building, leaving the areas
trols, which are sensitive to trends in the aggregation of above the utility portion or rear of the building with a

F IGURE 1 2 . 2 5 Example of industrial park; Renaissance Park, Fairfax, Virginia, is an example of a hybrid industrial park with (a) hotel located
on a major highway frontage, (b) traditional office / research and development building types with separate parking areas and limited loading facilities at
more visible locations, and (c) flex industrial building types with visitor / employee parking along the building frontage and a continuous service / loading
area running the rear building length. (Courtesy of Air Survey Corp.)
higher ground-to-ceiling height, normally 14 to 20 ft. The lustrate the flex-tech building and portion of a flex-tech
type and flexible size of tenant space, up-scale facade treat- park.
ments, and overall site finish associated with facilities of this
type are attractive to a diverse range of tenants, which may CONCLUSION
include such uses as bulk warehouse, industrial/office, light Response to contemporary development trends, particularly
manufacturing, office/showroom, research and develop- in the suburban context, has fostered much introspection
ment, and retail service centers. in regard to both the quality of life and the environment.
Lot coverage and floor area ratios vary according to local While the development of land will in all likelihood not
regulations and size and bulk requirements of principal user abate, greater integration of uses internal to individual de-
groups. Generally, larger users command higher coverage velopments or within the larger community context is in-
and FAR capacity owing to the magnitude of desired floor creasingly evident in our built environment.
plate and associated reduction in employee and customer New market opportunities and community planning in-
parking needs. A reasonable range in smaller flex-tech and itiatives that seek to better direct and control the location,
office showroom combinations may be between 0.24 and content, and quantity of development have fostered this at-
0.35 FAR. Figures 12.26 and Figure 12.27, respectively, il- titude.

F IGURE 12.26 Example of flex-tech building.
Numerous factors have occasioned a renewed look at the current dependence on the automobile as the principal
development market opportunities and in turn develop- mode of transportation. Efforts to promote mass transit,
ment composition and project content. Increasing land concentrate development density near existing and planned
costs have promoted an increase in development densities. transportation corridors, and integrate a variety of residen-
The level of vehicular congestion has prompted more de- tial, retail, and employment uses with greater reliance on
liberate evaluation of development opportunities proximate pedestrian travel all attest to the prospect for less insular,
to mass transit facilities or in closer proximity to supportive more integrated land development patterns.
land uses, which might minimize reliance on the automo- Emerging trends on the content and context of devel-
bile or shorten travel time. Increased popularity in a greater opment patterns and principles include:
variety of leisure activities, coupled with shifting demo-
䡲 A greater focus on the integration of uses, as might
graphics toward smaller families, empty nesters, and single-
be exhibited in a reduction in distances between devel-
occupant households, prompts evaluation of requisite yard
opment types, or vertical integration, as with first floor
requirements, the venue of project amenity provisions, and
retail and upper level office or residential uses
proximity to existing and proposed community institutional
and cultural offerings. 䡲 A finer grain in mixing uses, from the standpoint
Public initiatives, in attempting to come to terms with of an increased variety of residential types given the
the public infrastructure required to support future devel- market diversity of residents, and greater integration
opment activity, have similarly focused on efforts to mitigate with nearby retail and employment activities

F IGURE 12.27 Example of flex-tech park.
䡲 A renewed focus on the connectivity within and 䡲 Continued evaluation of the hierarchy and configu-
between developments in ensuring adequate and alter- ration of street networks, recognizing the need for safe
native means of vehicular movement as well as greater and efficient vehicular movements as well as enhanced
attention to pedestrian opportunities pedestrian opportunity and experience
䡲 A reassessment of the location of open space with ADDITIONAL READINGS
recognition of its role in place making and elevating it De Chiara, Joseph, and Lee E. Koppelman, Site Planning Stan-
beyond the unusable or leftover ground within a devel- dards, McGraw-Hill, New York, 1978.
opment Engstrom, Robert, and Marc Putman, Planning and Design of
䡲 Increased attention to building placement, massing, Townhomes and Condominiums, Urban Land Institute, Washing-
ton, D.C., 1979.
and scale as tools in defining space, directing views,
and encouraging diversity in the pedestrian experience Jensen, David R. / HOH Associates, Zero Lot Line Housing, Urban
Land Institute, Washington, D.C., 1981.
䡲 A reassessment of the nature, magnitude, and Lynch, Kevin, and Gary Hack, Site Planning, MIT Press, Cam-
placement of parking in terms of (1) potential for joint bridge, Mass., 1984.
use and parking reductions owing to use adjacencies, Maitland, Barry, The New Architecture of the Retail Mall, Van Nos-
(2) increased reliance on integral parking or parking trand Reinhold, New York, 1990.
structures in response to increased land cost, and (3) National Association of Home Builders (NAHB), Cost Effective
potential relegation of parking from forefront to rear Site Planning: Single Family Development, NAHB, Washington,
yard as buildings move street-side D.C., 1982.

National Association of Home Builders (NAHB), Land Develop- Urban Land Institute (ULI), Industrial Development Handbook,
ment 2, NAHB, Washington, D.C., 1981. ULI, Washington, D.C., 1975.
Rathbun, Robert Davis, ed., Shopping Centers and Malls 3, Retail Urban Land Institute (ULI), Office Development Handbook, ULI,
Reporting Corporation, New York, 1990. Washington, D.C., 1982.
Tomioka, Seishiro, and Ellen Miller Tomioka, Planned Unit Devel-
Urban Land Institute (ULI), Project Infrastructure Development
opments: Design and Regional Impact, John Wiley & Sons, New
Handbook, ULI, Washington, D.C., 1989.
York, 1984.
Untermann, Richard, and Robert Small, Site Planning for Cluster Urban Land Institute (ULI), Residential Development Handbook,
Housing, Van Nostrand Reinhold, New York, 1977. ULI, Washington, D.C., 1990.
Urban Land Institute (ULI), The Community Builders Handbook, Urban Land Institute (ULI), Shopping Center Development Hand-
ULI, Washington, D.C., 1968. book, ULI, Washington, D.C., 1977.

PART IV
SCHEMATIC DESIGN
INTRODUCTION functional prerequisites, economic, and political feasibility.

Schematic design focuses on the development and refine- Furthermore, the relative placement of land uses and infra-
ment of conceptual design and results in an interim blue- structure considerations begins to prescribe the ultimate
print for subsequent detailed design efforts. During this project character. The additional level of specificity pro-
phase of study, a selected conceptual development plan is vided in the schematic level of study may include:
subjected to more detailed analysis in terms of usable area
䡲 Traffic and transportation: Program use distribution
and potential yields. Activity may include a formal presen-
and projected yields can be modeled to provide a
tation to pubic bodies and regulatory agencies to obtain
check on the adequacy of existing and proposed road
concurrence with the site design strategy prior to detailed
system.
site design activity. This phase represents a major bench-
mark in the design process in its testing and confirmation 䡲 Utilities: Preliminary sizing and routing of utilities
of development intent. In view of the increasing complexity can be located based on the distribution and density of
of the public review process and the costs associated with program uses.
more detailed design, public review at this phase of the land
䡲 Stormwater Management: Based on the impervious
development design process is extremely important. It is a
cover projected for specific land uses components, pre-
sound business practice to keep public decision-makers
liminary sizing and location of stormwater manage-
abreast of development proposal whenever practical. If
ment areas can be determined.
there are to be political or procedural obstacles to the plan,
it is best for them to surface early in the design process. 䡲 Environmental specialist: The more detailed sche-
Jurisdictions increasingly require various types of interim matic plan allows for an assessment of possible im-
submissions prior to the completion of final development pacts on previously identified sensitive areas.
site plan documents, and schematic level design instru-
ments are not uncommon requirements for public sector This refined level of information offered by other devel-
review and approvals. opment team members affords the designer the opportunity
to perfect the schematic plan in terms of the allocation of
areas suitable to accommodate infrastructure requirements
STEP 4: SCHEMATIC DESIGN of the prescribed program as well as to resolve any conflicts
The schematic or master development plan is often the de- which have been identified during this review and assess-
sign document that begins to establish many of the con- ment activity.
trolling standards and design character for actual project The end product of the schematic design phase is a
level development. Extensive studies are normally com- scaled representation of the development program and cir-
pleted to ensure that the proposed development program is culation framework (see Figure IV.1). Major elements nor-
realistic in terms of development density, product yield, mally include:

SCHEMATIC DESIGN
Example of schematic development plan

IV.1
F IGURE
224
SCHEMATIC DESIGN
SCHEMATIC DESIGN 225
䡲 Major vehicular circulation systems depicted in mentally sensitive areas, buildings or grounds
conformance with the design standards of the local ju- considered historically significant, and other acreage
risdiction and current public comprehensive or master that by virtue of unique circumstance has been man-
planning considerations. dated by public policy to be subject to development
limitations.
䡲 The allocation of land uses annotated by use and
area. Area is normally noted as the gross acreage of the 䡲 Appropriate delineation of areas for public facilities,
individual land units commonly referred to as ‘‘land- including schools, public safety, libraries, parks and
bays.’’ recreation facilities, day care centers, church sites and
similar facilities that have been determined necessary
䡲 Identification of areas subject to development con- or desirable support components to the initial develop-
straints, including floodplains, wetlands and environment program.

SCHEMATIC DESIGN

PART IV.A BASE MAP PREPARATION
CHAPTER 13
BOUNDARY SURVEYS FOR

LAND DEVELOPMENT
Gary Kent, L.S.
INTRODUCTION or she will have a copy of the deed or deeds and possibly
Property Surveying other information related to the property. At a minimum,
the developer will have knowledge concerning the present
Land surveying is the art and science of measuring distances
owner.
and running lines on the surface of the earth. One of the
Important depositories of research information include
purposes of land surveying is to determine the boundaries
local engineering and surveying firms. Local utility com-
and ascertain the areas of tracts of land. Fixing the position
panies often can provide valuable maps and information.
of lines, monuments, and boundaries requires that the sur-
veyors use a variety of instruments and correctly apply a State and federal agencies maintain valuable land informa-
variety of principles of law. tion. Realtors often maintain files on land ownership. Title
Reproducing previously established boundary lines and insurance companies play a critical role in providing deed,
corners in their intended legal and physical positions is a easement, and other record title information and often pre-
matter of determining the intent of the original survey or vious surveys of the subject property or adjoining property.
other written documents used to first establish them. This Existing maps or plats of the land provide visual support
seems trivial at a glance, but upon examination, such a task for reaching conclusions that ultimately result in recreating
requires the experience, perseverance, and reasoning of an boundary locations. Maps may be found during the search
expert detective. Research is the key for a successful bound- of land records and from the evidence found during the
ary retracement. That research includes gathering evidence, field survey. Plotting individual deeds, patents, grants, and
interpreting that evidence in the light of conditions at the tax records provides pieces of a jigsaw puzzle. When
time of the creation of the boundary, and finally recreating the pieces of the puzzle fit together and form a logical
the location of the boundary on the ground as it exists composite map, this often provides the necessary clues
today. Consideration of written evidence is of utmost im- to interpreting land ownership and boundary location
portance, but physical evidence and oral testimony related successfully.
to interpreting the written evidence are crucial to complete The two primary systems that form the basis of land
research. descriptions in the United States are the metes and bounds
Research for surveys prior to land development projects system and the public lands survey system. These systems
begins with gathering property descriptions, tax maps, have an impact on interpretation of evidence gathered in
roadway plans, zoning maps, easements and other related the research process.
information. Gathering of this information begins when the Where surveys are for land development additional in-
client and the engineering or surveying firm enter negoti- formation needed for such purpose is obtained while survey
ations for the future development of a tract of land. The crews are in the field. This includes topographical infor-
prospective developer is the first source of information in mation to be used in determination of grades, street design,
a process of research necessary for such a survey. Often he and drainage and for constructing structures and construct-
227
BOUNDARY SURVEYS FOR LAND DEVELOPMENT
228 S C H E M A T I C D E S I G N
ing or extending sewer and water lines. These types of sur- The surveyor must keep his duties to the public and to
veys are discussed in a subsequent chapter. his client in perspective. Most important in this regard is
the surveyor’s advice to the client. The client should be
Functions of the Property Surveyor made aware of the function and limitations of the surveyor.
Determining the location of boundary lines receives high This discussion should include the process of research of
priority on the list of steps in planning and implementation documents related to the survey. The client should know
of land developments. The professional surveyor thus be- that the surveyor must consider and inquire into all the
comes a major part of the team of professionals necessary facts of both record and existing in the field. The surveyor
for carrying land development projects to successful com- should advise the client that neither the opinion nor the
pletion. His or her knowledge and skills must be broad in survey of a surveyor is conclusive in the determination of
scope yet particularly specialized in knowledge of survey- boundaries. The client should be advised that it is the sur-
ing. veyor’s duty to gather facts and interpret them based on the
The surveying professional must be versed in real prop- rules of evidence, but that the final disposition as to bound-
erty law. In resolving boundary locations, the surveyor is ary location and property ownership lies with the courts.
required to interpret and apply legal principles. The sur- Before proceeding with the project, it is advisable to
veyor must have knowledge of engineering to provide, reach a clear understanding with the client on the terms
through the survey, the proper information for designing under which the work will progress. A proposal should be
the utilities such as water and sewer systems. He will work prepared for each project before beginning work. It should
closely with land planners to supply their needs for the include a detailed scope of all services that are to be per-
planning process. In short, he must understand the entire formed and should provide for means of payment.
land development planning process. When the client understands the role of the surveyor in
For many development projects that lie away from urban the development process and agreement is reached con-
areas, the surveyor will fill the role of many professionals, cerning a contract to proceed, the actual research begins.
much as a doctor who is a general practitioner fills different The date of the last transfer of the land must be deter-
roles. Most often, land development takes place in the ur- mined. Often the client can furnish the names of adjoining
ban setting, but this situation does not completely relieve landowners. All information obtained at this stage will re-
the surveyor of assigned general responsibilities in the produce the time spent in searching records later. This infor-
ject. In this situation, the surveyor’s greater role, however, mation will form the basis on which future research and
becomes that of specialist. The tools are those afforded by analysis of land ownership will rest.
the latest in technology. Computers, electronic measuring If available, obtain an abstract of the property that is to
devices, global positioning systems, aerial photogrammetry, be included in the proposed land development project. The
and total station equipment have all but replaced the slide abstract summarizes the record history of the documents
rule, transit, and steel tape of but a few years ago. affecting the title or land ownership. The abstract includes,
Mathematics, statistics, and electronics are becoming in- in chronological order, all recorded grants, deeds, ease-
creasingly important to the professional surveyor today. The ments, wills, and other information such as deeds of trust,
surveyor must keep in touch with his past because the very tax liens, assessments, and any other encumbrances of rec-
act of boundary surveying requires that he follow in the ord affecting the property.
footsteps of his predecessors. To accomplish this he must, Likelihood of development and the additional survey re-
in essence, wear the shoes they wore. The Jacob staff, com- quirements typically associated with development projects
pass, perches, arpents, varas, poles, rods, and Gunter’s greatly increase the detail that must be obtained during the
chains must remain a part of his working vocabulary. boundary survey. The surveyor should point out to the cli-
The surveyor must use his knowledge and training to ent that the necessity for greater detail, precision, and ac-
perform the duties associated with the profession. These curacy may directly increase survey costs. Because of the
include duties to the public and duties to the client. The greater liability brought on by land development surveys,
first category of duties to the public includes maintaining the surveyor should realize the importance of additional
his qualifications and abilities through training, as well as care and research that is more thorough.
limiting his practice to those areas of expertise where he is
competent. Legal Descriptions
It is the surveyor’s duty to avoid creating or propagating The part of the deed devoted to the physical location of the
boundary disputes if possible. Often, through discussions real property is known as the legal description. A general
with adjoining owners and the client that he represents, the definition of a legal description can be stated as those words
surveyor can arbitrate disputes and bring parties to equi- and maps or plats that uniquely delineate the tract from
table solutions while avoiding costly legal actions. Of any other. The description must be written in such a man-
course, the surveyor should be cognizant that professionals ner that it will stand any test under law and litigation.
with legal training (i.e., licensed attorneys) should be con- Such descriptions can be formed in various ways. Words
sulted on questions of law. describing lines composed of bearings and distances and

13 䡲 BOUNDARY SURVEYS FOR LAND DEVELOPMENT 229
calling for monuments of one type or the other are ‘‘metes SURVEYS FOR BOUNDARY LOCATION
and bounds’’ descriptions. Some descriptions refer to tracts The land description contains the written instructions that
that are recorded in the public records. Other types of de- demonstrate the original intent of the conveyance. Except
scriptions are used for particular situations such as strip in explicit situations, any retracement of the property must
descriptions for rights of way for roads, power lines, and be based exclusively on the record description
other utilities. The thread common to all of them is that When the legal description of the property is prepared
each describes a specific parcel of land that cannot be ap- from a survey preceding that description, that survey is
plied to another parcel. The surveyor should write a legal called the original survey. Any surveys made after the writ-
description that is as brief as possible while maintaining ing of the description are called retracement surveys. If the
clarity, completeness, and accuracy. Incomplete, inaccurate, description of the site was prepared without benefit of a
and unclear descriptions will result in title disputes later. survey, then there can never be an original survey. The first
The description is composed of three parts: the caption, survey made after a description is written without benefit
the body, and the qualifications such as exceptions and res- of survey is called a first survey.
ervations. In some cases, augmenting clauses are added. Original surveys should not be confused with First sur-
Each part of the description serves a definite purpose. veys. Although all original surveys are first surveys, a first
The caption establishes the general placement of the sub- survey is not necessarily an original survey. First surveys are
ject property and limits title in the remainder of the de- not given the same standing in law as original surveys. This
scription to that general area outlined in the caption. A is because the intent of the parties to the transaction cre-
typical caption in a description could read as follows: ‘‘that ating the description comes from the document containing
certain tract or parcel of land, situated at or near City, Dis- the description. A first survey is only an interpretation of
trict, County, State and being more particularly described the original document. When original surveys exist, the in-
as follows:’’. tent of the parties is presumed to have come to the descrip-
The body of the description generally follows the caption through the survey. Few rules in real property law are
tion. A typical body in a colonial state deed description more certain than ‘‘Original called-for monuments control
might read as follows: ‘‘Beginning at a set stone at a corner over course and distance.’’
of rail fence on the old baggage road, and running with the The surveyor’s responsibility when making a resurvey is
said road to the Noah D. Johnson line, and with said line to recover or determine the location of the original monu-
to the John C. Williams line, thence with the Williams line ments (if there were any) and, if there were none, to inter-
back to a set stone corner on said John C. Williams line, pret the intent of the record description based on the best
thence a straight line to the beginning, containing three (3) available evidence, then establish the lines and corners of
acres, more or less.’’ Describing parcels within land subdi- the tract accordingly.
visions employs the use of reference to a subdivision map A boundary survey does not end with the establishment
of record. Such a description follows: of the lines and corners of the surveyed parcel. The sur-
veyor must also relate the surveyed lines to occupation and
Being situated at or near City, County, State, and being more possession lines.
particularly bounded and described as follows, to-wit:
Lot No. 98 of the Forest Hills Subdivision, as the same
is shown and designated on a map or plat thereof which is Encroachments and Gaps
of record in the office of the Registrar of Deeds of (County), Visible evidence of potential encroachments of any kind
(State) in Map Book 8, at page 67. must be located and the history of the encroachment doc-
umented if possible. An encroachment may be defined as a
The third part of the description, the qualifying clauses, trespass or the commencement of a gradual taking of pos-
does not follow any particular arrangement. These clauses session or rights of another. Encroachments may take the
may except some part of the conveyance or reserve some form of walls, fences, buildings, or other structures repre-
part generally in the grantor. Qualifying clauses often follow senting occupation or possession that extend onto another’s
the body of the description. Such a clause might read, title rights. Encroachments may lead to claims of unwritten
‘‘There is excepted and reserved from this conveyance a 10 rights such as adverse possession or acquiescence when the
foot lane, which lies on the western boundary of the prop- party whose land is encroached upon allows the encroach-
erty herein described, which serves as access and egress to ment to go unchallenged. Such an implied consent can
Donald Thompson and this reservation is for the benefit of cause loss of title.
the owners of the property presently owned by Donald Often land contemplated for development is composed
Thompson and to the successors in title to Donald Thomp- of several smaller tracts that are joined together to form a
son.’’ larger, more developable tract. In such a situation, it is im-
For a complete discussion on writing descriptions as well portant for the surveyor to confirm the contiguity of the
as a study of the various types of descriptions encountered parcels involved or identify the existence of any gaps be-
by surveyors, see Wattles (1976), a classic on this subject. tween the parcels. This is critical because the record title to

such a gap may lie in the hands of some former owner surveyor to conduct a proper and complete survey. In ad-
rather than in the hands of the owner of the parcels being dition, there are optional check-off items in Table A that
surveyed. Gaps can be as troublesome as encroachments if allow the client or lender to request of the surveyor addi-
not identified and quantified before development actually tional information related to certain specific issues such as
begins. availability of utilities.
The ALTA/ACSM Minimum Standards call for the sur-
Importance of the Survey in Land Development veyor to resolve the boundary of the property in addition
In the land development process, the determination of tract to providing comprehensive documentation of any facts on
location and geometry is of utmost importance. Surveys re- the ground or in the provided records that may be evidence
solve whether the written description and the physical pos- of otherwise unknown or undisclosed title problems. Such
session on the ground agree. All future work related to facts might include, for example, gaps or overlaps with ad-
development hinges on the initial survey work. Should an joiners, potential encroachments, and uses of the property
error occur in the survey, it will most likely manifest itself by other than the owners. The disclosure of these facts al-
in later stages of the development process. Errors in the lows the title company, lender, and buyer to weigh the as-
initial survey could conceivably lead to improper location sociated risks and negotiate or formulate appropriate
of streets and other improvements and to incorrectly placed resolutions to those problems.
interior boundary lines. All errors such as these could bring The ALTA/ACSM Standards provide for a nationally de-
on project delays, possible project shutdown, and redesign, fined and accepted set of requirements for conducting sur-
which will inevitably cost both time and money. veys for use in commercial real estate transactions. Today
Errors undermine the client’s confidence and can cause they are required in conjunction with most such transac-
the loss of valuable clients. The results of poor judgment tions, and the surveyor and other interested parties should
associated with boundary line location cannot be over- be familiar with them.
stated.
Definite procedures, including such quality control tools Research of Land Records
as check-off lists, are invaluable in helping to ensure con- The actual process of conducting research varies widely
sistency. No procedure or checklist, however, can substitute across different regions of the United States. In the metes
for common sense, intimate knowledge of survey law, and and bounds states (being, generally, the original 13 colonies
diligent fieldwork.1 Both the client and the surveyor must and the lands claimed by those colonies) surveyors are often
recognize that the results of any boundary survey can be expected to conduct their own complete title searches,
challenged, as it is the province of the judiciary ultimately whereas in the public lands states great reliance is placed
to determine boundary location. The surveyor supplies on title companies (in keeping with the ALTA/ACSM Stan-
much of the evidence upon which the court decision will dards) to provide the appropriate record document infor-
be based. mation and any title searches.
When the development involves one or more loans, the In either case, the surveyor must seek out all information
lender typically will require certain assurances to be confi- from public and private records that may be of benefit in
dent that its investment is as risk-free as possible. One of performing the survey. Ideally, this information is gathered
the tools to minimize risk is the ALTA/ACSM Land Title and evaluated prior to commencement of the fieldwork. If
Survey. This type of survey is defined by a strict set of not, additional trips to the field will be required as new
standards adopted and periodically revised by the American pieces of evidence from the records dictate further field in-
Land Title Association and the American Congress on Sur- vestigation.
veying and Mapping. The current version, as of the date of Research information comes from a variety of sources.
this publication, is the 1999 standard (see Technical Ap- Typically, a visit to the county assessor and/or auditor (the
pendix). name and function of county offices differs in various parts
The Minimum Standard Detail Requirements for ALTA/ of the country) will help in the search for the record de-
ACSM Land Title Surveys outline the responsibilities of the scriptions of the subject property and its adjoiners. Most
surveyor in conducting a survey that will be used by the county tax maps are geographically inaccurate, but they are
title company and lender in conjunction with the closing useful in identifying the juxtaposition of subject and ad-
of a commercial loan on real property. The standards also joining properties, roads, streets, and other features.
outline the responsibility of the client or her representative Once the names and property transfer dates are deter-
with respect to providing complete sets of documents from mined, a copy of the actual transfer document can normally
the title research and as may otherwise be required by the be found in the county registry of deeds, county recorder’s
office, or clerk of the court. This office of public record
varies from state to state.
1
‘‘It must not be assumed that a boundary is missing because it is not at once All states allow for the recording of deeds when the
visible’’ (Breed and Hosmer, 1908). transfer of real property takes place and almost all such

transfers by deed are recorded. These recordation statutes document involved in the particular transaction are listed
provide a means of giving notice of ownership of the estates with each entry. In some instances a brief description and
disclosed in the recorded instrument. Unrecorded deeds or location of the property is included. A copy of a partial
other instruments are generally valid only between the im- page from a typical grantee index book is shown in Figure
mediate parties. These recordation statutes are not appli- 13.1. A grantor book is identical except that the index is
cable in cases of title acquired by unwritten means such as on the name of the grantor rather than the grantee.
adverse possession.
The surveyor must make use of these depositories to The Title Search
obtain the deeds of adjacent property and check previous As noted above, the title research conducted by surveyors
transfers of the subject property. Intentions as to boundary themselves varies widely in different regions of the country.
location must be obtained from the information at the time In the public lands states, surveyors generally rely upon
the lines and corners were created. Comparison of the reports prepared by title companies providing title insur-
deeds of the subject tract must be made with those of the ance to the lender and/or buyer. The simple fact that a title
adjoining property to determine if conflicting calls exist. company is providing such insurance based on its own
The type or method of physical recordkeeping varies search of the records can drastically lessen, if not eliminate,
from county to county and state to state. Many continue to the burden on the surveyor to assemble the chain of title
maintain their records as they have for 200 or more years, and conduct a title search. On the other hand, surveyors in
in transfer books, grantee/grantor index books, and deed some parts of the original 13 states (and the lands claimed
record books, while many others have converted to micro- thereby) often conduct their own title research as part of
film or microfiche records. With the advent of affordable the normal standard of care.
hardware and software for Geographic Information Systems If a search is conducted, the title should be searched
(GIS), many more populous counties are converting their back in time until the property lines of the tract involved
current and new records to digital format which is often originated. From the surveyor’s viewpoint, the search is to
available on-line in the courthouse or, in some cases, even determine intent of the parties at the time of the original
remotely. survey or, if there was no original survey, the intent of the
However the physical records are kept, the depositories parties based on the original writings. The search should
contain the index of all deeds and most of the other legal establish a line of unbroken ownership in the subject prop-
instruments or writings affecting real property. To use this erty.
information, one must be familiar with the system used to When the search back in time is concluded, the reverse
index these many thousands of documents. Generally, the process, called a forward search, is then conducted.
indexes are composed of two interdependent parts, the The forward search begins with the name of oldest
grantor (or vendor) index and the grantee (or vendee) in- grantee from the search described above. In the subsequent
dex. The grantor is the party who sells the land; the grantee conveyance, this name becomes the grantor. Using the gran-
is the buyer. tor index and starting with this name, title can be traced
Listings in these indexes are chronological by date of forward in time to the present. This provides the surveyor
recording. Most states use this method of indexing and fil- with the chain of grantors. By reviewing each conveyance,
ing deeds. Although the details may vary somewhat from it can be determined if any owner in the chain of title has
jurisdiction to jurisdiction, the basic information required encumbered or impaired title to the land with, for example,
for a title search is generally consistent no matter what the easements, other sales, mortgages, or liens. This search will
system. The surveyor needs to know the name of either the also reveal the creation of servient estates (for example, pro-
party who bought the property or the party who sold the viding access to the real estate across another property),
property. Knowing both buyer and seller is even better, and reservations, and exceptions.
this information is available from the transfer books men- This chain is composed of links. A link is a connection
tioned earlier. In addition, knowing the approximate date or transfer of property between consecutive owners of the
of the transaction will shorten the search process. property. These links are not always in the form of a deed
The actual process of checking the title begins with the but can be a will, the records of an intestate estate (an estate
name of the present owner in the grantee index. The gran- left by a deceased without a will), or a court order. In the
tor of this conveyance was the grantee of the previous con- absence of a will, the actions of the court must be docu-
veyance. Looking each previous conveyance up in this mented. In order to place the various documents in their
manner will result in the development of a chain of title proper chronological order and context, a brief summary of
for the property. Using this chain, a person familiar with each may be prepared. See Figure 13.2 for an example of
reading and interpreting title documents can determine if such an information sheet.The surveyor should be partic-
each person in the chain took title to the property in a ularly concerned with the property description in each con-
regular manner without defect. The grantor’s name, the type veyance. He must look for discrepancies in the current deed
of instrument and the book and page of the actual recorded and may check the current description against those in

F IGURE 13.1 Typical index page for grantees.
prior legal instruments. If plats of survey exist, the deed When the calls on the same lines in adjoining deeds do
descriptions should be checked against the plats for incon- not agree, it may be necessary to establish senior rights for
sistencies. the line in question. Senior rights are those rights gained
If the surveyor was responsible for conducting the title by virtue of being the first parcel created out of a tract. The
search, a post-survey discovery that the real estate in ques- law provides that if a grantor conveys land to a grantee, he
tion lacks legal access or that the title to the property is in cannot later convey that same land to someone else. The
question is both embarrassing and problematic for the sur- first deed in such a case would be the senior deed. There-
veyor and the client. fore, the written intentions of a later deed for property pre-
A break in the chain of title occurs when a source ref- viously conveyed would only convey that portion of
erence to a prior conveyance is not found. If this should property reaching to the land of the senior title holder.
happen, then a search beyond the record books must be While the senior rights may be researched by the surveyor,
made to determine if a land title was actually conveyed. it is important to remember that senior rights are related to
Such a transfer can occur by some means such as a will, the integrity of the title that a title company is insuring.
and therefore no deed would be recorded. This makes the Thus, when there is a title company insuring the convey-
search more difficult and time-consuming. ance, the issue may not be ‘‘Which property is senior?’’ as
Wills are often kept by the clerk of the court of the local much as ‘‘What is the title company going to insure?’’ Typ-
county or city where the subject property is located. For ically, a title company will not insure the land in an overlap
estates settled without wills, one would have to resort to area, regardless of which property is shown senior.
the probate records. Sometimes birth and death records can
aid in determining time frames to limit searches for wills ANALYSIS OF INFORMATION AND PREPARATION OF
and the decisions reached in estate settlements. COMPOSITE MAP
Having either assembled or been provided with the descrip-
Check of Adjoining Property tions necessary to perform the survey, the surveyor should
Adjoining deeds are checked using the most recent descrip- determine if these descriptions do, in fact, cover the pro-
tions. Boundary lines of the subject tract are compared with posed development area and that the acreage as called for
those of the adjoiners to determine if any discrepancies ex- in the document of conveyance is confirmed by the com-
ist. If conflicts are revealed, the associated adjoiner’s deed puted quantity.
might have to be checked back in time to determine the It is the surveyor’s job to interpret the intent of the de-
intent of the original parties when the line was created. As scription and to place the lines and corners it describes on
with the title search on the subject tract, this check is ac- the ground in accordance with accepted principles of law.
complished using the grantee or grantor index book to trace Much emphasis is placed on the intention of the parties
the adjoiner’s description to the point in time when the line at the time a monument or boundary originates, so the
in question originated. surveyor must know how to find that intent in a manner

F IGURE 13.2 Information sheet for title search.
that will be upheld in a court of law should his interpre- that has been widened numerous times will require research
tation be questioned. Except in specific instances, intent is of additional documents outside the deed itself to deter-
to be garnered exclusively from the writings, which are con- mine which right-of-way line was being contemplated by
sidered to represent the intentional acts of the parties. Only the description.
when the writings cannot be interpreted without additional Once all of the records pertinent to the subject property
evidence or the description is so ambiguous as to beg ex- have been obtained, the work of examining those records
planation can the surveyor seek clarifying evidence from for determining boundaries can begin.
outside the deed. The starting point for the resurvey or retracement must
The acts and intentions of the parties are to be consid- be the same point described as such in the record descrip-
ered under the circumstances existing at the time of origi- tion. In the public land states, this point is typically a sec-
nation. Thus, one frequent reason for seeking outside tion, quarter section, or quarter-quarter section corner, and
evidence is to clarify what those conditions may have been. the primary challenge is to determine where that corner was
For example, a deed call ‘‘to the right-of-way line’’ of a street established originally. In the metes and bounds states, the

intent may be less clear, and the goal is to identify the point termining the location of lines, he must understand the dis-
most closely in agreement with the description as written tinctions among existing corners, obliterated corners, and
and the evidence of actual ground possession. lost corners. Existing corners are defined as ‘‘those whose
The analysis of the boundary continues using all appro- position can be identified by verifying the evidence of the
priate information gathered during the research phase. A monument or its accessories, by reference to the description
composite map of the subject tract and adjoining tracts is in the field notes, or located by an acceptable supplemental
typically prepared. Figure 13.3 is an example of a compos- survey record, some physical evidence, or testimony’’ (Bu-
ite map. Each description from the various tracts of land is reau of Land Management, 1973).
plotted at the same scale and in reference to the particular An obliterated monument is one where no visible evi-
tract being surveyed, much in the same manner that the dence of the work of the original surveyor remains to sup-
parts of a jigsaw puzzle are assembled. port the location as an original monument. Its location has,
The composite map will include the bearings, distances, however, been preserved by acts of the landowners or is
and calls for every line and corner represented. The com- otherwise recoverable based on other supplemental evi-
posite map thus becomes the surveyor’s guide for deter- dence. The location can also be established from the mem-
mining where evidence of the boundaries might be found ory of those who knew of the location of the original
during the field survey. It is also helpful in identifying po- monument.
tential conflicts between the subject tract and that of the A lost corner is a point of a survey whose position can-
adjoining tracts. not be determined beyond a reasonable doubt. When no
The surveyor must realize that evidence must be viewed traces of original marks are found and no acceptable evi-
considering the rules of law. Some of these rules of law will dence or testimony is available that supports the location
be covered in more detail in a subsequent chapter on the of the corner, it is considered lost. The position of a lost
legal aspects of surveying. It is, however, necessary to con- corner can only be restored by reference to other indepen-
sider them now for understanding of the analysis process. dent corners.
Monuments control in the decision process when they
Monuments meet the standards stated in the law. The law requires that
Before the surveyor can begin making decisions related to a specific call must exist in the deed or other instrument
the use and application of existing monumentation in de- for a point to have the standing of a controlling monument.
An example of a specific call is as follows: ‘‘thence North
35⬚ 15⬘ West, 1357.8 feet along a fence line.’’ The words
‘‘along a fence line’’ give the fence the standing of monu-
mentation and the fence takes precedence over the bearing.
Monuments not called for in the deed are usually not con-
trolling factors in determination of boundaries in a court of
law. The monument must have characteristics that make it
identifiable as the original monument. Evidence of the
monument’s disturbance will weaken its standing.
Discrepancies
The surveyor must check for consistency of identifying calls
for monuments by adjoining documents with those of the
subject property. Any differences should be noted and rec-
onciled if possible.
Discrepancies in metes and bounds descriptions are of-
ten the result of variation in magnetic north between the
time the legal description was constructed and the present
reference to north. Variation in distances can also exist. Hu-
man error and improvements in technology are both factors
in discrepancies between calls in different documents.
Frequently the surveyor must search the records for a
longer time than required for title purposes. There are two
reasons for this extended search. As previously discussed,
when senior rights are involved in the determination of
ownership, such a search may be mandated. The second
situation is required because bearings are often copied from
older deeds. The origin of the bearing would be the date
F IGURE 13.3 Composite map. of the survey that produced the bearing. The date of the

origin of the bearing must be known so corrections for mag- and documents. Positions of monuments called for in ad-
netic declination can be properly made. This is necessary joiners’ deeds should be indicated and labeled. Horizontal
in the proper preparation of the composite map. References traverse control to be used for survey is shown and iden-
to direction in different documents having various dates can tified.
be adjusted to a common north system of reference. This Tax parcel numbers, names of adjoining owners, deed
common reference could be true north, State Plane Coor- book, page numbers, and acreage are given for each of the
dinate Grid north, or some other local system that might adjoining tracts. Assembling a file for the survey project in
be prescribed. an orderly manner such as that outlined below will provide
Differences in distances can result from a failure to con- a valuable reference for the field crew and for future ref-
vert units used in original surveys to those of the adjoining erence.
property or those in use at present. Reconstructing an old
survey is not a simple matter. The surveyor must be familiar 1. A tax map with subject tract outlined in color and
with the units of measurements used at the time the original a tabulation of ownership information derived from as-
survey was made. Often these measurements had more than sessment office
one interpretation. 2. The chain of title and other research notes prop-
Early land grants were often described using differing erly arranged in chronological order
lengths of chains and varying sizes of acres. The best ex-
ample of this is given by the variation in the acre in different 3. All deed descriptions with tax assessment parcel
parts of England. In Devonshire and Somersetshire, the acre numbers and deed book and page numbers identified
was 160 perches of 15 ft, or 36,000 ft2. In Cornwall, the 4. Any other miscellaneous plats, aerial photographs,
perches were 18 ft and yielded 51,840 ft2. In Lancashire, or related information.
the perches were 21 ft and the acre was 70,560 fs2. When
the early settlers of this country began to survey, the land APPLICATION OF INFORMATION TO THE BOUNDARY
they often used the measure with which they were familiar. SURVEY
Courts throughout the United States, particularly in the
It is important to realize that office work and field work
Western states, have found that many of the original gov-
progress jointly. The two functions are interdependent. Of-
ernment surveys of parts of the public lands were imprecise.
fice work requires continual input of field data to move
The reasons for these inaccuracies included low land value,
forward efficiently and effectively. Continued fieldwork re-
difficulties encountered during the surveys, and, in some
quires office computations and analysis of data previously
cases, outright fraud. This phenomenon is also true for
supplied.
those early surveys of the original grants in this country.
Standards
Preparing of the Field Map
Boundary surveys for land development differ from the typ-
Typically, a comprehensive map (see Figure 13.4) is pre-
ical rural or farm boundary survey. In addition to gathering
pared for use by the survey crew in conducting the field-
of evidence for property line location and for use by the
work on the survey. The map should include information
title company in evaluating potential title problems, these
on those points and lines mentioned in the various deeds
surveys require the compilation of features that will affect
the later development.
For a description of what must typically be located in
the field and shown on such a survey, refer to the Minimum
Standard Detail Requirements for ALTA/ACSM Land Title
Surveys in the Technical Appendix.
In addition, most states have a set of standards adopted
by their Boards of Registration. These standards vary in de-
tail significantly from state to state, but all outline minimum
requirements for the practice of surveying in each state and
registrants must meet these standards in addition to any
other site- or client-specific requirements.
Fieldwork
The field phase begins with reconnaissance to locate corners
or other calls referred to in descriptions and pertinent to
the survey. The reconnaissance also serves as a basis for
planning the subsequent fieldwork. When appropriate, it
F IGURE 13.4 Field map. provides an opportunity to notify adjoining landowners of

the impending survey. This notification might also be done the data. This is particularly important when locating mark-
in a more formal manner. Some states require written notice ers and monuments, which will be integral to the resolution
to adjoiners before the fieldwork begins. The field survey of the boundary. See Figure 13.6 for an example of points
will proceed more smoothly if the cooperation of adjoining to be tied to the traverse.
landowners can be secured. Blunders must be eliminated by providing sufficient tie
measurements. Following correct procedures to prevent hu-
The Traverse Survey man errors such as misreading equipment and errors in
Once the standards under which the work will be under- notekeeping is an absolute necessity. A few simple addi-
taken have been established, a random traverse of the tional control measurements allow for field determinations
subject property is typically run. The traverse may be and an immediate rectification of such errors where re-
conducted using conventional equipment and procedures, quired. Extra trips to the field can be avoided by using a
such as measuring angles and distances with a total station pocket calculator to check measured data against a math-
or theodolite and an electronic distance measuring device ematical fit.
(EDM), or the surveyor may employ the use of Global Po-
sitioning System (GPS) receivers to establish locations using Locating Features and Improvements
satellites. Frequently a combination of procedures and The lines of the boundary traverse should follow the record
equipment is used. Terrain, improvements, vegetation, and lines when possible since the traverse will serve as the basis
traffic often dictate the most logical equipment and proce- for locating evidence, which will determine the position of
dures to employ. the actual property line.
No matter what procedures and equipment are used, the All iron pipes, concrete markers, stakes, and other ob-
lines and points on the traverse should be located on the jects used to mark corners and points on-line are evidence
subject property when at all possible to prevent damage to and must be located. The locations of tree lines, old fence
trees and shrubs belonging to adjoining owners. Stations on lines, walls, ditches, and other features on or near the di-
the survey should be placed at the most advantageous lo- vision lines must be determined and described in detail,
cations and frequencies, considering they will be subse- including the material from which objects are made and the
quently used to locate features on the property and possibly condition of the objects. Photographs of the evidence for
for other functions later in the development process. These future reference will be helpful; they can provide excellent
uses include topographical surveys, construction stakeout supportive evidence should the survey result in litigation.
work, and control surveys for the development. If points Points found during the survey and called for in the deed
are destroyed, the configuration of the initial traverse should be used as traverse stations when they are accessible.
should allow for easy replacement. Existing streets may have an impact on the boundary
The traverse control points serve as the basis for locating line determination and later development. The locations of
visible property corners, fences, tree lines, and other fea- pavement, right-of-way lines, and centerlines should be re-
tures relevant to the title lines and corners in addition to corded in the field notes. When no pavement exists, the
those improvements called for in the state or ALTA/ACSM traveled way should be located. Access roads on or across
standards or as may be required by the client. property, whether in use or not, should be located and
Cross-ties between nonadjacent points of the traverse shown. Such roads might be used for access to surrounding
should be made as frequently as is practical. This affords property and as such might be included in an easement.
checks on the survey work and allows for better survey Cuts or embankments, tree lines, or fence rows, which
adjustment of final results. These cross-ties also provide ad- might indicate long-abandoned roads, should be located
ditional stations for control and stakeout in later stages of and shown.
development. Survey markers set on this traverse, such as Drainage ditches, streams, creeks and rivers must be re-
rebar, pipes, or concrete monuments, should be of a length corded in the traverse survey notes. Details about these fea-
and diameter to be secure after installation. Alternative ob- tures are most important in the land development process.
jects such as PK nails or scribe marks can be used when Locate these features if they are mentioned as a boundary
they are more suitable for the conditions. or if they cross a boundary line. Information on the size
All traverse stations should be referenced for ease of fu- and condition of waterways should be included in the field
ture recovery. These reference ties should, when possible, notes.
be at 90⬚ to each other, which provides for a more sound A complete explanation of the conduct of the fieldwork
geometric solution in recovery. A minimum of three refer- is beyond the scope of this book. Surveyors unfamiliar with
ences is desirable. The references should be accurately de- generally accepted standards and procedures should consult
scribed and recorded in the field notes. See the illustration appropriate sources of information and their peers for as-
in Figure 13.5 for an example. sistance.
Field crews must be sure that the information to be lo-
cated in relation to the boundary traverse is properly tied Easements
to the survey traverse line using methods that afford re- Many land and title features may be located within ease-
dundancy in measurement better to ensure the integrity of ments. In addition, easements needed to install or maintain
F IGURE 13.5 Methods to reference traverse stations (traverse ties).
F IGURE 1 3 . 6 A boundary point is tied to the traverse using a minimum of two references. Shown here is (1) a measured angle and distance
directly to the point and (2) measured distance to POL and offset distance to the point.
the infrastructure of the land development must be estab- ognized standard, it is likely that a court would determine
lished. These include easements for streets, wells, drain- that the ALTA/ACSM Standards define that degree of skill.
fields, stormwater runoff, storm and sanitary sewers, gas
lines, and power lines. Because of their importance, the Grave Sites
nature and location of easements that already exist and It is critically important to locate any evidence of the ex-
those that are to be created must be carefully considered. istence of grave sites. The ALTA/ACSM Minimum Standards
Often, proposed easements will connect to existing ease- emphasize this importance. In some jurisdictions, grave
ments. sites by law are granted protection against disturbance even
A simple general definition of an easement is a nonpos- if no easements or other records concerning these sites ex-
sessory interest held by one person in land of another. The ist. Aerial photos are useful in location of deserted graves
person holding that interest is accorded partial use of the and cemeteries. Burial plots are often near groves of trees
burdened estate for a specific purpose. An easement re- or the tops of knolls. Time spent locating these sites on a
stricts but does not abridge the rights of the burdened estate photograph and a field trip to examine these areas are nec-
fee owner to the use and enjoyment of his land. essary to avoid problems that occur when a grave site is
Two types of easements, express and implied, can lead overlooked. During this closer inspection the surveyor
to land disputes. The law provides for express easements. should look for grave markers (both head and foot markers)
The law also recognizes that easements may exist or be and depressions in the ground.
created that are not express. These are implied and pre-
scriptive easements. Evidence of Possession
Easements fall into three broad classifications: surface, The surveyor should make careful notes of all visible evi-
subsurface, and overhead. dence of possession or occupation, such as the cutting of
It is important that the surveyor determine if any ease- timber, farming, and construction. Any evidence that could
ments exist at the time the boundary survey is being con- be construed as possession of the land must be investigated
ducted, since they may interfere with later development and identified. The ALTA/ACSM Minimum Standards out-
plans. This is why locating existing and potential easements line the surveyor’s responsibility in this regard in careful
is such an important part of the ALTA/ACSM Minimum detail. Possession can ripen into a fee right that could de-
Standards. Should any possibilities of easements exist, they stroy prior title rights. When land development is pending,
must be reported to the client at the time of the boundary failure to discover claims related to such possession can
survey. It is not the surveyor’s responsibility to determine lead to long and costly delays and even work stoppage as
whether an easement has been created in fact but instead the project progresses. The possibility also exists that in-
it is his responsibility to report its possibility. junctions over such matters might stop future land sales.
Many times old logging roads or field roads exist on the
property to be developed. These can usually be easily seen Office Work and Computations
on an aerial photograph or visually located by ground sur-
Meetings between the party chief in the field and the office
vey. This type of road could be evidence of an existing ease-
surveyor (compiler and computer) should be held regularly.
ment created by prior use or by necessity. If by chance the It is necessary that they work as a team. They must develop
adjoining land became landlocked because of the closure of a joint feeling of accomplishment in a job well done.
such a road, an easement by necessity could be required Once the data-gathering phase of fieldwork is com-
across the burdened property. pleted, the field notes are turned over to the person as-
Some states have statutes to provide for easements of signed to compiling and computing the information for the
various widths for ingress and egress to public highways project. This is the time for the party chief and the person
over intervening lands. There are many purposes for grant- in charge of office computations for the project to coordi-
ing these easements. Some common examples are cultiva- nate their efforts. The party chief can relay any additional
tion, cutting and removing of timber, mining operations of information known by him or her to the person compiling
various types, and manufacturing plants. the data. Such information might include a variety of ob-
Locations of future easements that will be required for servations of conditions on the ground that, for whatever
development should be considered while the boundary sur- reason, did not find their way in to the field notes.
vey is in progress if the development plans are far enough As this information is all compiled into presentable in-
along to give such consideration. This can be done by ref- formation, the surveyor can begin to make a determination
erencing service lines of different types that adjoin or cross of boundary locations. He or she should start by checking
the subject property. It is the surveyor’s duty to report to the field data. Aerial photographs may be used for com-
his client all possibilities of easements found. In accom- parison of data if possible. Field information on lines and
plishing this, he or she must apply that degree of skill usu- points found can be compared with lines and points called
ally exercised by a person of ordinary prudence engaged in for in the record documents. The composite map previously
the same work. Because of their nature as a nationally rec- referred to is most helpful when the field data are added to

it. The map becomes the main source of comparison of field The relationships of these points to their nearest traverse
and record data. stations are determined, allowing the field crew to make an
Before the survey data can be plotted, the field notes efficient and more complete field search for these points.
must be reduced. Averages must be determined when mul- The person assigned to making boundary determinations
tiple angles and distances were measured. should walk all lines of the survey, searching for points
In confirming the mathematical integrity or closure of a called for but not found and looking for fences, utility lines,
traverse, angles are checked for error first. The field results encroachments, roads, streams, or other items inadvertently
can be summed and compared to the value that should omitted from the survey. Before a monument is reported as
exist depending on the particular geometric shape of the destroyed, it must be assured that that destruction has oc-
subject traverse. curred. This is as important as the location of objects that
After it is determined that the result of the angular error were found. A buried monument or a bound called for but
lies within the allowable limits documented in the specifi- slightly out of place and found too late can be a source of
cations, the angles are adjusted. Using these adjusted an- serious future problems. This trip will facilitate decisions
gles, a closure can be calculated for the traverse to related to the final boundary placement. The surveyor must
determine the linear error. If this precision is within pre- be sure that nothing affecting the location of the boundary
scribed limits, which may also have been set by specifica- is overlooked.
tions, then adjustments can be made to balance the error.
Should either angles or distances lie beyond the limits al- Boundary Determination
lowed, office computations can be made to determine The surveyor has no legal power to establish boundaries.
which measurements might be in error. The field crew must Her function is one of identifying the most conclusive ev-
return to the field to remeasure suspect angles or distances. idence about the existing limits and location of ownership
The use and application of positional tolerance or posi- of real property. To carry out this task, two principles that
tional uncertainty are becoming commonplace in federal guide the surveyor. The surveyor must follow both of them
and state standards and now also appear in the ALTA/ as the specific condition dictates.
ACSM Minimum Standards. This concept involves the The first principle is that the intentions of the parties at
quantification of probable errors in individual measure- the time the boundaries and corners originated are to be
ments and the computation of the resulting potential error construed exclusively from the description itself, unless ex-
in the locations of the points on the survey. Such a standard trinsic evidence is required to do so. The boundary lines
typically does not dictate procedures or equipment, but and corners are then established accordingly. Many times
rather allows the surveyor latitude in applying proper pro- the task of identifying intent will necessarily include anal-
cedures and employing his equipment and personnel in a ysis of field conditions to assist in understanding the initial
manner that he sees fit as long as he can ensure that the intent.
allowable tolerances are not exceeded. As time progresses, the evidence of intent becomes less
Where no specifications are otherwise required by con- clear and incomplete evidence can lead to incorrect conclu-
tract or state laws, the Minimum Standard Detail Require- sions. This prompted the need in law for the development
ments for ALTA/ACSM Land Title Surveys can serve as a of a second principle. This basic rule is that lacking clear
guide for allowable errors in both angles and distances, al- intent in the writings, the longstanding acceptance of a
though, as mentioned earlier these standards will most boundary location may be considered evidence of the orig-
likely be a part of the contractual requirements. The sur- inally intended location.
veyor should keep in mind that he or she must strive for The application of this rule is probably more important
higher standards than the minimum. Some work requires where the land being surveyed is in the process of devel-
much higher precision, and the surveyor should be ac- opment. Much consideration should be given to the claims
quainted with the local requirements of precision for de- of adjoining landowners. If minor differences can be rec-
velopment. onciled by agreement with adjoiners, this is usually the
Once the integrity of the control survey points has been most appropriate method of settling such disputes. If an
assured, the coordinate values of all points included in or adjoiner has been claiming a boundary and has possession
located from the traverse are computed. This includes of the claim, the fact that litigation is time-consuming and
fences, pipes, and monuments in addition to all other costly must be given weighted consideration.
points of reference. All of these points are plotted in their In surveys where relocated corners do not agree with all
respective positions relative to each other. calls of original documents or notes, attention must be
These location data are used as the basis for the evalu- given to the rules of construction for ambiguous descrip-
ation of the field evidence in conjunction with analysis of tions. These rules simply set the priority for considering
the evidence contained in the various record documents physical evidence. That order is as follows: (1) natural mon-
and deeds. Using accepted principles of law, the various uments, (2) artificial monuments, (3) calls for adjoiners, (4)
pieces of evidence are given their appropriate weight and courses and distances, and (5) acreage. When the inconsis-
the locations of the missing corners are computed. tency is between course and distance, the distance is gen-

erally considered more reliable, although this depends on surveyor gathers, the better able he is to inform his client
the state in which the property lies. This subject is dis- as to the potential of an adverse claim.
cussed in more detail in the next section. The surveyor Adverse possession is a means of gaining ownership of
must understand that these rules of construction are subject land based on possession. This form of obtaining ownership
to change if they result in absurd conclusions. The choice is one that can cause many problems for the land developer
for construction is the one that brings the most harmony and the surveyor.
with the deed. This doctrine began in feudal England with statutes of
limitation. The limitation under English statutes was set at
LEGAL CONSIDERATIONS IN BOUNDARY DETERMINATION 20 years. The time was referenced to some royal event such
Thomas M. Cooley, Chief Justice of the Michigan Supreme as a coronation or death of a king. The feudal concept of
Court in the 1880s, was the author of the address titled ownership was based on possession.
‘‘The Judicial Functions of Surveyors.’’ This address covered The modern principle of specifying a uniform number
the role of surveyors when they are performing relocation of years as the limitations period for real property actions
surveys of old boundaries. The concluding statement from began during the reign of Henry VIII. Early American col-
this address was, ‘‘Surveyors are not and cannot be judicial onies and several states today have continued a limitations
officers, but in many cases they act in a quasi-judicial ca- period of 20 years as it was set in the 1623 Statute of James
pacity with the acquiescence of parties concerned; and it is I. Under this early statute, if a freeholder was dispossessed,
important for them to know by what rules they are to be he had the chance to regain possession and claim to the
guided in the discharge of their judicial functions.’’2 estate of freehold.
All deeds, wills, agreements, and evidence must be con- This is accomplished today by bringing an action similar
sidered in making the final determination of a boundary to the ancient writ designed to recover real property inter-
location. Surveyors gather and analyze the evidence to sup- ests. The dispossessed party must seek a writ of right or
port claims concerning the true location of corners and possession before the statute of limitations expires. Failure
lines. The determination must be made considering the in- to comply with this requirement may result in the rights of
tentions of the parties at the time the boundary was first the party that dispossessed becoming absolute. The modern
established. The laws governing surveying and real property principle of adverse possession differs because the record
also play an important part in the decision process and in owner does not lose title or ownership when the adverse
the weighing of the evidence to support claims. Final possession begins, but rather after the statute of limitations
boundary determinations rest with the courts, but fortu- has run.
nately, as stated earlier, most boundary locations can be Gaining of title by adverse possession is dependent on a
resolved with confidence by competent surveyors. variety of factors in addition to meeting the statute of lim-
itations. If those requirements are met, the record title
Conflicting Title Elements owner may lose that title through later judicial processes
and the person with adverse possession rights might be-
In making decisions based on discovered evidence, the sur-
come owner of the property.
veyor must be familiar with the order of importance of con-
The claimant’s possession generally must be open and
flicting title elements. These elements were mentioned
notorious, continuous, hostile, actual, visible, exclusive,
earlier and are discussed below. The surveyor must be fa-
and under a claim of title. The exact combination of re-
miliar with cases enabling conclusions to be drawn based
quirements and the length of the statute of limitations vary
on precedence set down by the courts in similar situations.
from state to state. In any case, however, the statutory pe-
riod necessary to defeat title and satisfy the required statute
Possession
of limitations must be met (Brown, 1969, Sec. 2.34).
The first of these elements of importance is the right of The elements of adverse possession are required because
possession. These are the rights not stated in writing but, the record owner must have actual knowledge of the ad-
as pointed out earlier, can become rights in fee. This fact verse claim against his holdings. The terms open, notorious,
is cause to give first and highest consideration to these actual, and visible all raise the presumption at law of notice.
unwritten yet visible claims to land ownership. The con- The true owner being intentionally infringed upon is essen-
sideration of unwritten rights often involves adverse tially given this notice by virtue of the claimant meeting
possession, although there are a number of other types of these requirements.
unwritten rights, such as acquiescence, estoppel, and oral Hostile possession is often misunderstood. A good ex-
agreement. Such possession is a matter often determined ample of its meaning can be explained by resorting to case
initially by a land survey and ultimately, in most states, by law. The majority rule is that possession based on a survey
a court of law; the surveyor cannot make a determination mistake is sufficiently hostile. This is true as long as the
of the legality of the possession. The more evidence the person in possession is claiming the property as his own
(Powell, 1987, ‫ ن‬1013[2][f][i]).
The requirement of continuous possession means that
2
Diehl v. Zanger, 39 Mich. 601, 605 (1878). the true record owner of the land has had suitable cause
(right to act) and time to bring legal action against the ad- veyances rarely understand the relationship of coordinates
verse claimant during the entire time of possession. to a field location, so they cannot represent intentions of
The requirement that the possession be exclusive might these parties.
be characterized by a situation whereby anyone other than There are other legal possibilities that might affect the
the adverse claimant must receive his permission to enter location of property lines. These include boundaries by
on or use the land being possessed. agreement, acquiescence and estoppel.
Senior Rights Boundaries by Agreement

The next element in order of importance for determining Confirming that a boundary has been established by agree-
ownership is called ‘‘senior rights.’’ A brief discussion of ment is dependent on finding a mutual agreement between
senior rights was included earlier in this chapter. Senior landowners as to where the common boundary is located.
rights have been stated as the rule of ‘‘first deed and last Courts often require that certain factors be present before
will’’ (Brown, 1969, Sec. 4.14) Put another way this state- boundaries can be established based on such agreements.
ment simply means that one’s interest in land can only be Boundary agreements must involve lines or corners that are
transferred to another party or parties once. This prevents uncertain or disputed. These agreements must set out a
the same interest from being sold later at a date to another specific line as the boundary. They must be executed by
party or parties. acts of the parties occupying adjoining land, and the agree-
ment must include land to the agreed line. The final re-
Written Intentions of the Parties quirement is that the agreement be recognized for a
After consideration of the preceding elements, the written considerable time. This period is often equal to that re-
intentions of the parties are the paramount consideration. quired for adverse possession.
These intentions are those expressed by the parties to a
conveyance and put in writing in the document that brings Boundaries by Acquiescence
about that conveyance. The written intentions of the de- Acquiescence is similar to boundaries by agreement. This
scription are used to consider the importance of the re- type of ownership is unique, however, because it does not
maining conflicting title elements. The strongest expression require proof that the boundary location resulted from an
of intent is a call for a survey. agreement. The justification for this ownership is similar to
adverse possession. For this doctrine to be enforceable, oc-
Calls for Monuments cupation must be visible up to a definite marked line. Gen-
Monuments are the next element to consider when a situ- erally, a long period of time must have elapse before
ation of conflicting elements arises. Natural monuments acquiescence exists, although one theory of acquiescence is
usually take precedence over artificial monuments. In some that it is based on a prior agreement.
instances, artificial monuments can become so well identi-
fied that they obtain equal standing with the natural Boundaries by Estoppel
monuments. When an object built by humans becomes Boundaries by estoppel develop when the true owner
generally well known and recognized and is considered per- knowingly misrepresents his boundary and causes a neigh-
manent, it may attain the characteristics of a natural mon- bor to rely on the misrepresentation thereby incurring det-
ument rimental cost. In such cases, the boundary becomes that as
Monuments of record (sometimes referred to as calls for represented. Estoppel is defined as ‘‘a man’s own act or ac-
adjoiners) are often considered a third type of monument. ceptance stops or closes his mouth to allege or plead the
Calls for record monuments become relevant when other truth.’’3 The concept of estoppel works to bar, stop, impede,
calls result in gaps or overlaps with adjoiners. Record mon- prevent or preclude denial of a certain fact as illustrated by
uments most often gain importance in situations involving the following example. A property owner who knows that
senior rights, although a call for an adjoiner does not in an adjoiner is making improvements along a line, which
and of itself establish senior rights. they have incorrectly believed to be the actual boundary
line, may later be estopped from claiming a true line run-
Distance, Direction, Area, and Coordinates ning through the improvements.
After consideration of the monuments, elements such as
distance, bearings, or directions called for in the description Party Walls and Line Fences
are next in importance respectively. Area does not have a Line fences are special cases when they divide properties.
high priority in the conflicting elements except in cases of Known in law as division or partition fences, they are cov-
wills. The intent in wills and in some descriptions is often ered by statutes in all but six states. Such a fence is built
expressed specifically by a certain number of acres, and in on an equal amount of land of each of the adjoining own-
those cases area receives first consideration. ers. Fences built entirely on the land of one party are not
Coordinates are given little consideration. They are gen-
erated from information already mentioned. Therefore, they
are subject to mistakes in computation. Parties to a con- 3
Caulfield v. Noonan, 229 Iowa 955, 295 N.W. 466, 471 (1941).

division fences. In these cases, the boundary lines prove the consideration of it and the deduction reached from it pro-
fence location. Fences not called for in the description of duces confirmation as to what will prevail. Not all evidence
lines when the lines originated do not prove the lines. A carries the same weight in establishing proof.
fence can become a line fence by consent of the owner of Indispensable evidence, as the name implies, is that ev-
the land on which the fence was built. idence absolutely necessary to prove a particular fact. In the
Land development can also involve boundaries estab- case of land boundaries based on adverse possession, for
lished by party walls. Party walls are located similarly to example, the evidence must establish the fact of that pos-
division fences. Party walls are usually built after formal session such as enclosure. The surveyor would therefore
agreement of the concerned owners. Only a few states and locate fences, which would constitute indispensable evi-
the District of Columbia allow the building of such walls dence of such enclosure.
without agreement of adjoiners.4 Evidence that cannot be disputed is called conclusive.
The clear contents of a written instrument such as a deed
Evidence cannot be changed by the oral testimony. Therefore, doc-
It is evident the surveyor must consider any factors that uments that are a part of a conveyance must be considered
might impact future development. Evidence of construction in high regard when trying to prove the location of a
on the land that might be grounds for liens must be re- boundary.
ported. He or she must also determine from local authori- Prima facie evidence is that which will stand as correct
ties if there is any proposed construction around the subject until it is rebutted by other evidence. A probated will grant-
tract. Such construction might cause changes in streets, ing a party ownership to a tract of land is prima facie evi-
sidewalks, water, sewer, gas, or other service lines that dence of that ownership. Proof of the rebuttal of the will
could have an impact on the property detrimental to the would be necessary to contradict such evidence.
proposed development. Other classes of evidence are primary evidence, second-
In addition to this basic knowledge of law the surveyor ary evidence, direct evidence, indirect evidence, partial ev-
must be familiar with state statutes and local ordinances idence, and extrinsic evidence. Primary evidence is original
and have a knowledge of case law related to boundaries. or first-hand evidence. It is that evidence which is given
Those cases related particularly to land development should priority for ascertaining the truth. A copy of a document is
be checked when a situation of conflict over a boundary secondary evidence because it is considered inferior to the
develops. original document.
Laws form the basis of land ownership. Proof of the lim- Direct evidence supports the existence of a fact without
its of this ownership requires gathering evidence by sur- depending on proof of other facts. The testimony of an
veying the boundary. The surveyor should remember that eyewitness to an event is considered direct evidence.
for each law there are many exceptions to that law. Each Indirect evidence, on the other hand, requires proof of
land survey is unique and different. This is because the a fact by proof of another. This evidence is also called cir-
physical characteristics of the land vary and the circum- cumstantial evidence. Evidence used to establish a detached
stances surrounding the conveyance govern the interpreta- fact is partial evidence. This type of evidence is subject to
tion of the intentions of the parties. be rejected unless connected to the fact in dispute by proof
The deeds located in the record search become the basis
of other facts.
for locating and establishing boundaries. They are used to
Extrinsic evidence is that not contained in the body of
identity the true location of monuments and courses, as
a document for agreements or contracts. Such evidence is
originally run, on the ground. This holds even if the mea-
primarily for explanation of references in the written doc-
surements by the original surveyor were not correct.
uments. This evidence can be used to clarify meanings of
All of this relates to what is called the rules of evidence.
terms that vary within local context.
The definition of the law of evidence is stated as ‘‘the ag-
The surveyor must understand the types of evidence and
gregate of rules and principles regulating the admissibility,
realize that the law of evidence is not exact but relative. The
relevancy, and weight and sufficiency of evidence in legal
rules referred to in the definition of the law of evidence can
proceedings.’’5 Evidence may be defined as ‘‘Any species of
proof, or probative matter, legally presented at the trial of be found in the statute law of the state where the subject
an issue, by the acts of the parties and through the medium property exists. These rules deal with judicial notice, pre-
of witnesses, records, documents, concrete objects, etc., for sumptions and burden of proof, and the relevancy, com-
the purpose of inducing belief in the minds of the court or petency, and admissibility of evidence. Other considerations
jury as to their contentions.’’6 Evidence is not proof but the in the rules of evidence include real and demonstrative ev-
idence. Documentary evidence, secondary evidence, and
parol evidence are also included. In addition, expert evi-
4
See, e.g., D.C. Code Ann. §§ 1-625 to 1-626 (1981).
dence, opinion evidence, and hearsay evidence are dis-
5
Black’s Law Dictionary, rev. 4th ed., s.v. ‘‘evidence, law of.’’ cussed in the rules. Topics such as declarations and
6
Black’s Law Dictionary, rev. 4th ed., s.v. ‘‘evidence.’’ admissions, weight and sufficiency, and questions of law

and fact are dealt with in the same chapter of the statute Rule 5: The certain description must prevail over the
law. uncertain, in absence of controlling circumstances.
The understanding of evidence is critical to the surveyor
Rule 6: Where the boundaries mentioned are inconsis-
involved in land development since determinations of the
tent with each other, those are to be retained which
location of property lines and corners are often immediately best subserve the prevailing intention manifested on
relied upon as a basis for work to progress. Often much or the face of the deed.
all of the development has been carried to completion be-
fore legal problems manifest themselves. Should the land Rule 7: When one part of the description in a deed is
under development become involved in litigation, the sur- proved false, and by rejecting that part, a perfect de-
veyor’s interpretations will be admitted or rejected in court scription remains, such a false part should be rejected
depending on his adherence to the rules governing the law and the deed held good.
of evidence. Rule 8: Where land is described as running a certain
It has been said that ‘‘everyone is presumed to know the distance by measure to a known line, that line will
law and the surveyor is no exception. If he agrees to mon- control the measure and determine the extent of the
ument a certain written conveyance on the ground, he also grant.
agrees to locate the conveyance according to the laws reg-
ulating the interpretations of written conveyances’’ (Brown Rule 9: Where a patent calls for unmarked lines of sur-
et al., 1981, Sec. 1.3). rounding surveys, the position of which can be accu-
rately ascertained, and there is no evidence as to how
the survey was actually made such unmarked lines will
Basic Rules for Guidance in Boundary Location prevail over courses and distances, in case of a conflict.
Many rules of case law are available to guide the surveyor (This rule does not hold if the line is obscure, not def-
in making determinations concerning boundary locations. initely fixed, marked or known, and therefore likely to
These rules are too numerous for a complete list to be in- be looked upon by the parties as less certain than the
cluded here. They are being constantly added to and measure given.)
amended with each court opinion that is handed down. Rule 10: Where the description in a deed calls for land
Some case law included here will make the surveyor aware ‘‘owned and occupied,’’ the actual line of occupation is
of those that have more general application. Those covering a material call to be considered in locating the lines of
more specific situations will require research in law librar- the land bounded therein.
ies. It should be emphasized again that rules of law are
often overturned. In addition, exceptions to the rules are Rule 11: The use of the term ‘‘about’’ indicates that ex-
commonplace. Rules are therefore only a guide in the de- act precision is not intended, rather where nothing
more certain can be found to control the course and
cision process. The courts make the final determinations
distance. Subsequently, the grantee is limited to the ex-
should boundaries fall into dispute. Following are a few of
act course and distance given.
the primary rules established by case law:
Rule 12: Where lines are laid down on a map or plan,
Rule 1: In ascertaining boundaries from title papers, he and are referred to in a conveyance of land, the
who has the oldest title is entitled to take his courses courses, distances, and other particulars appearing on
and distances, go where they may. such plan are to be as much considered the true de-
scription of the land conveyed as they would if ex-
Rule 2: Written descriptions of property are to be inter-
pressly recited in the deed.
preted in the light of the facts known to and in the
minds of the parties at the time. They should be con- Rule 13: In construing the description in a deed which
strued with reference to any plats, facts, and monu- bounds the land conveyed upon a street, river, or
ments on the ground and referred to in the other monument having width, courts incline strongly
instrument. to such an interpretation of the language as will carry
the fee of the land to the center line of such monu-
Rule 3: Where the description of the boundaries in a ment, rather than to its edge only.
deed is indefinite or uncertain, the construction given
by the parties, and manifested by their acts on the Rule 14: When land is bounded on a private way, it
ground, is considered the true one unless the contrary extends only to the side line of the way.
is clearly shown. Rule 15: Where a survey is referred to in a deed for
Rule 4: Every call in the description of the premises in greater certainty, it legally forms a part of it and both
should be construed together.
a deed must be answered if it can be done, and none
is to be rejected if all the parts can stand consistently Rule 16: Extrinsic evidence is admissible only when re-
together. quired to explain the conditions existing as of the date

of a deed or to resolve an extrinsic ambiguity in the will also relate to this survey. To bring continuity to the
deed. land development process, illustrations will be based on
this same subject property whenever possible.
Rule 17: The mention of quantity of acres after a defi-
nite description by metes and bounds, or by the ali- REFERENCES
quot part of the section, is a matter of description only, Breed, Charles B., and George L. Hosmer. 1908. The Principles
and quantity being the least certain, does not control. and Practice of Surveying, 3d ed. John Wiley & Sons, New York.
Rule 18: Where boundaries are doubtful, then quantity Brown, Curtis M. 1969. Boundary Control and Legal Principles, 2d
(area) often becomes a controlling consideration. ed., John Wiley & Sons, New York [contributions by H. Freder-
ick Landgraf and François D. Uzes].
INFORMING THE CLIENT Brown, Curtis M., Walter G. Robillard, and Donald A. Wilson.
1981. Evidence and Procedures for Boundary Location, John Wiley
All interested parties should be apprised of the results of
& Sons, New York.
the survey by virtue of a plat or map of the survey and an
Willing v. Booker, 160 Virginia 461 (1933).
accompanying written report. All facts affecting the bound-
Bureau of Land Management. 1973 Manual of Instruction for the
ary and future development of the land should be included,
Survey of the Public Lands of the United States, Tech Bulletin 6,
along with notes of all variations from the descriptions
U.S. Government Printing Office, Washington, D.C.
found as a result of the survey. The report should address
Powell, Richard R. 1987. The Law of Real Property, ed. Patrick J.
gores, gaps, and overlaps if any exist. Issues of encroach-
Rohan, Matthew Bender & Co., New York.
ments, easements, rights of way, and known violations of
Wattles, Gurdon H. 1976. Writing Legal Descriptions, Parker &
any restrictions or regulations should be addressed as well.
Son.
In general, consider in this report anything affecting prop-
erty location that might affect the future development. ADDITIONAL READINGS
Armstrong v. Daily, 514 S. 2d 993 (1988).
Prepare the Final Map and Description
Ayers v. Watson, 137 S.C.R. 584 (1890).
A final plat or map should always be prepared. The ALTA/ Burby, William E., Handbook of the Law of Real Property, West, St.
ACSM Minimum Standards and most state regulations re- Paul, 1965.
quire such a document. This plat provides a means of for- Flick v. Kramer, 151 Ill. App. R. 3d 836 (1987).
malizing the determinations made from the survey. It Gage v. Davis, 104 Idaho 48 (1983).
should be prepared while the work is still fresh in the
Galt v. Willingham, 11 F. 2d 757 (1926).
minds of those completing the survey and computations. If
Re Gielle and Wife, 373 S. 2d (1979).
this work is delayed, you may omit information that would
immediately come to mind if the work had just been com- Gilardi v. Hallam, 636 P. 2d 588 (1982).
pleted. Eventually your client, his attorney, his lender or a Hale v. Ball, 70 Wash. 435 (1913).
fellow surveyor will require information from the survey. ‘‘Historical Note,’’ West’s Annotated California Codes, Sections
It is good policy for the person preparing descriptions 725–900, 291, West, St. Paul, 1980.
to sign them. Do not sign descriptions drawn from infor- Hodgman, F. A Manual of Land Surveying, F. Hodgman Co., Cli-
mation that was not a result of a survey made by the signer max, 1913.
unless the source of the information used in preparing the Humphrey v. Futter, 169 Cal. 3d 333 (1985).
description is clearly identified. Reference descriptions to Klinhart v. Mueller, 166 S.W. 2d 519, S.W. 2d (1943).
the map used in their preparation. Piccirilli v. Alfred Groccia, vol. 327 A. 2d 834 (1975).
Robillard, Walter G., and Lane J. Bouman. A Treatise on the Law
SUMMARY of Surveying and Boundaries, 5th ed., Michie, Charlottesville,
A sample final map is included to provide the reader an 1987.
example of a boundary survey where land development will Ruick v. Twarkins, 171 Conn. R. 149 (1976).
follow. Later chapters will include detail computations that Slaughter v. Atlanta Coca Cola Bottling Co., 172 S.E. 723 (1934).

CHAPTER 14
CONTROL SURVEYS
Marc S. Cheves, L.S.
INTRODUCTION specifications control the proper adjustment of fieldwork.

The backbone of any land development project is the con- This chapter will also cover the development of standards
trol network. From inception to completion, the success of and specifications, errors and their sources, and the appli-
a project depends on accurate horizontal and vertical con- cation of adjustments to account for errors. A short discus-
trol. Project designs, as well as staking for construction, are sion on probability theory and the statistical aspects of
based upon the boundaries and topography established by survey measurements and equipment is also required to in-
the survey of the property. If the accuracy of the horizontal dicate how these three topics relate to one another. At the
and vertical control is poor, the consequences can be dis- end, a method of adjustment will be discussed that will
allow the land development surveyor to incorporate stan-
astrous.
dards and specifications, errors, and adjustments to provide
Because all measurements contain a certain amount of
the best estimate of the true position of the objects being
error, surveyors must apply corrections and adjustments to
located.
remove the inevitable misclosures in traverses and level
loops in their survey measurements. Such adjustments al-
low surveyors to evenly distribute these inevitable errors SPECIFICATIONS
found in survey measurements. The accuracy of the work USC&GS Third Order
is completely dependent upon how the surveyor deals with In order to adequately evaluate and judge the quality of
these errors in measurement. One method of evaluating the survey work, a set of standards must be developed. Stan-
quality of a surveyor’s work is to compare it to industry dards are statements of required accuracies of survey mea-
standards, which are based on detailed specifications. Such surements, such as traverse for horizontal measurements or
specifications also give surveyors the means to evaluate the level loop closures for vertical measurements. Specifications
quality of their survey equipment. detail the necessary steps to achieve the required standard,
If the accuracy of the equipment is known, the ad- such as the number of angle repetitions or the quality of
justment of horizontal and vertical control work can be the instrument. The National Geodetic Survey (NGS), for-
properly performed. If not, adjustments are applied pro- merly known as the U.S. Coast & Geodetic Survey
portionally or by a surveyor’s intuition or experience. While (USC&GS), implemented the most widely accepted set of
these methods do not really provide a reasonable explana- standards of accuracy and specifications to support these
tion for the manner in which closure errors are distributed, survey classifications. The NGS is a division of the National
they are still widely used. Many surveyors are unaware of Oceanic and Atmospheric Administration (NOAA), which
the relationship among standards, specifications, and ad- is part of the U.S. Department of Commerce.
justments. This chapter will demonstrate this relationship Issued by the Federal Geodetic Control Subcommittee
by covering the traditional methods and techniques used to (FGCS), the Standards and Specifications for Geodetic Control
make adjustments, as well as illustrating how standards and Networks (September 1984, reprinted October 1990) in-
245
CONTROL SURVEYS
cludes the familiar Third-order, class I and II classification, wasteful to perform fieldwork in support of land develop-
which is now the basis for many civilian survey specifica- ment to a higher order of accuracy than required.
tions. Even though this document still uses ratios (1:
10,000, etc.)1 to classify the different orders of surveys, the First and Second Order
Global Positioning System (GPS) and the widespread avail- For more accurate work, the USC&GS developed the first
ability of least squares adjustment software have caused order and second order standards and specifications. The
NGS to consider the classification of surveys by positional triangulation network that covered the United States was
tolerance. composed primarily of first- and, to a lesser extent, second-
As the name implies, this document was created pri- order stations. Previously, this network was based on the
marily to support the development of geodetic control net- North American Datum of 1927 (NAD 27). NAD 27 con-
works. However, previous editions of these standards and tained significant relative positional errors because of the
specifications state that the third-order requirements were distortions caused by the additions of new observations and
designed for use on local mapping and engineering projects. because these positions were developed mathematically, that
To the land development surveyor, the specifications re- is, by triangulation, and not by distance measurement.
quired for angular, linear, and vertical closure are of great These observations affected the network similar to the way
importance. cross-loops can affect a traverse. Due to complaints from
These specifications state that the maximum angular clo- surveyors attempting to fit classical terrestrial surveys into
sure for third order class I shall be 10ⴖ兹N and class II shall the network, NGS decided to perform a massive readjust-
be 12ⴖ兹N, where N equals the number of legs in a traverse. ment of the NAD 27 to ensure that, relative to each other,
Further, minimum position closures for third order are to all stations fit into the network. Known as the NAD 83, this
be no less than 1:10,000 for class I and no less than readjustment effectively removed most of these distortions.
1:5,000 for class II. For level loop closures, the publication However, because GPS is so accurate, small errors resulting
states that the third order accuracy requirement is 12 from the readjustment have since been revealed. NGS then
mm兹E, where E equals the length of the level loop in embarked on the creation of the High Accuracy Reference
kilometers. The vertical closure requirement can also be Networks (HARN) in response to continued complaints
stated as 0.05 feet兹M, where M equals the length of the about the degradation of accuracy resulting from forcing
level loop in miles. GPS surveys into the NAD 83 network. HARNs are based
The reader is encouraged to obtain copies of the previous on high-accuracy GPS stations established by NGS and have
editions, including Classification, Standards of Accuracy, and been created for many of the states. Surveyors using GPS
General Specifications of Geodetic Control Surveys (February can now tie their work to the HARN stations with assurance
1974, reprinted January 1976) and Specifications to Support that the accuracy of their work will not become degraded.
Classification, Standards of Accuracy, and General Specifica- A similar federal network exists for vertical control. Pre-
tions of Geodetic Control Surveys (July 1975, reprinted May viously known as the National Geodetic Vertical Datum of
1978) for supplemental information. These versions pro- 1929 (NGVD 29), it too has been readjusted and is now
vide valuable procedural guidelines and specification details known as NGVD 88. Because this network does not rely
pertaining to the establishment of horizontal and vertical on computed values in the same manner as the horizontal
control. Tables from the 1974 and 1984 documents are in- network, it is not subject to the same magnitude of relative
cluded at the end of the chapter. Copies of these documents errors due to the more stringent accuracy standards set for
are available from NGS in Silver Spring, Maryland (301- vertical work and the fact that vertical errors are much eas-
713-3242). ier to detect.
For land development projects, unless the state board of
registration has developed more rigorous minimum stan- Global Positioning System (GPS)
dards, the commonly implied standard is third order. Work The FGCS has developed the Geometric Geodetic Accuracy
performed for state or local government agencies is usually Standards and Specifications for Using GPS Relative Positioning
subject to specifications similar to third order. The excep- Techniques. It created new survey categories, including AA,
tion to this is that for most land development projects, the A, and B order. The corresponding relative position accu-
objective is to make the civil improvements to the site op- racies for the new orders are 1:100,000,000, 1:10,000,000,
erate properly. In other words, the objective is for the storm and 1:1,000,000. The traditional first, second, and third
drain system to carry the runoff to the desired place, the orders are now included in the C group in the FGCS doc-
sanitary sewer system to do likewise, and the curb and gut- ument (as C1, C2-I and C2-II, and C3) with the corre-
ter for streets and parking lots to drain properly. In this sponding accuracies being 1:100,000, 1:50,000 (or
sense, most land development surveying is performed to 1:20,000), and 1:10,000. As the name suggests, this stan-
construction order. It is important to remember that it is dard and specification applies more to geodetic surveying
and has no real application in GPS surveying of land de-
velopment projects. Nonetheless, the GPS surveyor should
1
The ratio 1:10,000 means that for every 10,000 units of horizontal measurement, consider these requirements in the design, execution, and
the tolerance or error will be no greater than 1 unit. adjustment of GPS work to support land development. The
CONTROL SURVEYS
14 䡲 CONTROL SURVEYS 247
land development surveyor will most likely encounter this order and class system of classification, the accuracy of the
standard and specification if he or she is involved in the relationship between two first-order horizontal points was
establishment of geodetic control for the creation of a Ge- determined by dividing the distance between them by
ographic Information System (GIS). As more local govern- 100,000. The accuracy of different types of geodetic spatial
ments create GISs, the land development surveyor will use data was determined using different methodologies, such as
the horizontal and vertical control created by these systems. classical horizontal (triangulation and traverse) and classical
Some local jurisdictions have created specifications for the vertical (leveling). But NGS found that GPS accuracy does
accuracy of ties to this type of control. Eventually, almost not degrade rapidly with distance. This means the accuracy
all land development projects will make use of GIS hori- between unconnected points between which a direct mea-
zontal and vertical control, particularly in metropolitan surement had not been made is not affected as dramatically
areas. with GPS as with traditional, ground-based surveying meth-
In November 1997, NGS issued NOAA Technical Mem- ods. However, it is still good surveying practice to connect
orandum NOS NGS-58, Guidelines for Establishing GPS- points directly that are very close to one another.
Derived Ellipsoidal Heights (Standards: 2cm and 5cm), Version Another new concept is that of local accuracy and net-
4.3. Authored by David B. Zilkoski, Joseph D. D’Onofrio, work accuracy. NGS defines the local accuracy of a control
and Stephen J. Frakes, the guidelines established proce- point as a number, expressed in centimeters, that represents
dures for using GPS to obtain ellipsoidal heights at the 2- the uncertainty at the 95% confidence level in the coordi-
sigma (95% confidence) level. Not to be confused with nates of the point relative to the coordinates of other di-
orthometric heights, which are what is used in land devel- rectly connected, adjacent control points. The reported
opment, the guidelines are based on extensive research by local accuracy will be an approximate average between the
NGS, and require specific observation techniques. To obtain point and other adjacent points. Network accuracy is de-
2-cm accuracies, users are required to use dual-frequency fined in the same terms, but with respect to the geodetic
receivers and fixed-height tripods, make certain ties to A- datum, in this case the CORS stations, are assumed to have
or B-order stations, make observations of a certain length no (or practically no) positioning error. NGS is in the pro-
in time, and set up the network such that baseline lengths cess of converting all accuracy statements using this new
do not exceed certain maximums. Furthermore, multiple concept.
sets of observations are required at different times during Using first-order points as an example, network accuracy
the day (twice, on two different days, to benefit from in NAD 27 was approximately 10 m, while local accuracy
changes in satellite geometry). Other requirements include was 1 part in 100,000. With NAD 83, network accuracy
gathering meteorological data, setting the elevation mask on was reduced to 1 m while local accuracy remained the
the receiver to 10⬚, and ensuring that VDOP values for the same. But with the addition of GPS into the High Accuracy
satellite constellation are within certain limits before occu- Reference Networks (HARN), the network accuracy im-
pation of the stations. Certain loosening of the specifica- proved to a tenth of a meter, and local accuracy for B-order
tions are allowed to obtain 5-cm accuracies. At the time of marks improved to 1 part in a million while A-order marks
the publication of this Handbook, guidelines for obtaining improved to 1 in 10 million. Finally, with CORS, both net-
GPS-derived orthometric heights from the ellipsoid heights work and local accuracies have improved to 1 cm.
had been developed but not yet published. Once these Both standards are relative accuracy measures.
guidelines are released, the land development surveyor will Ellipsoidal/orthometric heights are also included in the new
be one step closer to using GPS to obtain the necessary standards. The difference between horizontal control, dis-
vertical accuracies needed for land development work. cussed above, and vertical control is that horizontal accu-
The use of GPS has caused a rethinking of control net- racy will be expressed as 2D circular error, vertical control
work concepts. NGS has discovered that with the addition accuracy will be expressed as 1D linear error, and both will
of the Continuously Operating Reference Stations (CORS) be expressed at a 95% confidence level. Additionally, these
into the National Spatial Reference System (NSRS), long- standards will meet the needs of GIS users. Once the new
range horizontal accuracies in the 1- to 2-cm range are pos- standards are totally implemented, the horizontal, ellip-
sible. NGS has also found that vertical accuracies in the soidal height, and orthometric height accuracy standards
two- to 4-cm range are possible, but require 12- and 24- will be based on accuracy classifications (at the 95 percent
hour observation times, respectively. confidence level) expressed in linear, terrestrial, units. The
In 1998, the Federal Geodetic Control Subcommittee classification of geodetic control points by order and class
(FGCS) and the Federal Geographic Data Committee methodology, based on distance, will gradually fade away.
(FGDC) issued the Geospatial Positioning Accuracy Stan-
dards. More information can be found at http:/ / ALTA/ACSM Standards
www.fgdc.gov/standards/status/textstatus.html. This doc- For commercial property, another standard exists. Many
ument represents a departure from the classification of con- times a lender is called upon to make a loan on property
trol points based on the traditional order and class schema. that is across the country. Furthermore, because there is
Another change involves a move away from determining such wide variation in the standard of surveying between
accuracy based on distance. For example, under the old different locales, clients had no way of knowing the degree
CONTROL SURVEYS
of accuracy of the survey work. Members of the American any corner location is not exceeded. The surveyor should
Land Title Association (ALTA), in cooperation with the perform a rigorous mathematical adjustment of the survey
American Congress on Surveying and Mapping (ACSM), re- observations to ensure compliance with the standard. The
alized that no national standard existed to judge the accu- terms of this document will be defined and further dis-
racy of land title surveys. So, in 1962, the ALTA/ACSM cussed under Types and Sources of Error.
Minimum Standard Detail Requirements for Land Title Surveys
were developed. Until recently, this type of survey was sel- National Map Accuracy Standards
dom used for raw land. However, as its use is increasing, A third standard that the land development surveyor is
an increasing number of lenders are requiring that these likely to encounter is the National Map Accuracy Standards.
standards be followed when surveying vacant land. Fur- These standards, developed primarily for the U.S. Geolog-
thermore, some state boards of registration have incorpo- ical Survey topographic quadrangle maps, specify the hor-
rated the ALTA/ACSM Standards into the accuracy izontal and vertical accuracy of the information presented
requirements of their Minimum Standards. on such maps. They are also commonly applied to maps
The ALTA/ACSM standard has undergone a number of prepared by photogrammetry. The surveyor’s role in pho-
updates, starting in 1986, and most recently in 1999. The togrammetry is the establishment of horizontal and vertical
original rationale behind these standards was that the title control to allow the photogrammetrist to rectify the aerial
insurance industry needed to be held responsible for the photographs from which the maps are prepared.
legal aspects of accuracy standards while the surveying One of the National Map Accuracy Standards specifica-
community would be responsible for the surveying and actions states that 90% of the contours shown on the map
curacy aspects. The title industry has generally not con- will be within one-half a contour interval of their true po-
cerned itself with the accuracy portion of the standards but sition. Furthermore, the standard states that 90% of spot
instead has relied on ACSM to develop them. With the elevations on the map shall be within Ⳳ20% of the contour
1992 changes, ALTA and ACSM separated the survey ac- interval. This means that for 5-ft contour mapping, 90% of
curacy specifications from the rest of the standards to allow all spot elevations shall be within Ⳳ1 ft of their true vertical
for the adoption of necessary updates without having to value. For 2-ft contour mapping, 90% of all spot elevations
revise and re-adopt the entire document. That portion of shall be within Ⳳ0.4 ft. The use of GPS has become more
the standard is now called the Accuracy Standards for prevalent for the establishment of the horizontal and ver-
ALTA/ACSM Land Title Surveys, and an excerpt appears in tical control for aerial mapping projects. With recent ad-
Figure 14.1. vances and by following certain guidelines, NGS feels that
The 1962 ALTA/ACSM Standards called for the surveyor current vertical accuracies for GPS, under ideal conditions,
to make a statement concerning the positional accuracy of are on the order of 2 to 5 cm. For land development sur-
the property markers he or she had set. This requirement veying, the advent of real time kinematic (RTK) techniques
was widely ignored, primarily because it was extremely dif- makes GPS an ideal tool for data gathering and construction
ficult and expensive to meet these standards while perform- layout.
ing a survey using the equipment and procedures typically
employed at the time. As a result, in 1986, the positional Equipment Specifications
accuracy portion was replaced with a controversial set of Angle and distance measuring devices are now evaluated on
specifications that outlined the exact procedures and types the basis of their accuracy and precision. Specifications cre-
of equipment that were to be used in performing an ALTA/ ated by equipment manufacturers commonly list the accu-
ACSM Land Title Survey. The controversy generated by racy, as in the case of an angle-turning instrument, being
these very specific requirements left little or no room for reported as Ⳳx number of seconds. For EDMs, the accu-
professional judgment by the surveyor. Also, although the racy is defined as being Ⳳx number of millimeters plus x
requirements had a sound statistical basis, they did not pro- parts per million (PPM). For example, a 1-km measurement
vide any accommodation for the rapid improvements in made with the most commonly used EDM (Ⳳ5 mm ⫹ 5
equipment that were occurring even as the 1986 standards PPM) will contain a plus or minus uncertainty of 10 mm.
were being developed. These requirements were widely ig- Likewise, the accuracy of levels is listed as being able to
nored or situationally applied because surveyors wanted achieve a closure of x times the length of a level run. These
leeway in applying what they felt were sound procedures Ⳳ amounts are supplied by the manufacturers and are the
and because surveyors were acquiring equipment that al- result of rigorous statistical testing involving thousands of
lowed them to measure more accurately than was required measurements. For land development work, most surveyors
by these standards. use theodolites having an accuracy specification of Ⳳ5 or
In the most recent version of the ALTA/ACSM Standards 6 seconds and EDMs having an accuracy specification of
(1999), the organizations have reverted to a positional ac- Ⳳ5 mm plus 5 PPM. Some surveyors will use more accu-
curacy standard. This new standard allows the surveyor to rate instruments for the control network, like a ‘‘one-
employ appropriate procedures and equipment as long as second’’ Wild T2, but ‘‘six-second’’ and ‘‘five-second’’
a maximum allowable amount of positional uncertainty in instruments are more commonly used for everyday land

CONTROL SURVEYS
F Classifications of ALTA-ASCM land title surveys and minimum angle, distance, and closure requirements for classes of surveys. (Courtesy of ACSM)
14.1 IGURE
249
CONTROL SURVEYS
development surveying. Levels that are capable of achieving counter survey standards and specifications in two forms.
a closure of Ⳳ0.01 ft in 1 mile of double run levels are The most familiar is the standard that dictates horizontal
commonly used by today’s surveyors. and vertical closures of a traverse or a level run, while the
It is a widely held misconception that the manufacturer’s less familiar is the process of establishing the accuracy of a
accuracy specification for a theodolite refers to the plus or piece of equipment (see Types and Sources of Error for
minus uncertainty in each angle. This is not true. The de more detail). The discussion of precision and accuracy will
facto specification for instrument accuracy is the so-called play a part in our further discussion of standards and spec-
DIN spec. Referred to as DIN 18723 and developed in Ger- ifications and adjustments.
many by the Deutsches Institut für Normung, this method
of evaluation refers to the plus or minus uncertainty in each TYPES AND SOURCES OF ERROR
direction or pointing, a direction being composed of a direct As mentioned previously, all measurements contain errors.
and reverse pointing to a single target. An angle is consid- The first type of error is the blunder or mistake. An example
ered to be the difference between two directions or point- of a blunder would be recording an angle as 29⬚ instead of
ings. The differences between these two terms and the DIN the instrument reading of 92⬚. For purposes of our discus-
spec will be discussed further under Types and Sources of sion, it is assumed that the surveyor has eliminated the
Error. outright mistakes or blunders in the work. The other errors
that will be dealt with in this chapter fall into two catego-
ACCURACY & PRECISION ries: systematic (both equipment and natural) and random
Before we can discuss the true significance and meaning of or accidental.
specifications like third order and the ALTA/ACSM stan-
dards, we must first define some relevant terminology, such Systematic Errors
as accuracy and precision. Accuracy is defined as ‘‘being Systematic errors are considered either constant or variable.
close to the truth.’’ In other words, for something to be Constant systematic errors can, to a certain extent, be cor-
accurate or to possess accuracy, the user or recipient of the rected. Examples of constant systematic equipment errors
work needs assurance that the product is true or correct. are chains that measure too short or too long or instruments
Another frequently used term in discussing specifications is and EDMs that are not properly calibrated. These errors
precision, defined in a surveying sense as ‘‘being able to re- generally have the same magnitude and the same algebraic
peat a measurement over and over again and being able to sign. Using a chain that is too short will consistently pro-
obtain close to the same answer for each one.’’ The classic vide distance measurements that are too long. An EDM that
example is that of a rifleman and a bull’s-eye target. With is not accurately calibrated will consistently measure dis-
reference to Figure 14.2, if the rifleman is able to cluster tances incorrectly, i.e., short or long. Temperature correc-
his shots together at the edge of the target, the results are tions for measured distances (chained and EDM) would be
said to be precise but not accurate. In other words, he was applied to eliminate systematic errors. Other sources of con-
able to shoot close to the same mark but not near the center stant systematic error include prism offsets, adjustment of
of the target. On the other hand, if his shots were spread prism pole, and optical plummet adjustment. Equipment
out all over the target, the results would be neither accurate errors can normally be corrected by accurate calibration or
nor precise. An exception would exist if the mean of the by following the proper methods and procedures. Differ-
shots were in the center of the target, in which case his ential heating of a tripod by sunlight, movement of a tripod
shots would be considered to be accurate but not precise. or instrument due to wind or vibration, and tripod settling
If, however, his shots were clustered around the center of are all variable systematic errors that can be alleviated by
the target, the results would be said to be both accurate following proper methods and procedures. An example of
and precise. such a procedure would be to perform observations over a
Relating the above to survey measurements, if a theo- short period of time to eliminate the possibility of differ-
dolite or EDM is accurate it will allow the operator to turn ential tripod heating.
better angles or measure better distances such that the mea-
sured quantity is hopefully close to the true site conditions. Natural Errors
If the operator has a good eye, turns the angles carefully, Natural errors include such things as temperature, baro-
and controls any systematic errors, that operator is de- metric pressure, humidity, and refraction. Surveyors are fa-
scribed as having the capability of producing accurate an- miliar with the correction for the first two because the PPM
gles. So-called reading and pointing errors can contribute a setting on an EDM is dependent upon temperature and bar-
great deal of inaccuracy. Any errors caused by the estima- ometric pressure. Of the variable errors, refraction is prob-
tion needed to read an angle on an optical theodolite can ably the single greatest source of angular error. It is affected
often contribute more inaccuracy than pointing errors. The by humidity, and it is hard to detect and even harder to
precision of an instrument is classified not only by its ability predict. However, it can be avoided or reduced by making
to accurately turn angles, but by its ability to turn accurate observations over a longer period of time and by being con-
angles repeatedly. The land development surveyor will en- scious of how it can affect angular measurements. In peri-

CONTROL SURVEYS
F IGURE 14.2 Accuracy and precision for a bull’s-eye and the relationship to measurements.
ods of low or no wind, care must be exercised due to the sure, and away from lower temperature and towards higher
creation of air bubbles, or air strata of differing density. Air temperature. Making observations at night can alleviate re-
strata are generally of greater density near the ground and fraction caused by heatwaves (shimmer).
lie roughly parallel with it. Over sloping terrain these strata
of different densities are not horizontal and a ray of light Random Errors
passing through them will be bent horizontally as well as Most random errors are caused by a surveyor’s inability to
vertically. A line of sight passing near a building or a tree aim an instrument correctly, read angles or measure dis-
may suffer a change in horizontal direction. Likewise, a line tances accurately. Unlike systematic errors, which can be
of sight passing close to the ground may suffer a change in corrected, random errors have magnitudes and signs that
vertical direction. The nearer the cause of the disturbance are unpredictable. The theory of probability states that ran-
to the observer, the greater the angular distortion. A line of dom errors tend both to be small and to distribute them-
sight that passes over cool areas and then hot areas will selves equally on both sides of the true value. That is,
bend. Similarly, a line that passes over a body of water is random errors will manifest themselves as observations that
likely to incur horizontal refraction. Refraction will cause a are greater (plus) and lesser (minus) than the true value. It
light ray to bend away from low density and towards high can be shown that, given a sufficient number of observa-
density, away from lower pressure and towards higher pres- tions, random errors will follow predictable mathematical

CONTROL SURVEYS
rules. These errors can be plotted on a graph and will nor-

mally fall within the familiar bell-shaped curve, known as
a probability curve. If the observations are plotted on a bar
graph, known as a histogram, the resulting bars from the
graph will approximate the probability curve (see Figure
14.3). Properties of this curve, also known as the normal
distribution curve, can be described by mathematical para-
meters.
Probability Theory
The average, or most probable value, of these readings is
obtained by simply adding them up and dividing by the
number of readings. This is known as the arithmetic mean.
After systematic errors and blunders are removed, the ar-
ithmetic mean is accepted as being the most probable (or F IGURE 1 4 . 4 The residual is the difference between the most
true) value. If the readings represent a valid sample, the probable value and the actual reading.
observations will fall on both sides of the mean. That is,
some will be greater than the mean and some will be less.
The variances, i.e., the mathematical difference between the EXAMPLE Twenty-five reading and pointing ob-
measured value and the mean, are known as the residuals servations made with a Wild T-2 (all readings are in
(see Figure 14.4). seconds) are listed in Table 14.1. In the example, the
The term used to define the plus or minus uncertainty term for the readings is x and the term ⌺x is the sum
in a measurement is standard deviation or standard error. of all the measurements and n is the total number of
These terms are used to express the accuracy of a group of measurements.
measurements or the accuracy of a piece of equipment. The first step is to determine the mean by dividing
They are used for two reasons: (1) to analyze measurements the sum of the readings by the total number, or in
to see if they meet the specification requirements and (2) this case, ⌺x ⫽ 1130.6/25 ⫽ 45.2. The second step
to establish procedures and specifications to ensure that the is to determine the residuals by subtracting each read-
work will meet the anticipated standard. ing from the mean, observing the signs. For example,
The equation for the standard error is the residual for observation #1 would be 45.2 ⫺
(⫹46.7) ⫽ ⫹1.5. The third step is to square each of
冪n⌺v⫺ 1
2
the residuals and then sum the squared values. For
␴⫽Ⳳ (14.1)
the example, ⌺v2 equals 41.88. By inserting these val-
ues into the formula, it can be seen that the standard
where ␴ equals standard error, ⌺v2 equals the sum of the error for any single observation equals Ⳳ1.32 sec-
residuals squared, and n ⫺ 1 equals the number of obser- onds. It is important to remember that this formula
vations minus one. It can be said, statistically, that any one applies to random errors and is true only if all sys-
observation has a 68.3% chance of falling within the range tematic errors and blunders have been removed from
of the mean Ⳳ␴. To illustrate this principle we will use the the sample. It can be seen that 17 (or 68%) of the
following example. observations fall within this range. Whereas the for-
mula for computing standard error applies to a single
observation, the following formula can be used to de-
termine the standard error of the mean.
␴
␴m ⫽ Ⳳ (14.2)
兹n
For the example, it can be seen that although the stan-

dard error for a single observation is Ⳳ1.32 seconds, the
standard error of the mean is Ⳳ0.26 seconds. This dem-
onstrates the principle that multiple observations should
produce a value that is closer to the truth. (Note: Some
textbooks define standard deviation by Eq. (14.1) and stan-
dard error by Eq. (14.2). For purposes of this discussion,
standard deviation and standard error are assumed to be
F IGURE 14.3 Histogram. defined by Eq. (14.1) and standard error of the mean to be

CONTROL SURVEYS
yond the scope of this chapter. For more information

T A B L E 1 4 . 1 Observations for
consult Buckner (1983). Although it would be unusual for
Example 1 twenty-five observations to be taken at a single setup, the
OBS. # x v v2 example provides a good illustration of statistical analysis.
Furthermore, the least squares adjustment to be discussed
1 46.7 ⫹1.5 2.25 under Least Squares effectively treats all the measurements
.....................................................
as a large sample and simultaneously applies the corrections
2 45.2 0.0 0.00
..................................................... for a best fit.
3 45.9 ⫹0.7 0.49 Figure 14.5 illustrates the different levels of probability.
..................................................... Even though the standard error derived by these formulas
4 45.2 0.0 0.00 is expressed as being 68.3%, surveys generally require a
.....................................................
higher degree of probability. Most surveys will require a
5 46.2 ⫹1.0 1.00 certainty or confidence level of 95% or 2␴, also known as
.....................................................
6 47.4 ⫹2.2 4.84 2 sigma. Depending on the circumstances, some surveys
..................................................... will require a 99% certainty (2.5␴) or even 99.7% which
7 43.0 ⫺2.2 4.84 is 3␴, known as 3 sigma (see Figure 14.5).
.....................................................
8 45.2 0.0 0.00 The Din Spec
.....................................................
9 43.2 ⫺2.0 4.00 Based on the knowledge of these specifications, instruments
..................................................... can be chosen that will meet the requirements. The speci-
10 44.2 ⫺1.0 1.00 fications will take into account the accuracy and precision
.....................................................
11 46.2 ⫹1.0 1.00 of a given instrument and specify the number of repetitions
..................................................... for each angle. Error budgets can be established that will
12 43.9 ⫺1.3 1.69 give the surveyor an idea, based on statistical knowledge,
..................................................... of the type of instrument necessary to meet a certain spec-
13 46.7 ⫹1.5 2.25 ification and the procedures that must be followed to
.....................................................
14 43.0 ⫺2.2 4.84 achieve the desired result. As mentioned earlier, the DIN
..................................................... spec relies on specific procedures, including the number of
15 46.2 ⫹1.0 1.00 targets to be sighted and advancing the circle between sets,
..................................................... etc., to establish the accuracy of a given instrument. The
16 44.1 ⫺1.1 1.21 result of these procedures is the standard error of the mean
.....................................................
17 45.7 ⫹0.5 0.25 of a pair of face I (direct) and face II (reverse) readings to
..................................................... a single target. If the surveyor wishes to work with angles
18 46.2 ⫹1.0 1.00 as opposed to directions, the manufacturer’s stated standard
..................................................... error should be multiplied by 兹2. This is the recom-
19 45.3 ⫹0.1 0.01 mended NGS procedure and is stipulated because angles
.....................................................
20 44.3 ⫺0.9 0.81 are the un-correlated result of the subtraction of directions.
.....................................................
21 44.7 ⫺0.5 0.25
.....................................................
22 45.7 ⫹0.5 0.25
.....................................................
23 43.2 ⫺2.0 4.00
.....................................................
24 47.3 ⫹2.1 4.41
.....................................................
25 45.9 ⫹0.7 0.49
⌺x⫽ 1130.6 ⌺v 2 ⫽ 41.88
defined by Eq. (14.2).) The standard error of the mean can

be used to select an instrument capable of producing the
required accuracy. It can also be used to determine the
number of observations (repetitions) that will be required
to achieve a given certainty in the measurements. The es-
tablishment of specifications for a particular standard is be- F IGURE 14.5 Levels of probability.

CONTROL SURVEYS
ACSM Classification and Specifications for 3. To determine the accuracy of each individual hori-
Cadastral Surveys zontal position
The previously mentioned ALTA/ACSM Classification and
Different philosophies exist within the surveying com-
Specifications for Cadastral Surveys were developed at the
munity concerning the need for horizontal adjustments.
99% (3␴) confidence level and were based on an attempt
Some say that because today’s instruments are so accurate
to equate angular precision with distance measurement pre-
and precise, no adjustments are needed. Certainly the ad-
cision. For an urban class survey, the normal 1:15,000 trav-
vent of EDMs removed one of the largest sources of hori-
erse closure was multiplied by 3 to arrive at the 3␴ level
zontal error. Likewise, the introduction of the self-leveling
and rounded off to 1:50,000. Furthermore, this specifica-
level eliminated most of the vertical errors caused by mis-
tion dictates that no instrument with an estimated reading
leveled instruments. With increase in property values, the
greater than 6 in. may be used. The specification takes into
three reasons stated above become increasingly important
account instrument and target miscentering and reading
to ensure that a mathematically sound strategy for traverse
and pointing errors. Obviously designed for optical instru-
adjustment exists.
ments, the specification does not apply towards the use of
If the traverse consists of a simple loop, the horizontal
total stations, which are, in effect, self-reading. Also in-
misclosure is small, there is no desire to be closer to the
cluded are similar error sources for EDMs. The document
truth, and the value of the accuracy for horizontal position
states that
is not desired, a case can be made for not making an ad-
Once the [required] closures were determined, angular and justment. However, most traverse control for land devel-
distance measurement precisions of equal weight were com- opment projects consists of multiple cross-loops within the
puted. Finally, with the instrumental precisions established, main loop for either data gathering or construction layout.
the procedures for observation were derived using normally Any surveyor who has attempted to compute traverse clo-
distributed statistics. The number of positions for each type sures to fit cross-loops into a main traverse loop can testify
of instrument and survey class were determined by dividing to the difficulty of achieving good closures. Once again, this
the angular standard error root mean square by the square is usually due to the random errors in both the main loop
root of the number of repetitions required to reduce the
and the cross-loops.
standard error root mean square to a value equal to or less
than the angular precision specified for each survey class.
Angular Adjustment
As stated above, this specification has proved to be very For traverses, the traditional adjustment process contains
controversial, but has a sound statistical basis if it can be two steps, angular and linear adjustments. A closed tra-
agreed that these types of surveys should be performed at verse, by definition, is one that closes upon itself or on a
the 3 sigma (99.7%) level of accuracy. line of known azimuth or bearing. Because traverse misclo-
sures manifest themselves as both angular and linear mis-
ADJUSTMENTS closures, most surveyors start the adjustment process by
As stated above, the inevitability of errors in surveying mea- apportioning the angular misclosure. For a traverse that
surements requires a means to eliminate them. As we have closes upon an external reference of known azimuth or
seen, random errors should follow a predictable pattern and bearing, the angular error equals the observed azimuth or
surveyors can use adjustments to remove these errors from bearing minus the known azimuth or bearing. For a traverse
the control network. If measurements are carefully made that closes upon itself, the angular error is determined by
and if systematic errors are removed by calibrating the the following formula: the sum of the interior angles equals
equipment and employing correct methods and procedures, (n ⫺ 2)180⬚, where n equals the number of traverse angles
the resulting random errors reveal themselves as angular in the loop. As an illustration, the sum of a five angle tra-
and linear misclosures. If the misclosures are within toler- verse equals 540⬚02⬘. The formula states that the sum
ance, customary practice dictates that adjusting the original should be 540⬚. Therefore, the angular misclosure equals
observations the removal of these misclosures will cause the 02⬘.
work to mathematically close upon itself. This formula is commonly used by field personnel to
check their angular closure before leaving the field to ensure
Horizontal Adjustments that their angular measurements do not contain a blunder.
Adjustments of this type are made by surveyors for any or Intuitively, it can be seen that if the sum of the angles in
all of the following three reasons: the above example equaled 550⬚02⬘, it would be possible
for one of the angles to contain a 10⬚ blunder, with the
1. To distribute errors so that the measurements will
other 02⬘ resulting from random errors distributed through-
mathematically close
out the traverse. Most surveyors divide the amount of an-
2. To arrive at a set of horizontal positions that are gular misclosure by the number of setups and then equally
closer to the truth proportion this amount to each angle. This is referred to as

CONTROL SURVEYS
balancing the angles. As stated above, this method provides Traditional Methods of Adjustment
no assurance that the errors are being properly assigned, Traditionally, surveyors have made traverse adjustments us-
but nevertheless it is commonly used. Furthermore, it ing the arbitrary method, the compass rule, the transit rule,
makes no provision for error relative to the geometry of the or the Crandall method. As the name implies, the arbitrary
traverse, such as the fact that short traverse legs contain method allows the surveyor to adjust the traverse by dis-
more angular error. tributing the angular and/or linear errors among the setups
where he or she feels they were most likely to have oc-
Error of Closure
curred. For instance, if a portion of a traverse consists of
Since the advent of modern computers, traverses are com- good setup conditions, that is, good angular geometry, and
puted using coordinates as opposed to latitudes and de- long and clear sight distances, and a portion of the traverse
partures. The reciprocal of the amount of linear misclosure is down a creek with short backsight and foresight distances
divided by the length of the traverse is called the error of or other poor setup conditions, the surveyor, using discre-
closure and is stated as a ratio. For example, if the linear tion, can distribute the misclosure errors by adjusting the
misclosure of a traverse is 0.484 ft and the length of the observations where he or she feels the errors were most
traverse is 9,551.45 ft, the error of closure will be expressed likely to have occurred. In this case, adjustments are made
as 1/0.00005, or approximately 1:19,740. This is com- to the setups along the creek. Many surveyors favor this
monly stated as 1 in 19,740 or 1 part in 19,740 parts. method because it allows for the use of professional judg-
Simply stated, this means that, due to the accuracy with ment. Even so, it does not provide any assurance that the
which the traverse was performed, if the traverse were corrections were applied to the needed stations. But under
20,000 ft in length, there would be a horizontal error of some conditions this can be the correct method.
1 ft.
Before any angular corrections are applied, the traverse The Transit Rule
should be run up (computed) to determine the amount of
The transit rule, like the compass rule, applies proportional
linear misclosure. If the distribution of the angular errors
adjustments and is theoretically better for surveys where
causes the linear misclosure to increase, then the angles
angles are measured with greater accuracy than distances,
should not be balanced but rather adjusted by one of the
such as stadia surveys. The adjustment is preferred by some
following methods to remove the misclosure. Consider the
surveyors because it does not change the directions of east-
following hypothetical traverse (Table 14.2) using angles
west and north-south lines. However, it is seldom used be-
turned to the right:
cause it is only valid when the traverse lines are parallel
This traverse contains an angular misclosure of 39ⴖ. If
with the grid system used for the traverse computations,
the angles are balanced proportionately, i.e., 13ⴖ per station,
and thus different results can be obtained for every possible
the traverse closure would be approximately 1:19,740. If,
meridian.
however, the angles are not balanced before the closure is
computed, the closing line would be 0.194 ft and the tra-
The Crandall Method
verse closure would rise to approximately 1:49,300. A bet-
ter course of action in this example, which suffers from The Crandall method, proposed by Professor Charles L.
poor angular geometry and does not even meet third-order Crandall in 1912, uses a nonrigorous least squares formula
Class II angular closure requirements, would be to examine and relies on probability theory to determine the most
the fieldwork for blunders because the difference between probable lengths of the traverse legs after the angular mis-
balanced and nonbalanced closures indicates that some- closure has been removed. The adjusted angles are then
thing is probably wrong with the fieldwork. held fixed and all the corrections are applied to the traverse
lengths. Because the assumption is made that each angle
was measured with equal precision, angle balancing is usu-
ally performed on an equal basis for each traverse angle.
TABLE 14.2 Hypothetical Traverse This adjustment does not acknowledge that the accuracy of
bearings derived from these adjusted angles is not constant.
Reference Azimuth ⫽ NORTH
Also, because of the previously discussed desirability of be-
Trav. station 1-2 293⬚ 50⬘ 12ⴖ ing able to place the error correction at the point where it
..................................................... is most likely to have occurred, the Crandall method is not
Trav station 2-3 356⬚ 59⬘ 50ⴖ a preferred method of adjustment.
.....................................................
Trav station 3-1 249⬚ 09⬘ 19ⴖ
..................................................... The Compass Rule
Closing line: 0.484 feet By far the most common traverse adjustment in use is the
.....................................................
compass or Bowditch method. Proposed by Nathaniel Bow-
Total dist. traversed: 9551.45 feet
ditch in 1908, the compass method assumes that angles and

CONTROL SURVEYS
distances are equally accurate and applies proportional cor- error equally to each turning point along the level run.
rections based on the length of each traverse leg. The for- However, the best method of adjustment requires knowl-
mula is stated as edge of the distances between each turn. For this reason,
the three-wire level procedure, because it supplies these dis-
Correction to northing coordinate (14.3) tances through the use of stadia intercepts, is the easiest to
⫽ 冉distance from the starting stations

total length of traverse 冊 adjust. The formula is
Correction to each turn point (14.5)

⫻ total error in northing closure
and
⫽ 冉distance from the start
total loop distance 冊
Correction to easting coordinate (14.4) ⫻ total vertical misclosure
⫽ 冉distance from the starting stations

total length of traverse 冊 The following level loop with a source benchmark ele-
vation of 500.00 will illustrate this principle
As with the traverse adjustment shown in Table 14.3,
⫻ total error in easting closure note that the misclosure is positive in value, thereby re-
using the hypothetical traverse from the error of closure quiring that each individual correction be subtracted from
section above (angle convention ⫽ backsight-occupied the unadjusted (or observed) elevations. Also note that this
station-foresight) (see Table 14.3). example does not meet third-order vertical closure require-
The object of the adjustment is to apply the corrections ments, which state that the allowable error shall not be
(observing the signs) in such a manner as to cause the end- more than 0.05 ft in one mile.
ing coordinate values to be the same as the beginning co-
ordinate values. It can be seen that both the easting LEAST SQUARES
misclosure and the northing misclosure are negative, that Throughout this chapter, reference has been made to the
is, the ending northing and easting coordinates are south fact that most traditional methods of adjustment rely on
of the beginning northing and easting coordinates. There- equal proportioning or intuition or experience to remove
fore, the individual corrections for both the easting and the inevitable errors that result from survey measurements.
northing coordinates are positive and would be applied as However, a better way exists, and thanks to powerful and
shown in Table 14.4. Note the accumulation of the traverse affordable personal computers and, more importantly, easy-
distances from the starting station. to-use and affordable software, there is no reason why the
land development surveyor cannot make use of least
Vertical Adjustments squares adjustments. It is beyond the scope of this chapter
Much as with horizontal adjustments, the most common to cover the complex mathematics involved in least squares.
method of adjusting level loops is to proportion the closing Suffice it to say, however, that with a rudimentary under-
TABLE 14.3 Data for Compass Rule Adjustment

STATION ANGLE RIGHT HORIZONTAL DIST. NORTHING EASTING
1 10,000.000 10,000,000
.....................................................................................................................
3-1-2 293⬚50⬘12ⴖ 4,694.20 11,897.069 5,706.213
.....................................................................................................................
1-2-3 356⬚59⬘50ⴖ 4,593.96 10,263.183 9,999.795
.....................................................................................................................
2-3-1 249⬚09⬘19ⴖ 263.30 9,999.884 9,999.845
.....................................................................................................................
Angular Error ⫽ 39ⴖ (angles not balanced)
Linear Error ⫽ 0.194
Northing closure error ⫽ ⫺0.116
Easting closure error ⫽ ⫺0.155
Distance traversed ⫽ 9,551.46 feet
Closure ratio ⫽ 1:49,300Ⳳ

CONTROL SURVEYS
TABLE 14.4 Traverse Corrections Using the Compass Rule

STATION DISTANCE N. CORRECTION E. CORRECTION ADJUSTED N. ADJUSTED E.
Station 2 4,694.20 ⫹0.057 ⫹0.076 11,897.126 5,706.289

.....................................................................................................................
Station 3 9,288.16 ⫹0.113 ⫹0.151 10,263.296 9,999.946
.....................................................................................................................
Station 1 9,551.46 ⫹0.116 ⫹0.155 10,000.000 10,000.000
standing of the workings of the adjustment and the answers Accuracy and precision should be the ultimate goal. While
it provides, any surveyor can be trained in its use. the compass method often introduces needless error, least
For many years, surveyors have repeatedly heard about squares allows statistical adjustment, thereby providing the
the desirability of using the least squares adjustment best possible estimate of the true position of the points
method. Yet very few practicing surveyors are actually using located, provided the blunders and systematic errors have
the method for everyday surveying. Besides being a superior been removed.
adjustment method, least squares will allow the simulta- Even though the compass method has emerged as the
neous adjustment of multiple loop traverses. This is a long- most popular adjustment method for horizontal misclos-
desired capability. In addition, it provides a statistical ures, it is highly unlikely that angular and distance errors
measure of accuracy based on positional tolerance that will occur in an equally proportionate manner throughout
some believe is preferable to classifying a survey by closure a network. Most surveyors do not attempt to distribute an-
accuracy. As the surveying community moves into the era gular or distance misclosure based on knowledge of field
of satellite surveying, it has become apparent that it will conditions. Rather, they simply ‘‘hit the compass button and
have to learn how to use least squares and a minimal go with the results.’’ Consequently, when they return to the
amount of the rudiments of the statistical theory that goes field to perform stakeout, the angles and distances derived
along with the method. by the adjustment do not match the original angles or dis-
True least squares for all the data (loops and cross-loops tances.
simultaneously) works by deriving a solution that mini- Traverses that contain more than one loop also present
mizes the sum of the squares of the residuals. It does this major problems when the compass method is used. Invar-
by minimizing the variation between the field observations iably, the cross-loops do not fit well with the main network,
and the final adjustment. It also allows the surveyor to com- leaving the surveyor no choice but to force the cross-loop
bine the known accuracy of the instrument and EDM with to fit the main network. This introduces a large amount of
the field conditions that existed when the measurements error into the cross-loop and causes the field people to lose
were taken. Least squares will then use this information to confidence in their control. The obvious intent should be
provide an adjustment that closely reflects the actual posi- to perform an adjustment that makes the smallest possible
tion of the located points, all the while adjusting the changes to the angle and distance measurements, preserving
coordinates the absolute minimum amount necessary. the surveyor’s original observations as much as possible.
TABLE 14.5
DISTANCE
FROM
STATION ELEVATION OBSERVED ELEV. START CORRECTION ADJ. ELEVATION
B.M. 500.00
.....................................................................................................................
T.P. 505.15 2000 feet ⫺0.028 505.122
.....................................................................................................................
T.P. 511.23 3500 feet ⫺0.049 511.181
.....................................................................................................................
T.P. 502.87 4500 feet ⫺0.063 502.807
.....................................................................................................................
B.M. 500.07 5000 feet ⫺0.07 500.00
.....................................................................................................................
Misclosure ⫹0.07

CONTROL SURVEYS
Classification of a traverse by closure is fine for an indica- user if he or she is doing more work than necessary to
tion of the accuracy of the traverse as a whole, but it will achieve the desired level of accuracy.
not indicate where the traverse points really lie or what Another powerful feature is blunder detection. Least
could be done to improve the traverse. squares software will analyze the data from the traverse and
Least squares will provide a superior adjustment based detect possible blunders. In the event a survey fails to meet
upon a statistical analysis of the data and varying the co- the minimum requirements for accuracy, this feature alone
ordinate values the least amount, resulting in a best fit of will indicate the stations where the blunders in measure-
the data. It is hoped that the preceding sections have ade- ment most likely occurred. Because the program makes a
quately presented the concept of the probability curve and simultaneous adjustment and all of the stations are inter-
that the reader understands the concept of having a certain related, it might tell the user to look at a station that is one
level of confidence that their measurements will fall some- or two traverse points away from the real culprit. How
where within that curve. The preceding sections should many times has a surveyor gone back to the field to re-turn
have also brought about an understanding that to achieve angles, not having the slightest idea where the angle bust
a higher level of confidence in where the objects being lo- occurred? Even the technique of using the perpendicular
cated really are, the surveyor must use a more accurate bisector of the closing line does not always indicate where
piece of equipment or employ more precise procedures to the error lies.
gather the measurements. The 1962 ALTA/ACSM Minimum Standard Detail Require-
Least squares will provide positional tolerance informa- ments called for the surveyor to make a statement regarding
tion based on a 95% confidence level. This means that the the positional tolerance of his work. The 1986, 1988, and
surveyor can say, with a 95% level of certainty, that the 1992 standards removed this requirement and reverted to
points he or she has located fall within an ellipse of certain classifying surveys by closure and procedure. As stated
dimensions. With traditional adjustment techniques, the above, classification by closure is fine as an indication of
surveyor has no idea where the points he has located ac- the accuracy of the traverse as a whole, but it does not
tually are. This is why cross-loops do not fit. indicate where the errors lie, nor does it give any idea of
If a surveyor wishes to use the manufacturer’s specifi- the relative accuracy of any one point. Least squares, be-
cations for the plus or minus uncertainty in the mean of a cause it determines error ellipses, gives such an idea of each
direct and reverse measurement, he or she can do so. But point.
if the surveyor wishes to change the weights (confidence) Furthermore, for the reasons discussed above, the new
based on his or her knowledge of actual field conditions, requirements make the recommendation that EDMs not be
the program will allow it. An example of a situation where used on urban class surveys for obtaining distances under
the surveyor would want to weight an angle measurement 81 m (266Ⳳ ft). Again, this recommendation is based on
might be the case of a poor (unstable) setup, a short back- the knowledge that statistically, every measurement that an
sight, objects on line that might bend the line of sight, or EDM makes is going to have a plus or minus error based
other field conditions that the surveyor would know about on the accuracy of the EDM and the length of the shot. Is
that would cause a particular measurement to be less ac- it probable that surveyors will not use their EDMs when
curate than others. they believe that, even with the stated uncertainty of the
Redundant measurements to the same point from differ- measurement, an EDM distance is superior to a hand-
ent setups will result in the most accurate adjustment. To chained distance? Incidentally, the standards do not allow
take full advantage of this feature would require a funda- hand-chained distances if they are under 20 m (66Ⳳ ft).
mental change in the manner in which surveys are per- Some believe that the reason the requirement for a state-
formed. Instead of simply establishing traverse points so ment of positional tolerance was removed was because sur-
that the backsight and the foresight can be seen, the proper veyors did not understand how the method of least squares
use of least squares will encourage these points to be placed worked and therefore were uncertain about using an ad-
in such a way as to allow maximum intervisibility between justment procedure. Could these be the same surveyors
all setup points. The redundancy provided by more obser- who never give a thought to applying angular and distance
vations will result in a better solution. corrections to their traverses based on their knowledge of
Least squares provides two additional tools for the sur- field conditions, but rather simply hit the ‘‘go’’ button? Do
veyor. The preanalysis option will allow the user to input these surveyors really understand how their EDM works?
approximate coordinates of the proposed traverse stations. If not, does this lack of understanding prevent them from
The program will then suggest additional stations and/or using their EDMs?
measurements that will result in a stronger, more accurate As the use of total stations for surveys becomes more
network. These approximate coordinates can be digitized prevalent, the use of these instruments to perform simul-
from a quad sheet or other map or derived by scaling and taneous horizontal and vertical surveys will increase. NGS
protracting. The preanalysis option will detect geometric has pioneered the use of total stations to perform first-order
weaknesses in the proposed traverse. It will even tell the level loops, and even the less precise total stations will pro-

TABLE 14.6-a Standards for the Classification of Geodetic Control and Principal Recommended Uses
HORIZONTAL CONTROL
CLASSIFICATION FIRST-ORDER SECOND-ORDER THIRD-ORDER
CLASS I CLASS II CLASS I CLASS II
Relative accuracy between directly 1 part in 100,000 1 part in 50,000 1 part in 20,000 1 part in 10,000 1 part in 5,000
connected adjacent points (at least)
......................................................................................................................................................................
Recommended uses Primary Nartional Network. Metropolitan Area Area control which Area control which General control surveys referenced to the National
Surveys. Scientific Studies strengthens the National contributes to, but is Network. Local control surveys.
Network. Subsidiary supplemental to, the
metropolitan control. National Network.
VERTICAL CONTROL

CONTROL SURVEYS
Relative accuracy between directly 0.5 mm 兹K 0.7 mm 兹K 1.0 mm 兹K 1.3 mm 兹K 2.0 mm 兹K

connected points or benchmarks
(standard error) (K is the distance in kilometers between points.)
......................................................................................................................................................................
Recommended uses Basic framework of the National Network and Secondary framework of Densification within the Small-scale topographic mapping.
metropolitan area control. the National Network and National Network. Establishing gradients in mountainous areas.
Regional crustal movement studies. metropolitan area control. Rapid subsidence studies. Small engineering projects.

Extensive engineering projects. Local crustal movement Local engineering May or may not be adjusted to the National Network.

Support for subsidiary surveys. studies. projects.
Large engineering Topographic mapping.
projects.
Tidal boundary reference.

Support for lower order
surveys.
259
260
TABLE 14.6-b Classification, Standards of Accuracy, and General Specifications for Vertical Control
FIRST-ORDER SECOND-ORDER THIRD-ORDER
CLASSIFICATION CLASS I, CLASS II CLASS I CLASS II
Principal uses Basic framework of the National Secondary control of the National Control densification, usually Miscellaneous local control may not
Minimum standards; higher Network and of metropolitan area Network and of metropolitan area adjusted to the National Net. Local be adjusted to the National Network.
CONTROL SURVEYS
accuracies may be used for control control engineering projects Topographic Small engineering projects
special purposes Estensive engineering projects Large engineering projects mapping Small-scale topo. mapping
Regional crustal movement Local crustal movement and Studies of rapid subsidence Drainage studies and gradient
investigations subsidence investigations Support for local surveys establishment in mountainous areas
Determining geopotential values Support for lower-order control
......................................................................................................................................................................

Recommended spacing of lines Net A; 100 to 300 km Secondary Net; 20 to 50 km Area Control; 10 to 25 km As needed

National Network Class I
Net B; 50 to 100 km
Class II
Metropolitan control; other 2 to 8 km 0.5 to 1 km As needed As needed

purposes As needed As needed As needed As needed
Spacing of marks along lines 1 to 3 km 1 to 3 km Not more than 3 km Not more than 3 km
......................................................................................................................................................................
Gravity requirement* 0.20 ⫻ 10⫺3 gpu .................... .................... ....................
......................................................................................................................................................................
Instrument standards Automatic or tilting levels with Automatic or tilting levels with Geodetic levels and invar scale rods Geodetic levels and rods
parallel plate micrometers; invar optical micrometers or three-wire
scale rods levels; invar scale rods
......................................................................................................................................................................
Field procedures Double-run; forward and backward, Double-run; forward and backward, Double- or single-run Double- or single-run
each section each section
Section length 1 to 2 km 1 to 2 km 1 to 3 km for double-run 1 to 3 km for double-run
Maximum length of sight 50 m Class I; 60 m Class II 60 m 70 m 90 m
......................................................................................................................................................................
Field procedures†
Max. difference in lengths
Forward & backward sights 2 m Class I; 5 m Class II 5m 10 m 10 m
per setup
per section (cumulative) 4 m Class I; 10 m Class II 10 m 10 m 10 m
Max. length of line Net A; 300 km 50 km double-run 25 km double-run
between connections Net B; 100 km 50 km 25 km single-run 10 km single-run
......................................................................................................................................................................
Maximum closures‡
Section; fwd. and bkwd. 3 mm 兹K Class I; 6 mm 兹K 8 mm 兹K 12 mm 兹K
4 mm 兹K Class II
Loop or line 4 mm 兹K Class I; 6 mm 兹K 8 mm 兹K 12 mm 兹K
5 mm 兹K Class II
*See text for discussion of instruments.

†The maximum length of line between connections may be increased to 100 km for double run for Second-Order, Class II, and to 50 km for double run for Third-Order in those areas where the First-Order control has not been
fully established.
‡Check between forward and backward runnings were K is the distance in kilometers.
CONTROL SURVEYS

261
262
TABLE 14.6-c Traverse
TRAVERSE
Recommended spacing of principal Principal stations seldom less than

Network stations 10–15 km Principal stations seldom less than Seldom less than 0.1 km in tertiary
stations 4 km except in metropolitan area
Other surveys seldom less than 3 2 km except in metropolitan area surveys in metropolitan area surveys. As
km. surveys where the limitaition is 0.3 surveys where the limitation is 0.2 required for other surveys.
km. km.
......................................................................................................................................................................
Horizontal directions or angles2
Instrument 0ⴖ.2 0ⴖ.2 1ⴖ.0 0ⴖ.2 1ⴖ.0 1ⴖ.0 1ⴖ.0
Number of observations 16 8 or 12* 6 or 8* 4 2ⴖ
Rejection limit from mean 4ⴖ 4ⴖ 冧冦 5ⴖ 4ⴖ 冧冦 5ⴖ 5ⴖ 5ⴖ
......................................................................................................................................................................
Length measurements
Standard error1 1 part in 600,000 1 part in 300,000 1 part in 120,000 1 part in 60,000 1 part in 30,000
......................................................................................................................................................................
Reciprocal vertical angle
observations 4
Number of and spread between 3 D R—10ⴖ 3 D / R—10ⴖ 2 D / R—10ⴖ 2 D / R—10ⴖ 2 D / R—20ⴖ
observations
Number of stations between 4–6 6–8 8–10 10–15 15–20
known elevations
CONTROL SURVEYS
......................................................................................................................................................................
Astro azimuths
Number of courses between 5–6 10–12 15–20 20–25 30–40
azimuth checks7
No. of obs./night 16 16 12 8 4
No. of nights 2 2 1 1 1

Standard error 0ⴖ.45 0ⴖ.45 1ⴖ.5 3ⴖ.0 8ⴖ.0

......................................................................................................................................................................
Azimuth closure at azimuth check 1ⴖ.0 per station or 2ⴖ 兹N 1ⴖ.5 per station of 3ⴖ 兹N. 2ⴖ.0 per station or 6ⴖ 兹N. 3ⴖ.0 per station or 8ⴖ per station or
point not to exceed8 Metropolitan area surveys seldom to Metropolitan area surveys seldom to 10ⴖ 兹N. Metro- 30ⴖ 兹N
exceed 2ⴖ.0 per station or 3ⴖ 兹N exceed 4ⴖ.0 per station or 8ⴖ 兹N politan area

surveys
seldom to exceed
6ⴖ.0 per station or
15ⴖ 兹N
......................................................................................................................................................................
Position closure 5,8 0.04 m 兹K or 1:100,000 0.08 m 兹K or 1:50,000 0.2m 兹K or 1:20,000 0.4m 兹K or 0.8m 兹K or
after azimuth adjustment 1:10,000 1:5,000
*May be reduced to 8 and 4, respectively, in metropolitan areas.

CONTROL SURVEYS
vide enough accuracy for triglevels to aerial targets and cer- The weight of an observation can be thought of as a
tain construction layout tasks. With this increased use measure of its precision. More precise measurements have
comes a need for a method to adjust both the horizontal larger weights and will have more influence in the adjust-
and vertical measurements of any traverse, applying the ment. Generally, observations with smaller weights will be
same statistically proven adjustment techniques to both. allowed to change more, that is, given larger residuals by
Level circuits containing multiple loops can be easily ad- the adjustment. As discussed above under Adjustments, the
justed by least squares. The user can assign different user can assign weights to the observations or make the
weights (standard errors), thus allowing the leveling of ob- assumption that all observations are equal with respect to
servations of varying accuracies to be simultaneously ad- their accuracy. Because the program will render an adjust-
justed, as would happen if measurement were collected by ment regardless of the input values, many users will hold
different equipment at different times. The program will the coordinates for two points (or one point and an azi-
work with distances between turns or the number of turns muth) fixed and run what is called a minimally constrained
to assign weights automatically. adjustment. This trial adjustment can aid the user in iden-
Although the reputation of least squares may seem in- tifying blunders in the observation. Next the user can fix
timidating, the software removes the necessity for the sur- the values for all points or azimuths that are to be held
veyor to understand all of the complex aspects of the fixed and rerun the adjustment. Remember that this is the
program. Simply inputting the same data as always will al- opportunity for the surveyor to express his or her level of
low a superior adjustment to be obtained. And if the sur- confidence in the measurements by weighing the observa-
veyor fully utilizes the capabilities of the method, field tions. Most users assume that all observations are equal in
techniques can be learned that will result in higher-quality accuracy and allow the program to use the default values
surveys. for weighing.
The user can control the number of iterations the pro-
A Typical Least Squares Adjustment2 gram uses to perform the adjustment by specifying the con-
Under Adjustment Options, the user can select the type of vergence limit. If the change in the total sum of the squares
adjustment desired, e.g., data check, full adjustment, blun- of the standardized residuals is less than this convergence
der detect, etc. The user can also select whether the net- limit, the adjustment is said to have converged, and itera-
work is 2D or 3D. One of the most powerful features of tions will stop.
the program is its ability to handle state plane coordinates. After the adjustment has run, the user is presented with
The user can input the state number and zone, an average a statistical summary containing some of the most useful
project elevation (or elevations, fixed or free, at each tra- and important information about the adjustment. The total
verse station), and the geoid separation value. The geoid number of observations defines the number of condition
separation value can be obtained from NGS or from the equations to be solved. All observations that have not been
NGS State Geodetic Advisor. Using this information, the fixed are considered to be free, i.e., adjustable. The number
program will automatically compute the combined scale of unknowns equals the number of adjustable coordinate
factor and process the input data. The field crew can use components. Each 2D station contributes two unknowns as
this combined scale factor when staking out, for instance, each 3D station contributes three. The degrees of freedom
by inputting the value into a data collector. The data col- equal the number of condition equations minus the number
lector can then apply the factor to each distance measure- of unknowns. Using the approach of giving the program all
ment, thereby saving time for the field crew. The program possible pieces of data, some users include every observa-
will accept local coordinate systems, NAD 27 or 83 Mer- tion in the input file, e.g., foresight and backsight distances
cator or Lambert state plane coordinates, and UTM coor- and foresight and backsight zenith angles. This approach
dinates. actually inflates the degrees of freedom that affect the chi-
The user next inputs the default standard errors for the squared test, and even though the final adjusted coordinates
equipment he or she is using. Many users simply input the will be the same, error propagation will be influenced, as
manufacturer’s stated accuracy for these values, e.g., 5 mm will the chi-squared test. The result of this approach is that
and 5 PPM for a standard EDM. As mentioned above under otherwise good surveys might fail the chi-squared test be-
Types and Sources of Error, if the input file consists of an- cause of too many degrees of freedom.
gles (as opposed to directions) then the NGS procedure of The next item the summary lists is the sum of the
multiplying the manufacturer’s stated accuracy by the 兹2 squares of the standardized residuals for each data type. The
should be used. This will establish the a priori (before- standardized (or normalized) residual is the result of divid-
adjustment) value for the observations and represents the ing the residual for each observation by its standard error.
user’s estimate of the accuracy of the equipment. This is done because although the residual is the variance
between the observed value and the value that best fits into
the network, the standardized residual takes into account
2
The software referred to is Star*Net, Starplus Software, Oakland, California. the geometry of the survey network. Because of this, it is a

CONTROL SURVEYS
good check for blunders. If the value is less than one, the The program also applies a test to the adjustment by
data type actually fits better than estimated results. If greater comparing the total error factor against the assumed value.
than one, it is a poor fit. Any value greater than three is This test, called the chi-squared test, checks the validity of
flagged as an indication that there is something wrong with the weighing observation. If this value is significantly
that data type. The next part of the summary lists the error greater than 1.0, then there is some problem with the ad-
factor for each measurement type. The error factors are af- justment, either a systematic error, a blunder, or weakness
fected by the number of observations and are a good in- of network geometry. The chi-squared test is performed at
dication of how well each data type fits into the adjustment. a 5% level of significance. This means that there is a 5%
The error factors should be roughly equal and should range chance that the adjustment will pass the test with a total
from 0.5 to 1.5. If one is much greater than another, then error factor that is greater than 1.0. If the value is signifi-
a problem could exist with that measurement type. Remem- cantly less than 1.0, then the input standard errors have
ber that unless the user weights measurements, the adjust- been overestimated. While this may not affect the final co-
ment will assume that the data types are equal in precision. ordinates, the result of the chi-squared test is an error prop-
Large error factors indicate an error in the input data, a agation in that portion of the adjustment and will increase
systematic error, or input standard errors that are unreal- the size of the error ellipses.
istically small. Also, because of the interconnection of sta- The error ellipses station represent the size of the ellipse
tions, a large error in one data type can influence the error for which there is a 95% certainty that the point actually
factor of others. If the user has established the input stan- lies. As indicated by the program, the semimajor and semi-
dard errors correctly and has no systematic errors or blun- minor values are ground dimensions across half of the el-
ders, the total error factor should be close to 1. This is lipse. The absolute dimensions provide a measure of
an indication of correct input data assumptions. The total positional accuracy. Points with larger ellipses are weaker
error factor is calculated by dividing the square root of the than those with smaller ellipses. The shapes and orientation
sum of the squares of the standardized residuals by the indicate how the network can be strengthened. An elon-
number of redundancies. The total error factor is also re- gated ellipse indicates that there is a larger error in one of
ferred to as the reference factor or the standard error of unit the coordinates for that station and that perhaps an addi-
weight. tional distance or angle measurement is needed to that sta-
TABLE 14.7 Excerpts from Standards and Specifications for Geodetic Control Networks
(FGCC 1984)
Traverse. Traverse is a measurement system comprised of The new survey is required to tie to a minimum number of
joined distance and theodolite observations supported by occasional network control points spaced well apart. These network points must
astronomic observations. Traverse is used to densify horizontal con- have datum values equivalent to or better than the intended order
trol. (and class) of the new survey. Whenever the distance between two
new unconnected survey points is less than 20 percent of the dis-
tance between those points traced along existing or new connec-
tions, then a direct connection must be made between those two
NETWORK GEOMETRY survey points. In addition, the survey should tie into any sufficiently
ORDER FIRST SECOND SECOND THIRD THIRD accurate network control points within the station spacing distance
CLASS I II I II of the survey. These ties must include EDM or taped distances.
Station spacing not less than Nonredundant geodetic connections to the network stations are not
(km). . . . . . . . . . . . . . . . . . . 10 4 2 0.5 0.5 considered sufficient ties. Nonredundantly determined stations are
...................................................... not allowed. Reciprocal vertical angles or geodetic leveling are ob-
Maximum deviation of main
traverse from straight line . . . 20⬚ 20⬚ 25⬚ 30⬚ 40⬚ served along all traverse lines.
......................................................
Minimum number of bench Instrumentation. Only properly maintained theodolites are ad-
mark ties . . . . . . . . . . . . . . . 2 2 2 2 2 equate for observing directions and azimuths for traverse. Only pre-
......................................................
Bench mark tie spacing not cisely marked targets, mounted stably on tripods or supported
more than (segments) . . . . . . 6 8 10 15 20 towers, should be employed. The target should have a clearly de-
...................................................... fined center, resolvable at the minimum control spacing. Optical
Astronomic azimuth spacing
not more than (segments) . . . 6 12 20 25 40
plummets or collimators are required to ensure that the theodolites
...................................................... and targets are centered over the marks. Microwave-type electronic
Minimum number of network distance measurement equipment is not sufficiently accurate for
control points . . . . . . . . . . . . 4 3 2 2 2
measuring first-order traverses.

CONTROL SURVEYS
TABLE 14.7 (Continued)
ORDER FIRST SECOND SECOND THIRD THIRD ORDER FIRST SECOND SECOND THIRD THIRD
CLASS I II I II CLASS I II I II
Theodolite, least count . . . . . . . . 0.2ⴖ 1.0ⴖ 1.0ⴖ 1.0ⴖ 1.0ⴖ Infrared Distances
Minimum number of measurements . . . 1 1 1 1 1
Minimum number of concentric
Calibration Procedures. Each year and whenever the differ- observations/measurement . . . . . . . . . . 1 1 1 1 1
......................................................
ence between direct and reverse readings of the theodolite depart Minimum number of offset
from 180⬚ by more than 30ⴖ, the instrument should be adjusted for observations/measurement . . . . . . . . . . 1 1 1‡ — —
collimation error. Readjustment of the cross hairs and the level Maximum difference from
bubble should be done whenever their misadjustments affect the mean of observations (mm) . . . . . . . . . 10 10 10‡ — —
instrument reading by the amount of the least count. Minimum number of readings/
observation. . . . . . . . . . . . . . . . . . . . . 10 10 10 10 10
All electronic distance measuring devices and retroreflectors Maximum difference from
should be serviced regularly and checked frequently over lines of mean of readings (mm) . . . . . . . . . . . . § § § § §
known distances. The National Geodetic Survey has established spe- ......................................................
Microwave Distances
cific calibration base lines for this purpose. EDM instruments should Minimum number of
be calibrated annually, and freqency checks made semiannually. measurements. . . . . . . . . . . . . . . . . . . — 1 1 1 1
Field Procedures. Theodolite observations for first-order and observations/measurement . . . . . . . . . . — 2** 1** 1** 1**
second-order, class I surveys may be made only at night. Electronic Maximum difference from mean of
distance measurements need a record at both ends of the line of observations (mm) . . . . . . . . . . . . . . . — 150 150 200 200
wet and dry bulb temperatures to Ⳳ1⬚C and barometric pressure Minimum number of readings/
to Ⳳ5 mm of mercury. The theodolite, EDM, and targets should observation. . . . . . . . . . . . . . . . . . . . . — 20 20 10 10
Maximum difference from
be centered to within 1 mm over the survey mark or eccentric point. mean of readings (mm) . . . . . . . . . . . . — § § § §
† 8 if 0.2ⴖ, 12 if 1.0ⴖ resolution.

ORDER FIRST SECOND SECOND THIRD THIRD * 6 if 0.2ⴖ, 8 if 1.0ⴖ resolution.
CLASS I II I II § as specified by manufacturer.
‡ only if decimal reading near 0 or high 9’s.
Directions ** carried out at both ends of the line.
Number of positions . . . . . . . . . . . . . . 16 8 or 12† 6 or 8* 4 2
Standard deviation of mean
not to exceed . . . . . . . . . . . . . . . . . . . 0.4ⴖ 0.5ⴖ 0.8ⴖ 1.2ⴖ 2.0ⴖ Measurements of astronomic latitude and longitude are not re-
Rejection limit from the mean . . . . . . . 4ⴖ 5ⴖ 5ⴖ 5ⴖ 5ⴖ quired in the United States, except perhaps for first-order work,
......................................................
because sufficient information for determining deflections of the ver-
Reciprocal Vertical Angles
(along distance sight path) tical exists. Detailed procedures can be found in Hoskinson and
Number of independent Duerksen (1952).
observations direct/reverse . . . . . . . . . . 3 3 2 2 2
Maximum spread . . . . . . . . . . . . . . . . 10ⴖ 10ⴖ 10ⴖ 10ⴖ 20ⴖ OFFICE PROCEDURES
Maximum time interval between
reciprocal angles (hr) . . . . . . . . . . . . . 1 1 1 1 1 ORDER FIRST SECOND SECOND THIRD THIRD
...................................................... CLASS I II I II
Astronomic Azimuths
Observations per night . . . . . . . . . . . . 16 16 12 8 4 Azimuth closure at
Number of nights . . . . . . . . . . . . . . . . 2 2 1 1 1 azimuth check point
Standard deviation of mean (seconds of arc) . . . 1.7 兹N 3.0 兹N 4.5 兹N 10.0 兹N 12.0 兹N
not to exceed . . . . . . . . . . . . . . . . . . . 0.45ⴖ 0.45ⴖ 0.6ⴖ 1.0ⴖ 1.7ⴖ ......................................................
Rejection limit from the mean . . . . . . . 5ⴖ 5ⴖ 5ⴖ 6ⴖ 6ⴖ Position closure . . . 0.04 兹K 0.08 兹K 0.20 兹K 0.40 兹K 0.80 兹K
......................................................
after azimuth . . . . . . or or or or or
Electro-Optical Distances
adjustment† . . . . . . 1:100,000 1:50,000 1:20,000 1:10,000 1:5,000
Minimum number of measurements . . . 1 1 1 1 1
(N is number of segments, K is route distance in km)
observations/measurement . . . . . . . . . . 1 1 1 1 1
† The expression containing the square root is designed for longer lines
Minimum number of offset
where higher proportional accuracy is required. Use the formula that gives the
observations/measurement . . . . . . . . . . 1 1 — — —
smallest permissible closure. The closure (e.g., 1:100,000) is obtained by
Maximum difference from
computing the difference between the computed and fixed values, and dividing
mean of observations (mm) . . . . . . . . . 60 60 — — —
this difference by K. Note: Do not confuse closure with distance accuracy of
Minimum number of readings/
the survey.
observation (or equivalent). . . . . . . . . . 10 10 10 10 10
Maximum difference from mean of Geodetic Leveling. Geodetic leveling is a measurement system
readings (mm) . . . . . . . . . . . . . . . . . . § § § § §
...................................................... comprised of elevation differences observed between nearby rods.
Leveling is used to extend vertical control.
CONTROL SURVEYS

NETWORK GEOMETRY DISTANCE, SURVEY MAXIMUM SPACING OF
ORDER FIRST FIRST SECOND SECOND THIRD TO NETWORK EXTRA CONNECTIONS (KM)
CLASS I II I II 0.5 km or less . . . . . . . . . . . . . . . . . 5

......................................................
Bench mark spacing not 0.5 km to 2.0 km . . . . . . . . . . . . . . . 10
......................................................
more than (km). . . . . . . . . . . . . . . . 3 3 3 3 3
...................................................... 2.0 km to 3.0 km . . . . . . . . . . . . . . 20
Average bench mark spacing
not more than (km). . . . . . . . . . . . . 1.6 1.6 1.6 3.0 3.0
INSTRUMENTATION
Line length between network
control points not more ORDER FIRST SECOND SECOND THIRD THIRD
than (km) . . . . . . . . . . . . . . . . . . . . 300 100 50 50 25 CLASS I II I II
(double-run)
25 10 Leveling Instrument
(single-run) Minimum repeatability of
line of sight . . . . . . . . . . . . . . . 0.00ⴖ 0.00ⴖ 0.00ⴖ 0.00ⴖ 0.00ⴖ
Leveling rod construction . . . . . . IDS† Wood or
IDS IDS or ISS ISS Metal
New surveys are required to tie to existing network bench marks ......................................................
at the beginning and end of the leveling line. These network bench Instrument and rod
marks must have an order (and class) equivalent to or better than resolution
the intended order (and class) of the new survey. First-order surveys (combined)
Least count (mm). . . . . . . . . . . . 0.1 0.1 0.5–1.0* 1.0 1.0
are required to perform check connections to a minimum of six
bench marks, three at each end. All other surveys require a mini- (IDS–Invar, double scale)
mum of four check connections, two at each end. ‘‘Check connec- (ISS–Invar, single scale)
tion’’ means that the observed elevation difference agrees with the † if optional micrometer is used.
adjusted elevation difference within the tolerance limit of the new * 1.0 mm if 3-wire method, 0.5 mm if optical micrometer.
survey. Checking the elevation difference between two bench marks
located on the same structure, or so close together that both may Only a compensator or tilting leveling instrument with an optical
have been affected by the same localized disturbance, is not con- micrometer should be used for first-order leveling. Leveling rods
sidered a proper check. In addition, the survey is required to connect should be one piece. Wooden or metal rods may be employed only
to any network control points within 3 km of its path. However, if for third-order work. A turning point consisting of a steel turning
the survey is run parallel to existing control, then the following table pin with a driving cap should be utilized. If a steel pin cannot be
specifies the maximum spacing of extra connections between the driven, then a turning plate (‘‘turtle’’) weighing at least 7 kg should
survey and the control. At least one extra connection should always be substituted. In situations allowing neither turning pins nor turning
be made. plates (sandy or marshy soils), a long wooden stake with a double-
headed nail should be driven to a firm depth.
CALIBRATION PROCEDURES
ORDER FIRST FIRST SECOND SECOND THIRD

CLASS I II I II
Leveling instrument
Maximum collimation error,
single line of sight (mm/m) . . . . . . . . . . 0.05 0.05 0.05 0.05 0.10
Maximum collimation error, reversible
compensator type instruments, mean of
two lines of sight (mm/m) . . . . . . . . . . . 0.02 0.02 0.02 0.02 0.04
Time interval between collimation
error determinations not
longer than (days)
Reversible compensator . . . . . . . . . . . 7 7 7 7 7
Other type. . . . . . . . . . . . . . . . . . . . . 1 1 1 1 7
Maximum angular difference
between two lines of sight,
reversible compensator. . . . . . . . . . . . . . 40ⴖ 40ⴖ 40ⴖ 40ⴖ 60ⴖ
......................................................................................................................

CONTROL SURVEYS
Order First First Second Second Third

Class I II I II
Leveling rod
Minimum scale calibration standard . . . . N N N M M
Time interval between scale calibrations
(yr) . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 1 — — —
Leveling rod bubble verticality
maintained to within . . . . . . . . . . . . . . . 10⫹ 10⫹ 10⫹ 10⫹ 10⫹
(N—National standard)
(M—Manufacturer’s standard)
Compensator-type instruments should be checked for proper op- levels should be checked for proper alignment once a week. The
eration at least every 2 weeks of use. Rod calibration should be manufacturer’s calibration standard should, as a minimum, describe
repeated whenever the rod is dropped or damaged in any way. Rod scale behavior with respect to temperature.
FIELD PROCEDURES

CLASS I II I II II
Minimal observation method. . . . . . . . . . micrometer

or center
micrometer micrometer 3-wire 3-wire wire
......................................................................................................................
Section running. . . . . . . . . . . . . . . . . . . SRDS
SRDS or SRDS or SRDS or SRDS or
DR or SP DR or SP DR† or SP or DR* DR§
Difference of forward and backward sight
lengths
never to exceed per setup (m) . . . . . . . . 2 5 5 10 10
per sectin (m) . . . . . . . . . . . . . . . . . . 4 10 10 10 10
Maximum sight length (m) . . . . . . . . . . . 50 60 60 70 90
Minimum ground clearance of line of
sight (m) . . . . . . . . . . . . . . . . . . . . . . . 0.5 0.5 0.5 0.5 0.5
Even number of setups when not using
leveling
rods with detailed calibration . . . . . . . . . yes yes yes yes —
Determine temperature gradient for the
vertical
range of the line of sight at each setup. . yes yes yes — —
Maximum section misclosure (mm). . . . . 3兹D 4兹D 6兹D 8兹D 12兹D
Maximum loop misclosure (mm) . . . . . . 4兹E 5兹E 6兹E 8兹E 12兹E
......................................................................................................................
Single-run methods
Reverse direction of single runs every
half day . . . . . . . . . . . . . . . . . . . . . . . . yes yes yes — —
......................................................................................................................
Nonreversible compensator leveling
instruments
Off-level/relevel instrument between ob-
serving
the high and low rod scales. . . . . . . . . . yes yes yes — —
......................................................................................................................
3-wire method
Reading check (difference between top
and bottom
intervals) for one setup — — 2 2 3
Read rod 1 first in alternate setup
method. . . . . . . . . . . . . . . . . . . . . . . . . — — yes yes yes
......................................................................................................................

CONTROL SURVEYS

CLASS I II I II II
Double scale rods

Low-high scale elevation difference for
one setup not to exceed (mm)
With reversible compensator. . . . . . . . . . 0.40 1.00 1.00 2.00 2.00
Other instrument types
Half-centimeter rods. . . . . . . . . . . . . . . . 0.25 0.30 0.60 0.70 1.30
Full-centimeter rods. . . . . . . . . . . . . . . . 0.30 0.30 0.60 0.70 1.30
(SRDS—Single-Run, Double Simultaneous procedure)

(DR—Double-Run)
(SP—SPur, less than 25 km, double-run)
D—shortest length of section (one-way) in km
E—perimeter of loop in km
† Must double-run when using 3-wire method.
* May single-run if line length between network control points is less than 25 km.
§ May single-run if line length between network control points is less than 10 km.
tion. A large but circular ellipse indicates that the northings REFERENCES
and eastings are balanced for that point, but more accurate American Land Title Association and the American Congress on
measurements are needed, or additional measurements are Surveying and Mapping. 1962 Minimum Standard Detail Require-
needed, from other stations. If many ellipses are elongated ments for Land Title Surveys and Classifications of ALTA / ACSM
Land Title Surveys, ALTA and ACSM, Washington, D.C., updated
and all point in the same direction, the network is unbal-
1986, 1988, 1992.
anced along that direction. This might be the result of an
Buckner, R. B. 1983. Surveying Measurements and Their Analysis,
azimuth deficiency that allows one side of the network to Landmark Enterprises, Rancho Cordova, Calif.
rotate slightly. An additional control point or observed az-
Federal Geodetic Control Committee. 1974 / 1976. Classification,
imuth will help alleviate this condition. Standards of Accuracy, and General Specifications of Geodetic Con-
The program also develops relative error ellipses to ex- trol Surveys, National Geodetic Survey, Silver Spring, Md., Febru-
press the relative position of two points. Two points with ary 1974, reprinted January 1976.
large station ellipses may actually have a small relative el- Federal Geodetic Control Committee. 1975 / 1978. Specifications
lipse between them, meaning that their absolute positions to Support Classification, Standards of Accuracy, and General Speci-
in the survey are weak but that they are correlated with fications of Geodetic Control Surveys, National Geodetic Survey,
each other and move together. The length of the relative Silver Spring, Md., July 1975, reprinted May 1978.
ellipse projected onto the line between the two points is a Federal Geodetic Control Committee. 1988 / 1989. Geometric Ge-
measure of the precision of the distance between the two odetic Accuracy Standards and Specifications for Using GPS Relative
Positioning Techniques, Version 5.0, National Geodetic Survey, Sil-
points. The length of the relative ellipse perpendicular to
ver Spring, Md. 1974 / 1976.
the line is a measure of the precision of the bearing between
Federal Geodetic Control Subcommittee. 1984 / 1990. Standards
the two stations. The plus or minus relative errors of the and Specifications for Geodetic Control Networks, National Geodetic
bearing and distance for each course are based on the values Survey, Silver Spring, Md., September 1984, reprinted October
contained in its associated relative error ellipse. The dis- 1990.
tance precision is computed by dividing the relative dis-
tance error by the length of the line.
ADDITIONAL READING
Bouchard, Harry, and Francis H. Moffet, Surveying, 5th ed., In-
ternational Textbook Company, Scranton, Pa., 1965.
ACKNOWLEDGMENT Brinker, Russell C., and Roy Minnick, The Surveying Handbook,
The author wishes to thank Mr. Alan R. Dragoo of Trim- Van Nostrand Reinhold, New York, 1987.
ble Navigation, Ltd., Herndon, Virginia, and Mr. David R. Brinker, Russell C., and Paul R. Wolf, Elementary Surveying, Har-
Doyle, Mr. David B. Zilkoski, and Mr. Edward J. McKay per & Row, New York, 1984.
with the National Geodetic Survey, Silver Spring, Maryland, Davis, Raymond E., and Joe W. Kelly, Elementary Plane Surveying,
for their assistance in the preparation of this chapter. McGraw-Hill, New York, 1969.

CONTROL SURVEYS
Davis, Raymond E., Francis S. Foote, James M. Anderson, and Reilly, James P. Improving the Accuracy of Field Measurements,
Edward M. Mikhail, Surveying Theory and Practice, 6th ed., Mc- P.O.B., Detroit, 1987.
Graw-Hill, New York, 1981. Reilly, James P. Improving Your Field Procedures, P.O.B., Detroit,
Mikhail, Edward M., Observation and Least Squares, Dun- 1990.
Donnelly, New York, 1976. Wolf, Paul R., Adjustment Computations: Practical Least Squares for
Mikhail, Edward M., and Gordon Gracie, Analysis and Adjustment Surveyors, 2d ed., Landmark Enterprises, Rancho Cordova,
of Survey Measurements, Van Nostrand Reinhold, New York, Calif., 1980.
1981.

CONTROL SURVEYS

CHAPTER 15
TOPOGRAPHIC SURVEYS
Carlyle W. Blomme, R.L.S. / Mary M. Root, L.S. /
Eric V. Day, P.L.S. / Updated/Revised: Curt Sumner, L.S.
INTRODUCTION photography and photogrammetry are an economical

While the boundary survey is the skeleton for the physical means of providing detailed maps. These surveys have be-
characteristics of property involved in a land development come increasingly more accurate with improved technology.
project, the topographic survey map represents the remain- Field methods employing electronic survey systems may be
der of its anatomy chart. In mapping, topography is the used on other sites to create quality maps in a timely fash-
delineation of natural and artificial features that define a ion. For small sites, other methods—such as alidade and
given place. Although the topographic features of a property planetable or baseline surveys—may prove more cost effec-
may have some significance to project feasibility and the tive.
Experienced personnel, competent in the use of current
rezoning process, their primary importance is initially re-
equipment and who are familiar with modern techniques,
alized in the preliminary design phase. The horizontal and
are an essential ingredient in concluding surveys. Comple-
vertical position of natural and man-made features will play
tion of field and office work includes attention to detail and
a critical role in determining how a site will be engineered
accuracy. The meshing of field and office tasks is critical for
to suit the intended use of the property. Consideration must
the orderly work progression. Required tolerances for sur-
also be given to how these features relate to those lying on
vey work are also important because incorrectly located
adjoining properties and within street rights of way or ease-
data or data located from control points that do not meet
ments. Determining how utility services can be provided to required tolerance will result in improper design.
the proposed development will be among the first prelim- Only boundary location is more crucial to land devel-
inary design tasks to be undertaken. opment than the topographic survey. Because the topo-
Topographic information for areas well outside of the graphic map is an integral part of the design process,
project site boundaries is often needed to make preliminary omission of valuable information in a topographic survey
decisions regarding design considerations such as storm can lead to costly problems.
drainage patterns. When this is the case, the use of smaller
scale topographic maps, such as those available from the PLANNING TOPOGRAPHIC SURVEYS
United States Geological Survey (USGS) with a scale of Planning for topographic surveys includes consideration of
1ⴖ ⫽ 2000⬘ or from local government agencies with a scale the site’s physical features, required scale and accuracy, con-
of 1ⴖ ⫽ 200⬘, is appropriate. As the design process begins tour interval appropriate for the type of project, cost, and
to focus more on intricate details, larger scale maps are type of instruments available. All of these factors affect the
needed to insure that site engineering is as balanced as pos- survey methods and equipment used in the topographic
sible with regard to earth moving and the use of utilities. survey.
Actual map scales will be determined by the design team. Among the most important aspects of planning a topo-
The size and relative detail of a site will often determine graphic survey is the communication between the designer
the surveying methods employed. For large areas, aerial and those who will collect the field data on which the map
271
TOPOGRAPHIC SURVEYS
will be based. A proper level of understanding of the design (EDM) and electronic data collector have replaced these in-
concept by those who collect the data will result in a more struments for field-run surveys. Developments that are
comprehensive survey and reduce the likelihood that nu- more recent have combined these two into what is com-
merous data gathering exercises will be required. The re- monly referred to as a ‘‘total station.’’ Photogrammetry,
sponsibility for insuring that this level of understanding is which uses aerial photographs combined with ground con-
adequate lies with both parties. Neither should make as- trol points to generate topographic maps, has become the
sumptions about whether the understanding exists, nor be preferred method for surveying a majority of sites for land
timid about asking questions to clarify issues. development design purposes. Small sites, particularly
When a comfortable level of understanding has been those with extensive features, are still commonly surveyed
reached, a decision can be made concerning which method using an electronic data collection device. The maps created
is to be employed to conduct the data gathering survey. using photogrammetry can be either large or small scale. In
Surveys to gather topographic data, like all other surveys, some cases, the aerial photography is conducted in such a
must begin with an appropriate control system. Therefore, way as to allow both large and small scale maps to be cre-
the first step in planning for the topographic survey of a ated, thus providing a broader view of the project area while
land development project is the completion of well-planned serving the preliminary and final design processes. The
horizontal and vertical control networks. These networks photogrammetric survey method is not appropriate for de-
must be geometrically strong and must be well monu- termining boundary lines. Both the electronically gathered
mented. field survey data and photogrammetric survey data can be
The number and location of the control points depends compiled into digital topographic maps to serve as the base
on the nature of the project and on the surveying method layer for design files.
used. As a matter of convenience during the design and The method selected for gathering data will influence the
construction phases of the project, control points should be specific details of how it is to be accomplished. Regardless
interspersed throughout the site. It may be cost effective to of the method chosen, it is critical that data be gathered
use traverse points located in the boundary determination so that compilation is done in a format acceptable to the
as horizontal control stations for the topographic survey. designer. This is particularly true when the data is to be
Establishing control points as part of the boundary traverse collected through a field-run survey. A part of the
loop and cross-ties through the middle of the site provide communication mentioned earlier between designer and
a network convenient for use throughout the design and surveyor should focus on the type of equipment and pro-
construction phases of the project. To do this, adequate cessing system the surveyor will use, and the type of design
forethought on traverse location is needed at the time when software the designer will use. Specific attention should be
the traverse is being set for the boundary determination. given to what layering system or data library is required.
Provisions for the protection of survey monuments by con- Data accurately collected and processed is not very useful
tractors are necessary and cost effective. unless it is presented in a format the designer can use. The
The map scale required for the most demanding use con- reason this aspect of the process is so important for field
trols mapping requirements. This is because map reduction collection of data is that the coding system for data collec-
for planning is generally satisfactory but enlargements do tion should be established prior to the survey in order to
not usually produce the detail necessary for actual project simplify adjustments that may otherwise be difficult during
design. Determination of the most important information compilation. In the case of photogrammetry or similar
requirements before performing the initial survey prevents methods of gathering data, the issues of proper coding and
the need for additional field trips by survey crews. A de- formatting are addressed during compilation also, but there
termination of the contour interval and the area of coverage is no field survey component.
are controlling factors when planning the fieldwork.
PHOTOGRAMMETRY AND TOPOGRAPHIC MAPPING
Gathering the Data Photogrammetry is the science and art of preparing accurate
Data must be gathered and compiled in such a way that it maps or obtaining reliable measurements from photo-
can be used for preliminary and final design. Historically, graphs. Photogrammetric mapping is the most common
surveys have been conducted utilizing a plane table and method used at present for preparing medium- and small-
alidade or a transit/theodolite and tape radial survey for scale maps for use in land development work. In addition,
site locations, or a baseline survey for linear projects such large-scale maps can also be prepared photogrammetrically
as roads and utility lines. None of these methods produces depending on the amount of ground cover on the site and
data that can be easily transferred into the digital environ- the level of detail required. Two types of photogrammetry—
ment used in today’s design process. This does not imply terrestrial and aerial—are recognized. Aerial photogram-
that maps developed using these instruments are invalid. It metry is by far the most common for topographic surveys
simply means that their usefulness may be limited for top- for use in land development projects. (See Figure 15.1.)
ographic mapping of large sites and long-line surveys, or Two different types of data can be obtained photogram-
those with a significant number of features. As technology metrically. Metric data concerns information related to dis-
has advanced, the electronic distance-measuring device tance, area and elevation. This is of primary interest to the
TOPOGRAPHIC SURVEYS
15 䡲 TOPOGRAPHIC SURVEYS 273
F IGURE 15.1 RMK TOP Aerial Camera System (Courtesy of Carl Zeiss, Inc. Thornwood, NY)
surveyor, land planner and developer. Interpretative data gineering firm specifies scale and coverage required for the
also comprises a major part of photogrammetry. Today this mapping, as well as the required final product (hard copy
field of study has expanded to include interpretation of in- maps or computer files). Ground control can be contracted,
formation related to the earth and the environment. The or, in consultation with the photogrammetrist, can be pro-
tools used for this field go beyond photographs and include vided by the firm responsible for land development plan-
multispectral scanners, side-looking airborne radar, thermal ning. Both horizontal and vertical control networks will be
scanners, and other devices resulting from modern tech- required. Because the control surveys are expensive, every
nology. The use of these tools for land development design effort should be made to integrate the photogrammetric
has not yet been fully determined. control surveys with the boundary and construction surveys
Photogrammetry is increasingly becoming the method anticipated for the project.
most often used in topographic mapping. Its advantages Once the photography and ground control has been ob-
include speed of coverage, cost, completeness of coverage, tained, the photogrammetric mapping firm will use a
and the details included in such coverage. The disadvan- stereoplotter instrument to produce the finished maps
tages are that field surveys are still required to precisely or computer files. The maps (or files) prepared by the
locate features such as building corners, curb and gutter stereoplotter operator will include corrections for lens dis-
elevations, and details for underground utilities, as well as tortion, earth curvature, and other mapping errors.
the fact that areas with tree cover cannot be effectively While photogrammetrically prepared maps are basic to
mapped when leaves or evergreen canopies are present. The most land development planning, it is often necessary to
principal instruments involved in photogrammetric map- perform simple measurements of distance, elevation, and
ping are the aerial camera and the photogrammetric plotter. position from aerial photographs. This is particularly true
The aerial camera is used to provide the photographs on when making preliminary studies of a site for potential de-
which mapping is based. The photogrammetric plotter is velopment. The basic plane and coordinate geometry as-
used to convert the perspective projection on the photo- sociated with these measurements is discussed below.
graph to an orthogonal projection on a map. Technologies
have been developed through which converting the pho- Vertical Photo Calculations
tography into mapping can be accomplished with a com- Figure 15.2 illustrates the relationships that exist between
puter program. This method is known as ‘‘soft copy’’ points on a vertical photograph and those points on the
mapping. ground. This relationship is one of similar right triangles.
General Procedures. Mapping needed for land develop- The distance from o⬘ to the focal point (f) in Figure 15.2
ment often requires a series of maps showing different data is the camera focal length. This is the same length as the
and drawn at different scales. The basic data needed for distance from the focal point to point o. This length (o–f
topographic mapping are generally obtained by contracting and o⬘–f) is part of the camera specifications used in pho-
with a photogrammetric mapping firm. Normally, the en- togrammetry and therefore is a known quantity. Assuming
TOPOGRAPHIC SURVEYS
F IGURE 15.2 Vertical aerial photo geometry
the line o⬘–o lies in a truly vertical plane, then this line F IGURE 15.3 Effect of relief on scale
forms a perpendicular to the plane of the negative, the
plane of the positive print and the plane of the ground.
This relationship allows for computations using similar points A, O, and B as a, o, and b. Now the ratios ao/AO
right triangles. and ob/OB are not equal, and the scale of the photograph
When using aerial photographs, the scale of the photo varies.
is foremost in importance. Since terrain varies in elevation The variation in scale just noted is one reason why maps
from point to point, photo scale is a changing value and is prepared from aerial photos require ground control mea-
therefore a relative term. Expression of the scale at any surements. These measurements are used to provide a con-
point on a vertical photograph depends on the elevation of stant scale between any points on the map.
that point. In Figure 15.3a, line A⬘B⬘ represents the refer- The scale used most often in the early phases of a land
ence datum. The relief is nearly level as represented by line development project is the average scale for the entire pho-
AB. A vertical photograph taken with a camera at L would tograph. There are several ways to find an approximate
show the length of the actual ground line AB as line ab. By scale value. When the actual ground distances between
similar triangles, the ratio ao/AO equals the ratio ob/OB. points in the photograph are known, then a ratio of photo
The scale of the photograph is uniform across the photo- length to ground length produces the photo scale.
graph. However, in a more realistic situation (Figure 15.3b), Suppose for example, a football field shows clearly in a
the variation in ground elevations is depicted by curve AO photograph, then the photo scale is obtainable. The dis-
and OB. A vertical photograph taken from L would show tance from end to end of a football field is 120 yards. Sup-
TOPOGRAPHIC SURVEYS
pose the field measures 2.3 centimeters (cm) on the

photograph. First, convert all units of measure into com-
mon units. In this case, the unit of conversion is feet. The
120-yard field is therefore 360 ft and the converted distance
on the photo is 0.075 ft. The representative fraction is
Photo Distance 1
: (15.1)
Ground Distance X
0.075 1
: F IGURE 15.4 Defined points on vertical photographs
360 X
therefore:
in camera lens manufacturing and errors caused by a failure
1:4800 or 1 inch ⫽ 400.0 ft of the fiducial axes to produce the proper principal point
Ratios between corresponding points on maps, of known lead to systematic flaws in the results. Distortions caused
scale, and those on aerial photos yield approximate photo by the curvature of the earth and atmospheric refraction
scales. The average photo scale is one based on the average cause similar problems. Corrections made for these and
elevation of the covered area in relation to the datum plane. other errors are proportional to the desired accuracy of the
Expression of this scale is a ratio of the camera focal length output.
(f ) to the flying height, minus the average elevation of the Photo Coordinates
coverage area.
For most computations involving aerial photographs, some
Scaleavg (15.2) ground control precedes the computations. However, this
Focal Lengthcamera(f ) does not mean that the control surveys precede the taking
⫽ of photographs. Control is both horizontal and vertical.
Flying Heightabove datum ⫺ Terrain Elevationavg
Photo control differs from other control surveys because
The average scale determined from this relationship is spacing in relation to the photographs is critical. The num-
obviously only as reliable as the input data. Scales derived ber of control stations and their location depends on the
in a similar manner for points on the photographs use the accuracy requirements for the survey.
same relationship, except there is a substitution for the av- As with other control surveys, required accuracy pri-
erage terrain elevation with the particular point elevation. marily dictates the equipment and surveying procedures
Thus the scale at any point is used to carry out the work. In cases involving land devel-
opment, this control will later serve as the control for ad-
Focal Lengthcamera ditional survey work. The criterion for accuracy is therefore
Scalepoint ⫽ (15.3) the same as that demanded for the most exacting work
Flying Heightabove datum ⫺ Elevationpoint
based on the control. First- and second-order control sta-
After determination of the photo scale, coordinates fixing tions, set by National Geodetic Survey, state geodetic agen-
point location provide the basis of computations for other cies, and others, serve as primary control. Additional
metrical values such as distances and elevations. control for most development projects requires second or-
The center of an aerial photograph, determined from the der surveys.
fiducial marks, is the principal point. This point is the or- Horizontal positions based on geodetic latitude and lon-
igin for the (local) photo coordinates. Lines joining oppos- gitude or northings and eastings of state coordinate systems
ing fiducial marks intersect at the principal point of the serve best for land development control because they elim-
photo. Designations of coordinates of points then follow the inate the problem of errors due to curvature of the earth
pattern illustrated in Figure 15.4. and allow broad area coverage while retaining satisfactory
Fiducial marks appear on vertical photographs but not survey precision. Vertical control should be on the same
always in the position shown in Figure 15.4. Some pho- datum to which utility ties will be made.
tographs have fiducial marks located at the four corners, Once having established horizontal and vertical control,
and some cameras produce eight of these marks. Such one proceeds with finding other values necessary to com-
marks, therefore, do not always have the shape or pattern putations directly from the photographs. One of those val-
shown in Figure 15.4. ues is flying height (H) as measured from the reference
Before beginning a discussion of photogrammetric cal- datum. Finding the value for flying height is obtained using
culations for photo coordinates, some words of caution are two points with known (non-identical) elevations. The fol-
in order. When systematic errors of various types exist, a lowing example illustrates this procedure.
consideration of them becomes necessary to attain high- Suppose the camera used in the photography has a focal
quality results from aerial photographs. Such errors as length of 152 mm. Assume that a control line measured
shrinking or stretching of the photograph material, errors between two points (A and B), as shown on a photo taken
TOPOGRAPHIC SURVEYS
with the camera mentioned, is 1478 ft in length and that yb ⫽ 75 mm. From these coordinates the photo distance
their elevations, determined during the vertical control sur- representing the control line AB is 94 mm. Using Eq. (15.4),
vey, are 1677 ft and 1704 ft, respectively. determine the approximate flying height as 4080 ft.
Starting at the principal point of the photo as shown in
Figure 15.4, carefully measure the photographic coordi- XA ⫽ ⫺189.7 YA ⫽ ⫺268.8 (15.11)
nates of the ground points (A and B). With these photo XB ⫽ ⫹114.1 YB ⫽ ⫹1172.4
coordinates, find the photo distance between the two
points. Use Eq. 15.4 for finding the approximate flying Use this value and Eqs. (15.5) to (15.8) for finding trial
height. coordinates at points A and B. The following values result
from the first trial.
a to b Photo Distance ffocal length Once you have determined trial values for the ground
:
A to BGround Distance HFlying Height ⫺ havg. elev. of ground points A and B coordinates of the given points, use Eq. (15.9) for calculat-
(15.4) ing the distance between the trial points. In this example,
the computed value between trial points is 1061 ft. The
Complete the remainder of the problem using trial and actual distance between these points from the ground con-
error procedures, thus obtaining the actual flying height. trol survey is 1478 ft. The flying height is therefore in error,
The formulas involved follow and the necessary adjustment by Eq. (15.10) follows.
H ⫺ hA 1478 New Value for H
XA ⫽ xa (15.5) : (15.12)
f 1473 4080
H ⫺ hB New Value for H ⫽ 4094
XB ⫽ xb (15.6)
f
Having a new trial flying height, calculate new trial co-
H ⫺ hA ordinates from Eqs. (15.5) through (15.8). Using these new
YA ⫽ ya (15.7)
f values, find the matching distance between the coordinates
H ⫺ ha using Equation (15.9), as illustrated above. Again, compare
YB ⫽ yb (15.8) this distance to the actual ground distance. Repeat the cycle
f
until the computed distance between the coordinates equals
Next, determine distance: the actual ground distance. The desired degree of accuracy
determines the number of repetitions needed. In the ex-
A to B ⫽ 兹(XA ⫺ XB)2 ⫹ (YA ⫺ YB)2 (15.9) ample, flying height is 4088.5 ft. At this height, the com-
puted result of line AB is 1478.06 ft.
where: The scale at the datum plane is determined from the
following equation.
H ⫽ flying height (in the same units as ground el-
evation h) Camera Focal Length
h ⫽ ground elevation at indicated point (A or B) Scaledatum ⫽ (15.13)
Flying Height
f ⫽ Camera focal length (in millimeters)
X or Y ⫽ ground coordinates at indicated ground points 152 mm
Scaledatum ⫽
(A or B) and 4088.5 ft
x or y ⫽ photo coordinates (in millimeters) at indicated
1
photo points (a or b). ⫽ or 1 in. ⫽ 683 ft
8198
Make a comparison with this computed value for the
line AB and the measured length of the same line from the The scale at average ground level on the same photo-
control survey. It is unlikely that they will agree, and there- graph is
fore a revised value for H is ncessary. Calculate a new H Camera Focal Length
value using the following equation: Scaleaverage ⫽ (15.14)
Flying Height ⫺ Elevationaverage
Correct Value for A to B New Value for H 152 mm
: Scaleaverage ⫽
Computed Value for A to B Last Approximated Value for H 4088.5 ⫺ 1690.5
(15.10)
1
Computations follow for the data given above. The ⫽ or 1 in. ⫽ 400.7 ft
4808.6
photo coordinates for point A are xa ⫽ ⫺12 mm and ya ⫽
⫺17 mm. Coordinates at point B are xb ⫽ 7.3 mm and For best results the procedure just described should be

TOPOGRAPHIC SURVEYS
repeated with a second set of points. The second set should The flying height determined earlier was 4088.5 ft. Using
be located at right angles to the first. these values, substitute them in the above mentioned equa-
tions. The corresponding ground coordinates are:
Determination of Object Heights from Aerial Photographs
XC ⫽ 80.2 YC ⫽ 240.7 (15.17)
Object height from measured relief displacement of an ob-
ject is but another use of photographs. Relief displacement XD ⫽ 946.0 YD ⫽ 441.5
is the apparent movement that occurs along lines that ra-
diate from the principal point of a vertical photograph. The Inserting these values into Eq. (15.9) gives the length of
movement is a result of elevation above or below the datum line CD.
plane of the photo and the central perspective projection CD ⫽ 兹(80.2 ⫺ 946.0)2 ⫹ (240.7 ⫺ 441.5)2 (15.18)
provided by the photograph. This displacement is then pro-
portional to the radial distance from the principal point of ⫽ 889 ft
the photo to the top of the object for which height is de-
The problems presented to this point involve work on
sired as the height of that object is proportional to the flying
single photographs. For the resolution of elevations of
height, as expressed by Eq. 15.15.
ground points, use two lapping photographs each contain-
Object Height (15.15) ing the points under observation. Mathematical linkage of
these photographs is necessary.
Displacement ⫻ Flying Height
⫽
Radial Distance to the Top of Object Determination of Air Base in Aerial Photogrammetry
(r ⫺ r1) ⫻ H Air base, the term given to this linkage, is the ground dis-
⫽ tance between exposure stations of adjoining photographs.
r
It is the distance between exposures that causes the differ-
where: ence in parallactic angles. This allows the user to view
r1 ⫽ The distance from the principal point to the bot- ground relief stereoscopically and thus discern depth in
tom of the object photographs. Measuring the difference in parallax enables
r ⫽ The distance from the principal point to the top of determination of elevation. These calculations center on the
the object relationship of the ground distance between photo expo-
H ⫽ The Flying Height sures to that of the flying height above the average terrain
elevation.
Assume that the radial distances to the top and bottom Calculations for air base involve finding the absolute par-
of a building from the principal are 42.0 mm and 40.9 mm, allax of a point. To accomplish this, measure the photo-
respectively. The flying height above the ground as calcu- graphic coordinates of the point on two adjacent photos.
lated in a previous example is 2398 ft. The following ex- Once having accomplished this, a stereocomparagraph or
ample illustrates the method of determining the height of contour finder serves to find elevations at other points more
the building. rapidly.
Following is an example on how to find the air base.
(42 ⫺ 40.9) ⫻ 2398 Use Eq. (15.19) to find the absolute value for parallax.
Object Height ⫽ (15.16)
42
p ⫽ x ⫺ x1 (15.19)
⫽ 62.8 ft
where:
Finding Distance Between Points of Known Elevation
p ⫽ Absolute parallax
With the flying height and elevations of two points known, x ⫽ The photograph coordinate of the point of known
it is possible to find the horizontal distance between two elevation as measured on the right photograph
points on a photograph. Equations 15.5 through 15.9 com- x1 ⫽ The photograph coordinate of the point of known
prise the basis for determining the desired distance. Sub- elevation as measured on the left photograph
scripts change from A and B to C and D as appropriate for
the points used. Equations (15.20) to (15.23) compose the parallax for-
Assume that two points, C and D, lie on the photograph mulas leading to air base determination. The solution is one
used earlier to find the flying height. The focal length of by trial and error, much like that for flying height. In these
the camera was 152 mm. The respective elevations of the equations, substitute a trial value for the air base B for use
two points are 1649 and 1692 ft. The photo coordinates of with the scaled coordinate values from the pair of photos
the two points as measured from the principal point are in use. The absolute parallax p also comes from these last
xc ⫽ 5 mm, yc ⫽ 15 mm, xd ⫽ 60 mm and yd ⫽ 28 mm. mentioned values.

TOPOGRAPHIC SURVEYS
Air Base measured ground length is 2137 ft, the trial air base is in
XA Ground Coordinate Elev. Known ⫽ xa Photo Coordinate (15.20)
pa error. Solve the following proportion or a new trial air base.
Air Base Actual Ground LengthA to B Corrected Air Base

YA Ground Coordinate Elev. Known ⫽ ya Photo Coordinate (15.21) : (15.28)
pa Computed LengthA to B Trial Air Base
Air Base Solving the proportion above yields a new value for the
XB Ground Coordinate Elev. Unknown ⫽ xb Photo Coordinates (15.22) air base of 1061 ft. Use this value and again solve Eqs.
pb
(15.20) to (15.23). The calculated length of line AB equals
Air Base the measured length, and therefore the air base is now cor-
YB Ground Coordinate Elev. Unknown ⫽ yb Photo Coordinate (15.23)
rect and equals 1061 ft.
pb
Proceed with the solution of Eq. (15.25) to determine
With trial values of the ground coordinates now availa- flying height. For the given example, the results of the com-
ble, check the measured distances between the points used putation follow.
against the computed trial distance using Eq. (15.24).
Air Base
When these values are equal, the air base is correct. HFlying Height ⫽ (15.29)
pAbsolute parallax at point of known elev.
A to B ⫽ 兹(XA ⫺ XB)2 ⫹ (YA ⫺ YB)2 (15.24)
⫻ Camera Focal Length ⫹ h(Known point elev.)
where the Xs and Ys are determined from Eqs. (15.20) to
1061
(15.23). HFlying Height ⫽ 152 mm ⫹ 907 ft ⫽ 3197.8 ft
After completing the trial and error solution for the air 70.4 mm
base, resolve the flying height by substitution in Eq. The completion of the calculations for the length of the
(15.25). Equation (15.25) also provides the parallax of fu- air base and the flying height provides necessary informa-
ture points of unknown elevations. tion for determining elevations of other ground points in
the same photos by solving Eq. (15.25) for h.
HFlying Height ⫺ hKnown Ground Elev. To illustrate, begin by assuming a need for an elevation
(15.25)
Air Base at some ground point. With the air base, flying height and
⫽ Camera Focal Length camera focal length now known, measure the photo coor-
pAbsolute parallax
dinates of the new point. The best method of determining
For an example, assume the length of a control line from these measurements is with a stereocomparator for results
points A to B is 2137 ft. Assume the elevation at point A of higher order, but a scale will suffice for less accurate
is 907 ft. Two photographs available each show points A elevations.
and B. Measurements made of the two points on both pho- Those measured coordinates of the point C are as fol-
tos yield the results shown in Table 15.1. lows: Left photo ⫽ 59.5 mm, Right photo ⫽ ⫺10.6 mm.
Using Eq. (15.19), solve for pa and pb. Substituting these coordinates in Eq. (15.19), the absolute
parallax (pc) is 70.1 mm. The elevation of point C is there-
pa ⫽ 17.6 mm ⫺ (⫺52.8 mm) ⫽ 70.4 mm (15.26) fore:
pb ⫽ 118.6 mm ⫺ (47.9 mm) ⫽ 70.7 mm helevc ⫽ HFlying Height (15.30)
Next, find ground coordinates using Eqs. (15.20) to

(15.23). Assuming a trial air base value of 2000 ft, the re-
⫽ 冋 Air Base
Pc
Camera Focal Length 册
冋册
sults are as follows:
1061 ft
⫽ 3198 ft ⫺ 152 mm
2000 ft 70.1 mm
XA ⫽ 䡠 17.6 mm ⫽ 500.0 ft (15.27)
70.4 mm ⫽ 897.4 ft
2000 ft There was no consideration given to tilt in photographs
YA ⫽ 䡠 ⫺9.3 mm ⫽ ⫺264.2 ft
70.4 mm in any of the example problems presented. This basic in-
2000 ft troduction in the use and computations involved in photo
XB ⫽ 䡠 118.6 mm ⫽ 3355.0 ft interpretation allows for marginal use with minimum in-
70.7 mm
vestment in equipment.
2000 ft Photogrammetry for land development projects involves
YB ⫽ 䡠 ⫺109.8 mm ⫽ 3106.1 ft
70.7 mm gathering of extensive topographic data. Such a collection
process often involves many specialists including engineers,
Substituting these values into Eq. (15.24) gives the surveyors, planners and photogrammetrists. Processing the
computed length of line AB as 4417 ft. Since the actual amount of information necessary for such projects involves
TOPOGRAPHIC SURVEYS
TABLE 15.1 Left Plot Right Plot

1/2 DEFLECTION
BEARING ANGLE SIN RADIUS CHORD
N 64⬚ 00⬘ E
.....................................................................................................................
29⬚ 30⬘ 0.4924 10 units 9.85 units
.....................................................................................................................
S 57⬚ 00⬘ E
.....................................................................................................................
23⬚ 30⬘ 0.3987 10 units 7.97 units
.....................................................................................................................
S 10⬚ 00⬘ E
.....................................................................................................................
37⬚ 00⬘ 0.6018 10 units 12.04 units
.....................................................................................................................
S 64⬚ 00⬘ W
.....................................................................................................................
26⬚ 00⬘ 0.4384 10 units 8.77 units
.....................................................................................................................
N 64⬚ 00⬘ W
use of stereoscopic plotters. There are several types of plot- cently developed robotic total station instruments allow one
ters available but the analytical plotters provide accurate person to gather data for a topographic map rather than
coordinates to a computer for transfer to Land Information the typical two- or three-person field crew; however, it is
Systems or use in Computer-Aided Design Systems for sometimes still effective to have crew members performing
mapping purposes. activities such as drawing sketches and measuring manhole
FIELD METHODS FOR TOPOGRAPHIC MAPPING

General Procedures
Field methods for topographic mapping require that the
surveyor accurately locate the positions of both the topo-
graphic and planimetric features on the site. Field methods
are necessary in land development where detailed location
of surface and subsurface utilities is required, where a lim-
ited area is involved, or where slope and drainage are crit-
ical. In most cases, this requires the location of a large
amount of data, which must be presented on a large-scale
map.
The positional bases for topographic mapping are the
horizontal and vertical control networks. These may be es-
tablished prior to topographic mapping. Alternatively, con-
trol network extension may proceed simultaneously with
the topographic survey. Ideally, horizontal control stations
should be located so that the topographer will have suffi-
cient room to work, and so that he or she will be able to
map the entire area necessary. Points to be mapped are typ-
ically located by radial observation from the horizontal con-
trol network. The elevations of points sighted are computed
trigonometrically or by use of differential leveling.
Instrumentation formerly employed in the topographic
surveying field is rapidly being replaced by what is gener-
ically known as the electronic total station surveying system
equipped with an electronic data collector (see Figure 15.5).
This equipment has the greatest potential for producing F I G U R E 1 5 . 5 Total station (on foreground tripod), data collec-
high accuracy results with a minimum expenditure of time tor (attached to leg of tripod), and prism (on background tripod). (Courtesy
in any area where detailed topography is required. The re- of Ray Root)
TOPOGRAPHIC SURVEYS
depths while the robotic station operator is obtaining other erator then backsights the prism, the data collector records
data. Of course, the former means of measuring detailed the raw data, consisting of the horizontal angle, vertical
topography existed for ages before electronics came into angle, and distance. The distance and the difference in el-
use, and these are still used today. For instance, the plane evations between the two known stations is verified with
table with alidade has been a mainstay of topographic sur- the known data.
veying for hundreds of years, while the theodolite with tape With the internal data file initiated, the instrument ori-
and/or stadia rod has been widely employed throughout ented, and the data collector initialized, the topographic
the past century. data collection begins. Each type of feature usually has a
All of these topographic measuring systems have advan- numerical or alphabetic code. Codes may be augmented
tages and disadvantages. In comparison, we note that while with a brief description. The data collector prompts the
the electronic system requires a high initial acquisition and operator for point number, description and code, prism
training investment, the potential for enhanced production height, and a choice of pre-set measurement sequences. The
will quickly prove the instrumentation to be superior in last of these entries activate the total station instrument, and
most surveying situations. The electronic system can pro- the raw data is recorded. This information is displayed on
vide highly accurate data, which can easily be loaded into the data collector for the operator to approve, reject, or edit.
a computer. The link between field and office is no longer If approved, the collector advances to the next point num-
miles of distance and volumes of notes but is reduced to ber, ready for the next shot. If rejected or edited, the bad
the simplicity of an interface cable. The computer dramat- shot is retained and labeled as such, and the next point
ically expands the usability and accessibility of the topog- number is utilized for the correct information. This is useful
rapher’s data. Multiscaled plans for all sorts of land for cross-checking the data. Sample codes and abbreviations
development may be generated from the data without phys- for data collector use are shown in Figure 15.6.
ical manipulation of hardcopy manuscripts. For complex sites or features, a detailed sketch must be
In contrast to the electronic system, the alidade provides prepared to accompany the collector print-outs (see Figure
a perishable, single-scale drawing, of limited accuracy, 15.7). The sketch should include outlines of buildings and
which must be handled repeatedly by draftsmen and de- structures, dimensions, measurements, types of materials,
signers in order to produce finished plans. However, if a sizes of pipe, descriptions, data collection point numbers,
single plan with contour tracing is sufficient for the need, and any other pertinent facts.
the alidade may be best. An efficient way to collect the data is to shoot each fea-
The theodolite and tape and/or stadia rod are the im- ture continuously, as much as circumstance permits. This
mediate predecessors of the present total electronic survey enables the data collector operator to repeat-key some of
system. All of the data collected by this means may ulti- the shots, and offers the software consecutive shots for cre-
mately be used with advantage in a computer environment; ating line sequences. For example, along a road the prism
however, the means of recording the information and handler may locate the edge of pavement along one side as
entering it into the computer is manual and, therefore, in- far as practical directed away from the instrument. The cen-
efficient. Use of this data requires much entry time and is terline can be located with continuous points in the direc-
more susceptible to human error. tion towards the instrument and then return up the other
edge of pavement. This method for location is sometimes
The Total Station and the Data Collector helpful to the person who processes the data in the office
Electronic Mapping Using the Total Station. To begin, because it keeps a consecutive series of point numbers for
the surveyor first occupies an existing horizontal control a particular feature. It is not mandatory, however, to collect
station. He or she then orients the instrument to another data in this manner. Most software used to process raw field
station in the network. Orientation is typically made by data will recognize points with the same code and combine
sighting on a prism mounted on a plumbing pole held at them to draw the feature represented by the code. The shots
the backsight station. Alternatively, pointing on a tripod- should be placed at horizontal changes in direction or ver-
mounted prism can be used. A typical prism mounted on tical changes in elevation, and/or at the distance interval
a plumbing pole is shown in Figure 15.5. The height of the commensurate with the map scale; e.g., a map scale at
plumbing pole (and the tripod mounted prism if used) 1ⴖ ⫽ 50⬘ requires at least one shot every 50 ft.
must be recorded in the data collector, together with other Since topographic surveyors must translate a three-
information required for the job. dimensional terrain to a two-dimensional map, the actual
The data collector usually has a series of user prompts success of a topographic survey depends upon the location
to begin collection at each station. Typically, the prompts of essential points, which define a particular terrain. Every
begin by asking for a file name, a user’s name, date, tem- ridge, gradebreak, toe or top of slope is studied carefully
perature, and barometric pressure, which is then followed for the exact placement of the location point that tells the
with prompts for the set-up: instrument point number (or story. Every manmade feature is similarly interpreted and
traverse station number), height of instrument, backsight delineated by a series of adeptly placed shots. Because a
point number, and prism height. When the instrument op- computer generates the contour lines, care must be taken

TOPOGRAPHIC SURVEYS
F IGURE 15.6 Codes and abbreviations used for data collectors

TOPOGRAPHIC SURVEYS
F IGURE 15.7 Sample field sketch to accompany data collection raw file

TOPOGRAPHIC SURVEYS
to space the shots in such a way that they do not appear surveying activities. As the required investment in equip-
to cross each other, particularly in curves (see Figure 15.8). ment decreases and new technologies enhance the sur-
In addition, the prism handler must select obstruction-free veyor’s ability to use the equipment, the use of GPS for data
sight lines to the instrument, change the height of the prism collection related to topographic mapping may become a
as necessary, and maintain constant communications. Ob- standard practice.
viously, having an experienced topographer on as the prism
handler expedites matters. This person can also confidently Coordinating Field and Office Procedures for Electronic
‘‘call’’ shots; that is, relate new information to the previ- Survey Systems
ously-made shot. Many data collectors possess a feature that Because of recent advances in computer science and survey
enables one to reference a shot left, right, back, ahead, up, software (e.g., CADD), it is easy to be misled by the prem-
and down in relation to the last instrument-shot point. This ise that the machine, combined with knowledgeable
is particularly useful in thickets, woods, obstructed places, programmers and operators, can provide a solution for
and steep terrain where sightlines may have to be selected every problem. The office practitioner, however, is well
and/or cut out with brushhook or machete. Under such aware that no software comes close to handling the every-
circumstances, an experienced topographer distinguishes day situations in the real world. The honest computer op-
between the essential, the necessary, and the optional shots, erator will also acknowledge that the quality of the end
and makes the shots accordingly. product rests predominately within the skills and knowl-
Topographic mapping using electronic data collection edge of the field topographer, and not with the computer.
has become the standard for field-run surveys. Software An experienced topographic surveyor performs two func-
continues to be developed that improves the field-to-office tions. First, the surveyor will have mastered the art of field
conversion of data into mapping. Purchasing the proper data collection, good surveying practice, and the proper
equipment and developing a system for field and office pro- employment and care of his equipment. Second, the sur-
cedures that enhance ones ability to make those conver- veyor feels equally at home in the office, making daily use
sions faster and more efficiently is critical to the ultimate of the mathematical sciences. The surveyor will be conver-
success of a land development project. sant with the operation of various computing systems and
The use of Global Positioning System (GPS) equipment software capable of producing a topographic map. This in-
to collect topographic data is becoming more prevalent. Ad- dividual will have access to the client, planner and/or en-
vances in the satellite constellation, real-time computation gineer who will be using the survey. Having made inquiries
of point positions, and the reduction of equipment costs of all end users, and having been supplied with field
have led to a wider use of GPS equipment for a variety of sketches and electronically collected field data augmented
by visual field inspection, the surveyor generates a three
dimensional graphical/mathematical model of the project,
henceforth referred to as the topographic survey map.
Realistically, however, a somewhat different situation ex-
ists in a typical multi-service land development firm. Here,
production is balanced against optimal achievement, yield-
ing a useful, cost efficient product. In this setting, the field
topographer’s job is often completed by an office technician.
A good deal of care is needed in communications, if the
work is to be completed on time and within budget.
Upon selection of electronic data collection as a means
of creating the topographic survey map, office procedures
begin with a meeting between the field party chief and the
surveyor of the computing department. A lack of commu-
nication between these individuals will usually result in er-
ror, frustration, and inefficiency. The large majority of
topographic surveys are done in concert with other field
tasks such as boundary survey or stakeout for clearing, soil
borings, or improvements. In most instances, knowledge of
foregoing survey operations will reside within the files of
the computing department.
The party chief, in collaboration with the computing de-
partment personnel, must establish a data format. Each
point located in the field must be uniquely identified as to
horizontal location, vertical elevation, and physical char-
F IGURE 15.8 Data collection shot placement along curves acter. Depending on data collector and computer software

TOPOGRAPHIC SURVEYS
flexibility and compatibility, some or all of these values may procedures are most often the causes. On occasion, worn
be catalogued within the data collector for delivery to the cables, bent interface connectors and ports, and shorted
computer. Point numbers, subject-specific or layer-specific entry buttons may be to blame.
numeric codes, and physical descriptions and notations are Perhaps the single most important information coming
often used. In most instances, a standard set of codes and out of the field is a graphical sketch and other handwritten
descriptive abbreviations alleviate problems with interpret- field notes. These hand-drawn hardcopies will show phys-
ing field data. ical improvement detail, corresponding point numbers used
Before entering the field, the computing department may in data collection, benchmarks, vertical control loops, di-
download existing traverse control and other pertinent co- mensions of physical features (buildings, pipes, walls, pave-
ordinate data into the data collector. Whether such coor- ment widths), and lines and features to be honored by the
dinate data is available or used within the data collector, computer for interpolating contours. In the absence of the
the computer must be able to assign a unique identity to party chief, the field sketch is the technician’s only depend-
each three-dimensional collection point. Most coordinate able instruction for putting together a puzzle, which may
geometry software uses point number identification. In this involve thousands of three-dimensional data points.
case, a block of point numbers must be reserved. Failure Once all field data is reduced, all points defining breaks
to do this will eventually result in the destruction of over- in the lay of the land must be connected within the com-
lapping data, extensive editing of point numbers in the field puter screen file. If an adequate coding system has been
data book, and unpleasant confrontation between office and devised, the connection of these points will automatically
field personnel. occur in the computer processing of the raw data so that
Before going to the field, the party chief should review the person in the office will not need to do so. These lines
the project with the computing department surveyor in or- will be referred to as break lines. All contours will be inter-
der to set survey priorities. What datum will be used? What polated along these lines. A contour of a given value will
accuracy and precision are acceptable under the scope of naturally break in a certain direction as it runs between the
services? What will the horizontal scale and contour interval interpolated points of equal elevation. Examples of break
be? Will extra observations be needed to demonstrate min- lines include top or bottom of bank, top or bottom of curb,
ute vertical detail (that is, top of curb, inlet grates, pond building/wall faces, edge of pavement, centerline of stream,
risers and pipe inverts, manhole rims and inverts, slab el- ditch or road or any continuous linear or curvilinear break
evations, height of buildings)? Is the project devoid of detail in the elevation of the land. Every line segment will have
or is it covered with buildings and roads? If there are nu- two corresponding coordinates defining the location and
merous structures, have they been previously located or will elevation of the ends of the lines. Using interpolation, the
a location survey be part of the task? How will the data be computer may easily locate where any given contour ele-
collected in order to develop contours along the face of vation falls.
buildings, walls, curblines, critical section ditches and Having set up these known natural and man-made con-
streams? What will the topographic data be used for? Can trol lines, the technician will initiate a computer network
the data be collected in a random pattern, minimum grid of similar break lines, connecting all other miscellaneous
interval, or stationed baseline/offset cross section? All of points within the file that are intended for topographic
these considerations can have immense impact on the suit- compilation. The technician will protect the integrity of the
ability of the finished topographic map. The technician who input data by making use of elevation, numeric, or prox-
simply computes what is given without asking such ques- imity filters to eliminate the use of extraneous data points
tions beforehand will likely receive much grief at the hands within the coordinate file. No network line will cross an-
of his or her supervisor. other. Network lines will be constructed in such a manner
The field data usually comes to the office stored within that they form a continuous pattern of triangular sections
the data collector. The angles, distances and rod readings whose vertices are composed of field points. The maximum
may have already been reduced to coordinate data by soft- allowable length of the network lines (selected by the tech-
ware within the data collector, or reduction may be the job nician) dictates the accuracy of the topography. The density
of the office technician. All data will then be loaded, via of field observations, however, limits the length of the net-
interface cable, into the computer. This data will usually be work lines. The computer cannot create a network in areas
composed of the data collector file, a readable field book where data collection is insufficient to accommodate a given
file and any newly created coordinate data. The party chief line length. No contours are obtainable in such an area.
will report any uncorrected entries to the computer oper- The technician must then decide if more field data is nec-
ator. The reduction of the field data into coordinate data essary or if a longer network line is acceptable.
should be done when the party chief is present. Only he When the entire network is complete and all errors have
or she can report and resolve problems in the data collector been dealt with, the technician has a good network file or
file resulting from missing, corrupt or incorrectly entered Triangulated Irregular Network (TIN) file from which con-
data. On occasion, data does become corrupt and unusable. tours of any interval may be derived. After the technician
Illegal data entry, bad file exit procedure, or bad data editing selects an interval and scale suitable for the end user, the

TOPOGRAPHIC SURVEYS
computer creates by interpolating the location of all points

within the network for each contour. Contours are then
drawn (straight line) within the triangular network sections
by graphical depiction on the screen. The technician may
elect to have the computer automatically smooth out the
faceted, unnatural or deceptive breaks in the contour lines.
Further refinement may be obtained by hand tracing the
desired contour alignment on the screen with a mouse or
other instrument. The topographic survey map is then
ready for plotting. The TIN file should be kept inviolate; it
can be used again and again to generate additional topo-
graphical maps of varying contour intervals, as well as cen-
terline profiles, grading scenarios, and earth takeoffs.
Alidade-Planetable Techniques
Alidade-planetable topography has been a means of making
maps since the sixteenth century. Early surveyors realized
the advantages of using a direct graphical means to create
and check a map in the field. The planetable is a drafting
board specially adapted for use atop a surveying tripod.
Attached to the planetable is a scale map of the area onto
which spot elevations are written based on rod readings
through the alidade.
The alidade is an instrument that consists of a telescope
mounted onto a straightedge. A vertical circle and leveling
bubbles are also integral components of the alidade (see
Figure 15.9). The straightedge—that is, blade—is oriented
in the same direction as the line of sight of the alidade.
Horizontal and vertical distances are measured using stadia
by sighting a graduated rod. F IGURE 15.9 Alidade, planetable and rod (photo)
The table is oriented and leveled over a known point.
The straightedge blade of the alidade is pivoted around the
point of the occupied station such that any location sighted device, patented by W.D. Johnson of the U.S. Geological
in the field becomes a ray along the blade of the alidade Survey, permits the user to tilt and rotate the drawing board
between the pivot point and the sighted point. The point in any direction. As illustrated in the cross-section drawing
is readily plotted from the pivot by scaling the distance (Figure 15.10) of the Johnson head assembly, wingnut ‘‘A’’
along the blade obtained from the rod reading. The point controls the tilt, and wingnut ‘‘B’’ controls the rotation of
is represented by a dot, which becomes the decimal point the board.
for the elevation. The hard copy—that is, the map—is affixed to the
Drawing media for the map usually consists of a durable board, either with clips or masking tape. A straight pin or
and stable material that is not susceptible to shrinkage or needle is stuck into the board at the traverse station to be
expansion due to atmospheric conditions. Mylar is the typ- occupied. For the set-up, the topographer orients that table
ical choice. To save time in the field, the control stations roughly to correspond to the backsight and foresight sta-
can be pre-plotted on the mylar hard-copy. Using grid lines tions and tentatively sets the tripod legs into the ground. A
or tick marks, which will indicate the northing and easting plumb line is suspended beneath the location of the straight
coordinates in use, the traverse stations are plotted using pin, and the tripod legs and board are adjusted until the
their individual coordinate values. The lines between sta- planetable is plumbed firmly over the station to within 0.1
tions are drawn and the number and elevation of each is ft of the corresponding point on the board. When this is
written. Often, this information will be inked on the un- accomplished, the alidade is placed on top of the table and
derside of the semi-transparent mylar in order to spare it its circular bubble used to level the board. The next task is
from the rigors of field conditions. to orient the board both horizontally and vertically.
The planetable has changed little in over 300 years of Horizontal and vertical positioning will be controlled by
existence, but its modern modifications make it faster and means of three points: the one occupied, a foresight and a
easier to set-up, level and orient. The tripod may have ad- backsight. A sight consists of orienting the board, locking
justable or one-piece (‘‘stiff’’) legs but the top generally has in horizontally, reading the stadia distance, and obtaining a
a device known as a Johnson head. This ball and socket vertical reading. A sight to a previous set-up point may

TOPOGRAPHIC SURVEYS
is known as a level reading, and it is reduced directly from

the alidade’s height of instrument. If the horizon line of the
alidade is above or below the rod, trigonometric leveling is
applied. To ease calculations, many alidades are equipped
with a Beaman arc.
A Beaman arc is ‘‘a specially graduated arc attached to
the vertical circle of an alidade . . . to simplify computing
elevation difference for inclined stadia sights. The arc, de-
signed by W.M. Beaman of the U.S. Geological Survey, is
graduated such that each division on the arc is equal to
100(1⁄2 sin 2A), where A is the vertical angle. In use, the
index is set exactly on a graduation and the difference is
obtained by multiplying the stadia intercept by the number
of Beaman arc divisions.’’1
Figure 15.11 shows the verniers within the telescope of
the alidade. The V scale on the left shows the Beaman arc
divisions, expressed in single steps. The center scale shows
the vertical angle expressed in degrees and minutes. The H
scale on the right shows the distance correction per 100 ft,
expressed in feet and tenths. These scales are trigonomet-
rically inter-related. In the example shown, the line of sight
is level, so the Beaman arc step reads 50, the vertical angle
is at 90, and the horizontal correction is at 100 ft.
Notekeeping (Figure 15.12) is a vital component of
F IGURE 1 5 . 1 0 Johnson head assembly (From Davis, R. et al. planetable topography. The notes are a record of the set-up
1981. Surveying Theory Practice. 6th ed. New York: McGraw-Hill. Reprinted locations, the backsight and foresight stations, the horizon-
with permission from McGraw-Hill)
suffice for either the backsight or foresight. If plane table

traverse is required to obtain two required sights, closure
should be assured before the resumption of topography.
Vertical information is obtained by two methods: differential
leveling and trigonometric leveling, both achieved by sight-
ing a surveyors rod graduated in feet, tenths of feet, and
hundredths of feet.
Distances are obtained using stadia. In the telescope of
the alidade there are cross-hairs and stadia wires (see Figure
36.6). Cross-hairs are horizontal and vertical index lines in
the form of a cross through the center of the eyepiece ret-
icle. The stadia wires are proportionally placed at one-half
an interval from the cross-hairs. (Some instruments also
provide a one-quarter interval stadia wire.) In modern ali-
dades the full interval’s proportion is 1:100. Thus, one foot
of rod (or one meter) intercepted between the full stadia
wires means that the rod is 100 ft (or meters) distant from
the instrument. An experienced observer will focus on the
distant rod, use the drive screw to place the lower stadia
wire on an even foot, and then read the upper stadia wire.
When obstructions prevent the full stadia interval from be- F IGURE 15.11 A look through the microscope at K&E vernier,
self-reducing alidade
ing read, the half-stadia interval is read and then doubled
to obtain the full distance (quarter-stadia interval multiplied
by four). 1
American Congress on Surveying and Mapping, and American Society of Civil
Differential leveling may be used where the cross-hair of Engineers. Definitions of Surveying and Associated Terms. Revised 1978. Reprint.
the alidade, set on a level horizon, intercepts the rod. This Bethesda, Maryland: American Congress on Surveying and Mapping, 1989.

TOPOGRAPHIC SURVEYS
F IGURE 15.12 Alidade plane-table notes
tal and vertical readings, the mathematical computations 1. No contour error shall exceed Ⳳ1⁄4 contour inter-
and the shot descriptions. The notes are used immediately, val
literally as they are being created. Later they will be verified
2. No error in individual ground shot, picked at ran-
in the office, and corrections made to the hard copy. The
information on the set-up, sights, distance, and description dom, shall exceed Ⳳ0.3 ft
make it easy to find and rectify any bad shots. 3. Distance between ground shots shall not exceed 1ⴖ
on scale
Field Checks with the Alidade-Planetable
A distinct advantage of planetable topography is the many 4. Contour interpolation shall be done with extreme
checks and verifications inherent to the entire map-making care in every direction (radially)
process. At the beginning of the set-up, three known hor-
izontal and vertical points are consulted. Previously plotted The contouring of the map is best performed by the
locations are verified at set-up matchlines. The topographer topographer on-site, but many survey companies prefer an
is frequently able to catch mathematical errors made by the office person to perform this task to save field-time. How-
notekeeper. The office checker apprehends any that slip ever, the topographer should at least contour the tricky ar-
through. The rodperson also checks the drawing in pro- eas while the notekeeper and rodperson are gainfully
gress, to be sure the topographer has interpreted well the employed obtaining inverts, cutting line, or measuring
sequences and dimensions involved. Omissions are structures.
avoided, as all plotting is performed in the field. Figures 15.13 and 15.14 are sample checklists that may
The following standards of accuracy should be applied save time and prevent any details from being overlooked in
to alidade-planetable work: the field and office.

TOPOGRAPHIC SURVEYS
Planetable topographic check list

15.13
F IGURE
288
TOPOGRAPHIC SURVEYS
Checklist for drafting topographic surveys

15.14
F IGURE
289
TOPOGRAPHIC SURVEYS
F IGURE 15.15 Baseline field notes
BASELINE TOPOGRAPHY pending upon its location in the field. The data for each
A baseline topographic survey relates horizontal and vertical shot consists of a station along the baseline, a rod shot, a
data to a known reference line, that is, a baseline. This distance off the baseline, and an abbreviated description.
method is particularly suited for long-line surveys, such as The distances with the descriptions are obtained first, and
roads, utility corridors, and streams. The baseline is sta- the shots are marked with keel or flagging. When all the
tioned along its length. For each feature, the station and horizontal measurements are complete, the leveling run
the distance left or right of the baseline is noted and an commences. With elevations established at each baseline
elevation obtained. station, they can also be used for benchmarks. On pave-
The baseline can be the centerline of a road, an offset ment, concrete, storm or sanitary structures, the rod is read
line, a property line, or a traverse line, whichever is the to the nearest hundredth of a foot. On ground shots, the
most practical. The line is stationed in increments, such as rod is read to the nearest tenth of a foot. After the levels
25 ft, with a hub or nail set at each one. Elevations are then are run, the rod shots are subtracted from the height of
established at each station. instrument (H.I.) and the elevations are written above the
Baseline field notes are unique in that they begin at the rod shot. In the office, the math is checked, and the profile
bottom and run up the page. As shown in Figure 15.15, and cross sections are plotted to the appropriate scale.
the notes are set up with the profile level run on the left
page and the cross-section notes on the right page. To ac- DETERMINATION OF STRIKE AND DIP OF OUTCROPS
commodate the cross sections, plenty of space is left be- Strike and dip represent the orientation of weakness planes
tween the profile stations. On the cross-section page, a line in geological seams. Figure 15.16 shows the relationship of
is struck from top to bottom to represent the baseline. Each strike to dip. Dip is perpendicular to the strike. Strike is
location is written to the right or to left of the line, de- the compass bearing of a plane, while dip is a measure of
TOPOGRAPHIC SURVEYS
␣ ⫽ The apparent dip

RCH ⫽ The reference corehole
MCH ⫽ Marker bed corehole
tan ␥ ⫽ cot ␣1 ⫻ tan ␣2 ⫻ cosec ␮ ⫺ cot ␮

(15.32)
where:
␥ ⫽ The angle measured A1 to 2 to the true dip direc-

tion
A ⫽ Azimuth (or bearing) between coreholes
␣1 ⫽ Apparent dip between the reference corehole
and a second corehole
␣2 ⫽ Apparent dip between the reference corehole
and a third corehole
␮ ⫽ Angle between azimuths for apparent dips A1 to 2
and A1 to 3
tan ␦ ⫽ tan ␣1 ⫻ sec ␥ (15.33)
where:
F IGURE 15.16 Strike and dip
␦ ⫽ The true dip
␣1 ⫽ The apparent dip between the reference core-
hole and a second corehole
the inclination of the plane. The dip angle is the angle of
␥ ⫽ The angle measured A1 to 2 to the true dip di-
inclination of the plane measured from the horizontal.
rection
Finding the strike and dip depends on given information
and the type of solution method chosen. The example in- 1. Assume a reference point. For the example let
cluded for illustration in this chapter uses trigonometric that be corehole #1 (see plot of Figure 15.17).
procedures. Other options for determining results include
graphic methods that involve descriptive geometry and so-
lutions that employ a nomograph.
E X A M P L E : The data from three core holes is

listed in Table 15.2. Calculate the true strike and dip
of the marker bed.
The computations involve solving the following
three simple equations.
Elev.RCH ⫺ Elev.MCH
tan ␣x to y ⫽ (15.31)
Dist.RCH to MCH
where:
T A B L E 1 5 . 2 Data for Coreholes

Determine Strike and Dip
COREHOLE ELEVATION OF
NO. SEAM BED DISTANCE
1 850 ft 1–2, 1100 ft

2 725 ft 1–3, 1840 ft
3 600 ft
.....................................................
Bearing from corehole #1 to #2: N 05⬚ 00⬘ E
Bearing from corehole #2 to #3: N 30⬚ 00⬘ W
F IGURE 15.17 Sketch of corehole data
TOPOGRAPHIC SURVEYS
2. Calculate the apparent dips using Eq. (15.31).
Elev.RCH ⫺ Elev.MCH
tan ␣x to y ⫽ (15.34)
Dist.RCH⫺MCH
125
tan ␣1 to 2 ⫽ ⫽ 0.11364
1100.0
␣1 to 2 ⫽ 6.483⬚
250
tan ␣1 to 3 ⫽ ⫽ 0.13587
1840.0
␣1 to 3 ⫽ 7.737⬚
With two apparent dips determined and the horizontal
angle between them also known, Eq. (15.32) supplies the
direction of the true dip. This angle, determined in Eq.
(15.32), is measured from the azimuth A1 to 2 thus estab-
lishing the line of the true dip direction.
tan ␥ ⫽ cot ␣1 ⫻ tan ␣2 ⫻ cosec ␮ ⫻ cot ␮
⫽ cot 6.483⬚ tan 7.737⬚ ⫻ cosec 35⬚ ⫺ cot 35⬚

⫽ 8.80000 ⫻ 0.13587 ⫻ 1.74345 ⫺ 1.42815
⫽ 0.65641
⬖ tan⫺1 ␥ ⫽ 33.2812⬚ ⫽ 33⬚1⬘652.4ⴖ (15.35)
Use Eq. (15.33) to find the true dip.
tan ␦ ⫽ tan ␣1 ⫻ sec ␥ (15.36)
1
⫽ 0.113636 ⫻
cos 33⬚ 1⬘6 52.4ⴖ
⫽ 0.113636 ⫻ 1.196190 ⫽ 0.135931 F IGURE 15.18 Graphic solution to determine strike and dip
⬖ tan ⫺1
␦ ⫽ 7.74
Figure 15.17 is a plot of the example and Figure 15.18 lection of the necessary field data in the most effective and
represents a graphic solution. Plot the two apparent dips efficient manner is during the planning process. This is also
from an origin with their lengths equal to the cotangent of the time for establishing a contour interval that will satisfy
their respective values. Next, join the termination point of accuracy requirements.
the respective apparent dips. The connecting line represents The process moves forward from the planning stage to
the true strike. A perpendicular line from the true strike the fieldwork. Field crews establish a survey control net-
line through the origin represents the cotangent of the true work for both horizontal and vertical surveys that follow.
dip. Values determined by scale yield close approximations These surveys require coordination with boundary surveys
of the mathematical results. and in some instances they are combined. Existing features
are located including buildings, roads, utilities, waterways,
SUMMARY vegetation and other features that might impact on the de-
Topographic maps are an essential part of the planning pro- velopment. Elevations required for developing contours are
cess. The construction phases of land development projects determined. This data is reduced to a form necessary for
rely on topographic maps for grades and location of im- mapping.
portant topographical features. If such maps are not of a Decisions on the size of drawings, scale ratios, labels and
high quality they can cause costly mistakes and time delays. necessary notes precede the mapping process. Plot points
Time spent planning the fieldwork and mapping for these in their proper location as defined by the horizontal control.
surveys reduces the likelihood of errors and omissions in Label elevations of respective points and begin the inter-
the final product. polation process appropriate to the data collected. Draw the
The time for making determinations concerning type or contour lines on the determined interval. Impose informa-
combination of types of survey methods appropriate for col- tion on other features related to the topography. Finally, on
TOPOGRAPHIC SURVEYS
completion of the drawing, make a check of the information Geodetic and Topographic Surveying. Dept. of the Army Technical
shown prior to release of the map. Manual. Government Printing Office, Washington, 1970.
The method for gathering the data for a topographic map Low, Julian W., Plane Table Mapping. Harper & Brothers, New
is simply a choice based on the circumstances associated York, 1952.
with the property to be mapped. Whether one chooses an Map Reading, Dept. of the Army Field Manual. Government
electronic survey system, photogrammetry, or one of the Printing Office, Washington, D.C., 1969.
systems more commonly used in previous years, the con- Moffitt, Francis H., and Harry Bouchard, Surveying. 9th ed., Har-
cepts for determining what features will be mapped and per Collins Publishers Inc., New York, 1992.
what other considerations are to be given remain consistent. Sloane, Roscoe C., and John M. Montz, Elements of Topographic
Drawing, 2nd ed., New York: McGraw-Hill, 1943.
REFERENCES The Surveying Handbook, edited by Russell C. Brinker and Roy
Davis, Raymond E., Francis S. Foote, James M. Anderson, and Minnick. Van Nostrand Reinhold, New York, 1987.
Edward M. Mikhail. Surveying Theory and Practice. 6th ed., Wolf, P.R., Elements of Photogrammetry, Wind ed., New York:
McGraw-Hill Book Co., New York, 1986. McGraw-Hill, 1983.

TOPOGRAPHIC SURVEYS

PART IV.B REFINEMENT OF PREVIOUS ASSUMPTIONS
CHAPTER 16
PRELIMINARY ENGINEERING
David A. Jordan, P.E.
INTRODUCTION developing the final site plan. The deliverable documents,

Preliminary engineering is an integral component of the produced during preliminary engineering, represent a final
third step in the land development design process: sche- check of the development program before the more detailed
matic design. As discussed earlier in this handbook, sche- final engineering proceeds. This provides, not only the
matic design is preceded by feasibility and site analysis (step developer/builder and/or local governing review agencies,
1) and conceptual design (step 2). The last stage of the but also citizens, with a greater sense of comfort as to the
design process is final design. The focus of this chapter is feasibility and construction costs associated with the pro-
on preliminary engineering associated with the develop- posed development program.
At this stage, the developer/builder may be the owner
ment of the schematic design.
of the property or may be the contract purchaser with con-
Preliminary engineering is a refinement of the previous
tingencies built into the contract, such as getting a rezoning
two steps in the design process. The purpose of this re-
or other application approved. Another contingency may be
finement is to create a deliverable, often in the form of a
achieving a specific lot yield or obtaining the desired gross
graphic, such as a site plan or rezoning development plan,
floor area of a building.
but may include checklists and/or reports suitable for re-
It is important to understand that the development pro-
view by the developer/builder and local governing agencies.
gram is always subject to change, particularly if it is pre-
Generally, preliminary engineering is performed by civil en- sented to citizens and/or public review agencies. Hence, the
gineers. However, the developer/builder, planner, architect, preliminary engineering phase of the design process is of-
reviewers at the local governing agencies, as well as citizens tentimes an evolutionary process that can last for months
may be contributors to this process. or even years as the public process progresses. As an ex-
This stage of the design process includes an engineering ample, it is not uncommon for changes to the site grading
review of the schematic design/preliminary site layout. and layout to occur as a result of citizen comments re-
During the earlier design stages, the development program questing additional open space and tree preservation areas.
was determined, pertinent information gathered, the site
analyzed with all opportunities and constraints presented, COMPONENTS OF A PRELIMINARY ENGINEERING STUDY
and a preliminary site layout prepared. Now it is time to Although the level of detail required when performing a
fine-tune the design by refining the previous assumptions. preliminary engineering study may vary, depending on the
Although preliminary engineering reflects a level of de- developer/builder’s needs or the submission requirements
sign detail necessary for review and approval by local gov- of the local governing jurisdiction, certain items are always
erning agencies, often a preliminary engineering deliverable required.
is not always required by local governing agencies. How- A comprehensive base map is an essential part of the
ever, the developer/builder himself typically requests this preliminary engineering analysis. Ideally, this item includes
level of detail prior to incurring the cost associated with field-run topographic survey information, the site boundary,
295
and the existing structures and features of the site. The base vary significantly at the regional level. Although the config-
map should also include the site opportunities, such as urations and grading of such facilities are subject to change
buildable areas and natural site amenities, and site con- during the final engineering, it is important to determine if
straints, such as wetlands, floodplains, and environmental enough room has been set aside to achieve the required
corridors. All of these items should be surveyed or at least quality and release rate.
tied down to the boundary survey. It is important that any Additionally, the spillway capacity of the stormwater
demolition requirements be addressed as well with the base management/water quality facilities should be determined.
map. Oftentimes the spillway capacity, which is related to the
The focus areas for a comprehensive preliminary engi- hazard classification of the facility, has to be increased if the
neering study are identical to those that will be performed facility is found to be a hazard to downstream dwellings.
during final engineering; the difference is in the level of Subsequently, a dam break analysis should be performed
detail. Whereas final engineering documents are more pol- and hazard classification should be determined. If off-site
ished and can be used for construction, the preliminary easements are required downstream for a breach, these
engineering documents are refined enough to ensure that should be obtained as soon as possible.
problems do not arise if preparing the final documents for
construction. The components of a preliminary engineering Floodplain Studies
study are as follows: Existing floodplains that were approximated during the site
analysis stage of design should be modeled using field-run
Suburban Street Design (and Site Layout)
topography. Additionally, these floodplains should be
The horizontal configuration of roadways from the sche- brought into the base map so that their expanse can be
matic design should be finalized and checked for geometric more accurately identified.
accuracy. Widths of proposed pavements should be shown
based on expected traffic volumes. Any curbs, gutters, and Grading and Earthwork
sidewalks should also be depicted. Profiles of roadways
should be prepared to verify vertical geometric accuracy, Grading is one of the most important steps of the prelim-
sight distance, and cut/fill requirements. inary engineering process. It determines the extent of the
The preliminary layout should be tied down to the site clearing limits of the project and determines if any require-
boundary, and lots and/or land divisions should be comments for off-site construction are needed. Additionally,
puted and checked for geometric accuracy. Building set- earthwork analyses can be performed using the preliminary
backs should be established and building envelopes grading plan to check whether the proposed project bal-
represented. ances or will require the import of fill or export of cut.
All on-site and off-site improvements should be shown, The civil engineer should review soils mapping and/or
including easements necessary for utilities and ingress- available geotechnical reports during preliminary engineer-
egress (access). (See Figure 16.1.) ing. The investigation should include problem soils and
rock formations.
Storm Drainage Design
The horizontal placement and sizing of the storm sewer Wastewater Collection/Wastewater Treatment
pipe and structures should be done after the streets and The horizontal placement of the sanitary sewer should be
general site layout have been designed. Typically, profiles of determined. Additionally, as-built information of existing
the storm sewer system are part of the final design. How- sanitary sewer pipes should be obtained to verify capacities
ever, select profiling should occur during preliminary en- and vertical elevations for future tie-ins. Profiles of the san-
gineering to locate vertical conflicts with other utilities. itary sewer are normally part of final design. However, se-
Additionally, flow capacities of proposed and existing sys- lect profiling should occur during preliminary engineering
tems should be checked. Since the adequacy of the drainage to locate vertical conflicts with other utilities and determine
outfalls is critical, as-built information of existing storm sys- whether there is adequate cover over pipes, such as at
tems and field run cross-sections of existing drainage chan- stream crossings and in roadways.
nels should obtained. Downstream treatment plants should be contacted to
confirm that they have capacity for the proposed flows from
Design of Stormwater Management Facilities the development. If public sanitary sewer is not available
Sizing the stormwater detention facilities is typically part of to the project, alternative methods for wastewater treatment
the preliminary engineering stage of the design process. In will need to be explored. As an example, if septic systems
order to size the facilities, it is important to determine the are being used for sewage treatment, they should be prelim-
specific water quality or pollution-removal requirements as inarily sized and configured. In order to do this, percolation
well as the allowable stormwater release rates for the protests in the area of these proposed fields will have to be
posed development. The water quality requirements vary performed to determine the rate at which the soil can ab-
greatly from region to region within the country and even sorb the effluent.

16 䡲 PRELIMINARY ENGINEERING 297
F IGURE 16.1 Example of a preliminary site plan.
Water Distribution/Water Treatment gram, can be determined at this stage of the project now
The horizontal configuration of the water supply system that the preliminary sizing of the above-mentioned items is
should be determined. Water pressures in the immediate complete. Such costs can be approximated using nationally
vicinity of the proposed development should be checked, published reference manuals or by using the local governing
as well as the fire flow requirements. agency pricing guidelines. Oftentimes the developer/
If the public water supply system is not accessible, then builder has a database of cost guidelines it wishes to utilize
borings for well water must be performed or other methods or the designer uses previously designed and built projects
of water supply to the project will need to be examined. for unit price costs.
Erosion and Sediment Control Miscellaneous Items

A general erosion and sediment control program should be Checklists and reports are often prepared during the site
determined at this stage of the design program to ensure analysis and site selection stage of the design process. It is
compliance with local code requirements. Some jurisdic- good practice to update and/or prepare new checklists and
tions will review and approve rough grading/erosion and reports as part of the preliminary engineering process. An
sediment control plans so the developer/builder can get on- example of a preliminary engineering checklist is provided
site and start construction while preliminary and/or final in Figure 16.2.
engineering efforts are still under way. During the preliminary engineering stage of the design
process, it may become apparent that waivers and/or mod-
Cost Estimating ifications to local design standards and zoning ordinances
Preliminary cost estimates of the proposed improvements, may be required. Obtaining waivers or modifications may
including the fees associated with the development probe critical in meeting the objectives of the proposed devel-

F IGURE 16.2 Example of a preliminary checklist.

16 䡲 PRELIMINARY ENGINEERING 299
F IGURE 16.2 (Continued) Example of a preliminary checklist.

F IGURE 16.2 (Continued) Example of a preliminary checklist.
opment program, to facilitate the eventual construction ef- Preliminary construction cost estimates and review fee
forts, or to speed up the design review process. Unique or estimates may or may not affect the design program or the
nonstandard construction details should be preliminarily design and construction schedules.
prepared and analyzed during this stage of the design pro- Value engineering should be accomplished prior to final
cess. design because changes that occur after final engineering
Gas, electric, cable, and telephone line availability should has commenced are costly and create schedule problems.
be checked if not already investigated during the feasibility Delays to plan approval and to obtaining permits for con-
struction are almost certain if major design changes are re-
stage of the development program.
quired during final engineering to save costs.
VALUE ENGINEERING PRIOR TO FINAL DESIGN ADDITIONAL READING

Brown, Thomas L., Site Engineering for Developers and Builders,
An important part of preliminary engineering is determin- National Association of Home Builders. Washington, D.C., 1988.
ing the most economical approach to design and construc- Colley, B.C., Practical Manual of Land Development, McGraw-Hill,
tion without significantly altering the design program. The New York, 1993.
process of economizing the design program is termed value De Chiara, Joseph, and Lee E. Koppelman, Site Planning Stan-
engineering and should be accomplished before final engi- dards, McGraw-Hill, New York, 1978.
neering. Galaty, Fillmore W., Wellington J. Allaway, and Robert C. Kyle,
The main purpose of this effort is to identify cost-saving Modern Real Estate Practice, Real Estate Education Company,
opportunities to the developer/builder. It may or may not Chicago, 1988.
include all members of the project team, such as the ar- National Association of Home Builders (NAHB), Land Develop-
chitect, planner, public agency reviewer, attorney, construc- ment, NAHB, Washington, D.C., 1987.
tion manager, and developer/builder. National Association of Home Builders (NAHB), Land Develop-
ment Manual, NAHB, Washington, D.C., 1974.
It may become apparent, for instance, after the prelim-
Northern Virginia Builders Association, The Basics of Land Acqui-
inary grading study and earthwork calculations are per-
sition, Northern Fairfax, Va, 1985.
formed, that the site elevation should be raised or lowered
Northern Virginia Building Industry Association and Virginia
to balance the earth materials. Reconfiguring lots may re- Bankers Association, Guidelines for Environmental Site Assessment,
duce street lengths and utility requirements. Perhaps re- Fairfax, Va., 1990.
grading or adding retaining walls might preserve more open Urban Land Institute (ULI), Residential Development Handbook,
space and trees. ULI, Washington, D.C., 1978.

CHAPTER 17
ENVIRONMENTAL AND
NATURAL RESOURCES
Kim Larkin
OPEN SPACE AND VEGETATION PRESERVATION existing trees and other associated vegetation, including the
understory trees, shrubs, vines, and herbaceous plants.
‘‘Tree protection in land development should be a shared
community responsibility. Developers need to approach The Values and Benefits of Trees and Open Space
their projects with some environmental sensitivity. Citizens
Understanding the significance of tree preservation requires
need to understand the needs of developers. And local gov-
a basic understanding of the values and benefits provided
ernments must be flexible, yet recognize and support the
need for tree protection and replacement. If all three sectors by trees. Figure 17.1 illustrates the functional uses of trees
cooperate, our cities can grow while remaining beautiful and their associated vegetation, from which the following
and environmentally healthy.’’ (Macie and Moll, 1989). values and benefits are derived. The values and benefits
related to architectural design elements include:
Introduction 䡲 Aesthetics
An increase in the awareness of the benefits that open space
䡲 Space definition and articulation
and vegetative buffers provide, both individually and in ag-
gregates, has caused the issue of vegetation preservation and 䡲 Screening undesirable views
augmentation to become an integral part of the land de-
䡲 Complementing or softening architecture
velopment process. As our built environment expands, it is
imperative that land development activities not compromise 䡲 Creating a sense of unity among inharmonious
the long-term quality of our environment. To this end, the buildings
responsibility of land stewardship is expanding beyond the
䡲 Providing textural and pattern variety
traditional disciplines of agronomy, environmental and soil
science, forestry and landscape architecture to include var- 䡲 Buffering incompatible land uses
ious engineering and legal professionals, corporations, com-
䡲 Attracting wildlife
munity and urban planners, public officials, and private
citizens. In short, any individual who participates in the Trees affect the microclimate of an area by moderating
land development process must understand and appreciate the effects of sun, wind, temperature, and precipitation.
the important functions and values provided by vegetative Such climatological values and benefits include:
buffers in climate, air, and water quality preservation. For-
ested area preservation, as well as other open space pres- 䡲 Intercepting, filtering, or blocking unwanted solar
ervation is a vital part of our economic future. radiation
Open space preservation in many cases is not limited to
䡲 Blocking undesirable wind by obstruction
the preservation of individual trees alone; rather, the term
‘‘open space preservation’’ generally implies preservation of 䡲 Directing wind flow by deflection
301
ENVIRONMENTAL AND NATURAL RESOURCES
F IGURE 1 7 . 1 Functional uses of plant material which have measurable value and benefits. (From International Society of Arboriculture: Guide
to Plant Appraisal, 8th ed., 1992)

17 䡲 ENVIRONMENTAL AND NATURAL RESOURCES 303
䡲 Reducing wind velocities by filtration velopment. The idea underlying preservation ordinances is
that if site development is balanced with appropriate pres-
䡲 Moderating temperature changes (although this is
ervation, then the end result is largely beneficial to all those
more directly a function of solar radiation interception)
participating. Land development and preservation need not
The value and benefits of trees and open space relative be mutually exclusive. In fact, open space preservation has
to site development and engineering are equally as impor- been demonstrated to prevent flood damage, attract invest-
tant. These include: ment, revitalize cities, boost tourism, along with preserving
the environment (Lerner & Poole, 1999).
䡲 Decreasing stormwater runoff directly through Since communities differ in their natural environment,
interception of rainfall and water uptake through the political structures, cultural traditions and legal framework,
root system, as well as filtering pollutants contained in preservation ordinances can and do vary between jurisdic-
runoff from the adjacent watershed tions. However, all have the similar goal of protecting sig-
nificant natural resources or historic views. All of the
䡲 Stabilization of soils
regulations or ordinances are, and need to be, specific to
䡲 Reducing the glare and reflection characteristically local conditions, circumstances, needs, and desires (Robi-
generated by the combination of buildings and/or nette, 1992).
roadways and natural and/or artificial light Regulations within preservation ordinances may also
vary widely between jurisdictions. Some localities are quite
䡲 Acting as noise attenuators
specific as to the percentage of existing vegetation that must
䡲 Interacting with the particulate matter and gasses be retained and have designed methodologies for determin-
known to cause air pollution to significantly reduce the ing the extent of existing vegetation to be targeted for re-
concentrations of these pollutants tention. Other localities simply offer general guidelines
requiring that all attempts possible be made to retain ex-
䡲 Adding extra oxygen to the atmosphere
isting vegetation. Most ordinances will establish the defi-
䡲 Recreational opportunities (gardening, ballfields, nitions, procedures, penalties, and appeals process specific
hiking trails) to the individual locality for preservation and protection. In
some instances, preservation ordinances are developed to
䡲 Education
protect entire ecosystems, such as those areas that are
䡲 Non-polluting transportation (bike trails) known habitats of rare, threatened or endangered species,
or watersheds that drain into a public water supply.
䡲 Tourism
Since variation between ordinances can be great, and all
䡲 Flood protection ordinances are specifically reflective of the local policies,
circumstances and needs of a particular area, it is more
All of the architectural, aesthetic, climatological, and en- critical here to understand the general basic premise for an
gineering uses give value to trees that can be described in ordinance, rather than the details specific to many localities.
both economic and legal terms (Miller, 1988). Because of Be aware that specific preservation ordinances exist in a
these measurable assets, trees and open space contribute to majority of the towns, cities, and urbanized areas nation-
and enhance property values. The resulting sum of values wide and that they may either be separate or included as
equates to an improvement in the quality of life for every- part of larger ordinances. It is the responsibility of the site
one. designer (or design team) to be cognizant of the require-
ments particular to the jurisdiction in which a specific pro-
Preservation/Protection Ordinances ject is located.
Open spaces are considered valuable environmental re-
sources, and the incremental loss of these resources has Open Space and Tree Preservation and the Site
prompted many jurisdictions to enact legislation to preserve Development Process
and protect forested areas and farmlands, as well as indi- It is critical to understand that in order for open space and
vidual trees. In addition, increasingly poor water quality tree preservation to be successful, it must be integrated into
and urbanization in areas that were once very rural have the early planning stages of land development. It is nearly
led communities to protect more than just the natural re- an impossible task to address these types of preservation
sources, but entire watersheds and viewsheds as well. This later in the site design stages and achieve the optimum bal-
legislation is generally enforced through local zoning or ance between the built and natural environments. Retro-
landscape ordinances. Generally, these ordinances are not fitted open space and tree preservation has a greater chance
intended to place unreasonable constraints on land devel- of failure and can actually create unwanted liabilities. Prop-
opment. Many of these ordinances have been created to act erly planned and implemented open space and tree pres-
as guides for land development so that the preservation of ervation can enhance the aesthetic, natural and economic
a valuable resource or viewshed is balanced with site de- environments for all.

Preservation is best accomplished during the early plan- buildings, parking lots, utilities, and other development
ning or feasibility phase of site development, as part of the program features integrated into the conceptual design of
site inventory and analysis. To ensure the success of any the site. The objective is to place site improvements where
preservation program, the tasks associated with the for- there will be a minimal impact on the desirable vegetation
mulation of the preservation plans should be completed by targeted for preservation.
a professional, knowledgeable in the topics of biology, phys- As the site design progresses from the conceptual design
iology, taxonomy, and ecology, as well as the relationship phase to the schematic design phase, the preservation or
between those ecosystem functions and land development. conservation plan should be developed concurrently to de-
Many methodologies exist for determining the quality of tail clearing limits, preservation areas or protection zones,
trees or other natural resources, but all have a common goal and protection techniques to implement the desired pres-
of identifying the high quality habitats existing on a partic- ervation successfully.
ular site. The following discussion addresses the basics ap- It should be noted during project planning that the COE
plicable to most methods of vegetation analysis and regulatory division, as well as many state governments, has
preservation. Again, familiarity with regulations pertinent to placed a recent emphasis on the preservation of vegetative
the locality within which the site is located is the respon- buffers located adjacent to riparian areas (streams, rivers,
sibility of the site designer or design team. lakes, etc.), particularly if the buffer area is forested. Ripar-
Prior to any site visit, a review and analysis of the exist- ian forest buffers have been found to have significant ben-
ing site conditions will provide an overview of the limits of efits to water quality (Klapproth & Johnson, 2000).
the existing vegetation, the site topography, soils locations Planning for the preservation of these riparian buffers dur-
and descriptions, riparian areas such as streams, ponds and/ ing the conceptual design phase may assist with future per-
or wetlands, open fields, existing buildings, and other ex- mitting.
isting and/or natural features. All of these living and Ideally, all trees along clearing limits and proximate to
nonliving factors influence the species and quality of veg- construction should be located by survey methods, plotted
etation indigenous to the site. A review of recent aerial pho- on a map, and identified by species and diameter size.
tography of the site affords an overview of the site and a These individual trees along the clearing limits should be
characterization of existing vegetative patterns. evaluated for their respective health and structural condi-
Existing site information or data collected during a site tion, expected longevity, critical root zone areas, potential
visit can range from general to detailed, depending upon tolerance to construction activity, the suitability of the spe-
the level of information desired or required regarding the cies for the new use, and the level of ongoing maintenance
vegetation. At a minimum, the data collected during a site (Harris, 1992). This evaluation process will assist in iden-
visit should include the following: tifying which trees are the best or most appropriate candi-
dates for preservation. Typically, groups of trees are more
䡲 Identify individual, significant trees, groups of simi- successfully preserved than individual trees, and younger
lar trees trees are more tolerant of changes in their environment than
older trees.
䡲 The species present
䡲 The quality of forest structure Forest Preservation, Location, and Function
For the purpose of this discussion, it is important to un-
䡲 Relative age and condition
derstand the biological and structural differences between
䡲 Note any riparian areas trees growing under different conditions. Trees located in
the forest interior have few lower limbs, the root systems
Other information can include: must compete with many neighbors for water and nutri-
ents, their crowns spread considerably in competition for
䡲 The locations of scenic vistas, important wildlife sunlight, and their growth is slowly upward toward the
habitats, or obvious past or present management activ- light. When site grading removes some of the surrounding
ity (e.g., logging, prescribed burning, etc.) trees, previously interior trees are exposed to desiccation
䡲 Transplantable tree stock from wind and sun, their hydrologic regime is altered (usu-
ally becoming drier), and they become subjected to in-
䡲 Obvious insects or diseases present creased insect and disease infestations. These trees will tend
䡲 Any other natural or cultural features that may to have a spindly appearance and will overtime sprout nu-
contribute to the significance of the vegetative cover merous short branches. Windthrow can also be a critical
and ambiance of the project problem for these trees because of their top-heavy structure
and relatively shallow root systems.
The appropriate analysis of this collected data identifies Trees that grow naturally at the edge of a forest function
and prioritizes the quality of the existing vegetation and its to protect the forest interior. Therefore, their growth pattern
placement in the landscape. The prioritization of the exist- tends to be outward, away from competing neighbors, both
ing vegetation in turn influences the placement of roads, above and below ground. Most of the branches on edge
trees grow outward toward the abundant light with few 䡲 Raising the grade, which can suffocate roots
branches occurring on the shaded side, resulting in a lop-
䡲 Compacting the soil, which crushes and suffocates
sided structure. When site clearing removes trees from the
roots
shaded side of edge trees, the trees are subject to increased
stresses from the new exposure, increased occurrence of 䡲 Changing the hydrologic regime (wetter or drier)
insects and disease, and windthrow. When construction ac- by altering existing drainage patterns
tivity alters the existing grade on the open side, these trees 䡲 Storing, dumping or disposing of construction ma-
suffer considerable root damage, since their roots extend far terials that are toxic to plants in or near preservation
beyond the canopy dripline, and are also subject to wind- areas, like concrete washout areas
throw.
Isolated trees have adapted to life in an exposed situa- For these reasons, tree protection fencing or other pro-
tion. They do not compete directly with other trees for sun- tection devices should generally be located outside the drip-
light, water, and nutrients. Their growth patterns are line of trees that are to be preserved and should be
outward and upward in all directions. Generally, isolated implemented prior to or at the beginning of any clearing
trees have well-rounded crowns and branch in all directions and grading activities.
along most of the length of the trunk. Roots of isolated trees The tree preservation zones, delineated during the sche-
generally spread further from the trunk than do roots of matic design phase for the site, should be further refined
trees growing in competition with each other. during the conceptual design (preliminary site layout)
phase. Often, compromises between the site development
program and tree preservation zones occur as the proposed
Protection of Trees During Construction
site grading is refined. Trees deemed to be severely im-
In tree preservation, the root zone area is the critical and pacted by the proposed construction should be identified,
limiting factor of success. Plants depend upon roots for wa- primarily according to the impacts on the critical root
ter and mineral uptake, storage of food reserves, and the zones, with recommendations for their future disposition.
synthesis of needed organic compounds and anchorage. Extensive coordination and communication between the
Generally, tree roots are located in the upper 36 in. of the design team and the professional preparing the tree pres-
soil, with the majority of the roots in the upper 18 in. ervation plan is absolutely essential, especially at this stage,
However, two factors that can significantly alter that gen- because successful integration of the development program
eralization are the soil texture and existing forest litter. The and the existing natural environment is dependent upon
finer the soil texture, the shallower the absorbing tree roots; clear and concise communication and coordination.
similarly, the thicker the leaf litter, the shallower the ab- During Construction and Beyond. Open space preserva-
sorbing roots. In many cases, the feeder roots of trees tion, as with tree and forest preservation, must be incor-
growing in finer texture soils and/or mature forest situa- porated into the early planning process of site development.
tions will occur in the upper six to twelve inches of soil It can include the preservation of old field ecosystems, ri-
(Harris, 1992). parian areas of all types, specific geological formations,
Any land development activity that affects the roots of springs, etc. The preservation of these areas varies widely.
trees will directly affect the above-ground portions, either Old fields are primarily made up of a mix of perennial
proportionately or disproportionately. Recent research has flowers, grasses, and what some would classify as weeds.
found that tree roots can extend far beyond a tree’s dripline, Many wildlife species rely on these old fields for foraging
typically branching out from the trunk a distance of 0.5 to and reproduction. In fact, many song bird species rely
1.5 times the tree’s height (McDaniel, 1997). Healthy roots strictly on old fields as their primary habitat. Old field areas
grow where the soil aeration, moisture, soil temperature, are accustomed to some manipulation, such as annual bush
nutrients, and soil structure are favorable. hogging, grazing, or fire. Therefore, provided that these ar-
Unless the tree canopy is physically or chemically dam- eas are not graded, and the seedbank is protected, old fields
aged in some way, or the trunk or branches are physically tend to be more resilient than forested areas during con-
or mechanically damaged, most construction-related injury struction activities. However, the long-term development
involves root damage. One common form of construction- plan for such an area should recognize that some type of
related tree root damage (Figure 17.2) occurs because of manipulation will likely be necessary in the long term to
extensive disturbance of the soil peripheral around preser- maintain these areas as open fields. The preservation of
unique geological features (e.g. caves and natural springs)
vation areas while removing the trees adjacent to the pres-
may require the review and recommendations of a geologist
ervation areas (e.g., pulling stumps instead of grinding
or hydrogeologist to ensure their preservation after a pro-
them). Other damage includes:
posed change in drainage or compaction.
䡲 Root severance in the topsoil stripping process or Open Space and Tree Preservation Plan
in lowering grades
As the site development progresses from the preliminary to
䡲 Excavating for footings or trenching for utilities the final site layout phase, written detailed recommenda-
F IGURE 17.2 Construction-related damage to tree roots.

tions regarding site specific preservation areas, tree preser- Water Pollution Control Act Amendments of 1972 (PL 92-
vation techniques, and remedial care of tree preservation 500), it was amended in 1977 and renamed the Clean Wa-
areas are incorporated into the refined preservation plan. ter Act (CWA), although you will not find a law specifically
The plans and specifications should include a written de- named the Clean Water Act. If you want to look it up, it is
scription and/or graphic depiction of the recommended U.S. Code Title 33 (Navigation and Navigable Waters)
protection fencing and its location relative to preservation Chapter 26 (Water Pollution Prevention and Control), Sec-
areas, as well as preservation techniques employed to action 1251. Chapter 36 of the Title 33 deals with the Corps
commodate grade changes (tree wells, retaining walls, of Engineers authority to regulate development under
spring boxes, drainage, or aeration systems). In addition, Chapter 26 Section 1251. As written, the Clean Water Act’s
the horticultural care of preserved trees, maintenance of Section 404 statute regulates the discharge of dredged or
open fields, and preservation or treatment of spring boxes fill material into navigable waters of the United States. As
should be incorporated into the final plans for all phases a result of a law suit settlement in 1975 (Natural Resources
of construction, including utility installation, pre- Defense Council v. Calloway, 392 F. Supp. 685 D.D.C 1975),
construction treatment, and post-construction maintenance. jurisdictional authority was extended to non-navigable wa-
Generally, the graphic preservation plan and written ters and wetlands.
specifications are included in the final site plans and be- This authority has been challenged several times as to
come part of the construction permitting process. At this the actual jurisdictional reach intended by the CWA, and it
point, it is probable that the coordination of the preserva- continues to be challenged. Most recently the Corps au-
tion plan will be extended to include the appropriate local thority to regulate isolated wetlands has been of great de-
reviewing agencies. Larger jurisdictions may have a separate bate. Isolated wetlands are those wetlands that have no
forestry or natural resources staff who coordinates these visible evidence of a surface water connection to navigable
plans, whereas smaller jurisdictions may rely on the forestry waters.
and natural resources staff at the state level. Regardless of A recent ruling (Jan. 2001) by the U.S. Supreme Court
their size, many jurisdictions now include preservation (Solid Waste Agency of Northern Cook County v. U. S. Army
plans as part of the legal construction documents; therefore, Corps of Engineers) found that the isolated waters in ques-
many jurisdictions assess penalties for preservation plan vi- tion did not meet the definition of ‘‘navigable waters’’ under
olations just as they would any other construction violation. the CWA and, further, that the use of the ‘‘Migratory Bird
Additionally, many jurisdictions require the inclusion of Rule’’ linking the regulatory authority to the Intrastate Com-
a long-term protective legal agreement, usually in the form merce was not supported by the CWA. This has allowed
of a recorded conservation agreement, to protect the lon- the filling of isolated wetlands, many of which are havens
gevity of preservation areas. These conservation easements for rare and endangered species, as well as filters for
place restrictions or conditions on uses within the preser- groundwater resources.
vation areas, many of which are permanent and are re- Historically, federal wetlands regulations allowed drain-
corded as land records. ing and channelization of wetlands. However, as the result
Finally, successful preservation requires active, respectful of settlement of a lawsuit in early 1992 (North Carolina
communication between all participants for the duration of Wildlife Federation, et al. v. Tulloch, Civil No. C90-713-
the project. This means not only between the professional CIV-5-BO (E.D.N.C. 1992) the Corps and the Environmen-
members of the site development team but with anyone tal Protection Agency (EPA) agreed to extend their
who will work on the site. For instance, an uninformed regulatory authority to include mechanized land clearing,
contractor, involved in the early stages of site construction ditching and channelization in wetlands as ditching activi-
can do unintentional but irreparable damage to prospective ties resulted in a discharge of fill material from the
preservation areas. However, if the role and contributing excavation activity ‘‘incidental fallback.’’ This extended
value of each participant is effectively communicated, then regulatory reach was challenged in 1998 and defeated, al-
the project succeeds and all benefit. Tree preservation is no lowing wholesale excavation and draining of wetlands pro-
longer incidental to land development, to be treated as an vided the dredge material was placed in an upland area, not
amenity; it has become both economically prudent and en- side cast into wetlands or waters. According to the EPA
vironmentally essential. Office of Water, between the 1998 ruling and April 2001,
upwards of 20,000 acres of wetlands and 150 miles of
‘‘A town is saved not more by the righteous men in it than by streams were targeted for destruction as a result of this
the woods and swamps that surround it.’’ Henry David Thoreau. loophole. Consequently, the EPA and the Corps published
a ruling that modifies the definition of ‘‘discharge of dredge
WETLANDS material.’’ This definition, found in 33 CFR part 323.2, now
Many development projects impact stream channels or wet- states: ‘‘the Corps and EPA regard the use of mechanized
lands that constitute waters of the U.S. and, as such, are earth-moving equipment to conduct landclearing, ditching,
regulated by the U.S. Army Corps of Engineers (Corps) un- channelization, instream mining or other earth-moving ac-
der the Clean Water Act. Originally known as the Federal tivity in waters of the United States as resulting in a dis-

charge of dredged material unless project-specific evidence the sun and recycling nutrients. They provide food and
shows that the activity results in only incidental fallback.’’ habitat for an array of wildlife and are critical in the nesting,
In other words, all who propose to conduct excavation migration, and wintering of waterfowl. While not account-
work in waters of the U.S. must notify the federal regulatory ing for nearly as high a percentage of our total land area,
authority and prove that the ditching results in only ‘‘inci- wetlands are critical to the life history of over one-third of
dental fallback.’’ our nation’s threatened and endangered plant and animal
For now, the Corps of Engineers has backed down on species. Coastal wetlands provide spawning habitat, as well
regulating isolated waters and wetlands and has asked for as nursery and feeding areas, for much of our commercially
proof of impact for excavation activities. However, other important fish and shellfish.
suits are pending. To combat wetland destruction, many As an example, consider the role of SAV in an estuary
states have closed this loophole by passing regulations on such as the Chesapeake Bay. Historically, vast numbers of
a statewide level. waterfowl (primarily redhead and canvasback ducks) win-
tered in the freshwater areas of the Bay where wild celery
Wetland Functions beds were abundant. Declines in SAV in the Bay and its
After a long history of wetland destruction, wetlands are rivers have led to a decline in the number of canvasbacks
increasingly recognized as providing desirable functions to and redheads overwintering in the area. In addition, com-
society. Today, wetlands are known to act as chemical sinks mercially important fish species such as striped bass, shad,
or transformers that can improve water quality. They act as and menhaden are dependent upon the Bay’s SAV for
‘‘kidneys of the landscape’’ (Mitsch and Gosselink, 1986) by spawning, feeding, and nursery habitat. Though likely not
removing excess nutrients in rivers and streams. At the the sole reason for their diminished numbers, as SAV de-
same time, wetlands reduce flooding by desynchronizing clined in the Bay, the commercial and sport fishery for
flood flows in drainage basins. This is done by storing storm striped bass was reduced to the point where all fishing for
water and releasing it slowly into streams, thus reducing the species was banned for several years in the 1980s.
peak flows. When located along streams and bays, wetlands
can buffer erosive forces and hold sediments, preventing Effects on Flooding
loss of shoreline. Wetlands can recharge or discharge aq-
Wetlands within a watershed can reduce flood flows along
uifers, depending upon their position on the landscape, and
streams through the storage of floodwaters they provide.
therefore may either replenish the aquifer or contribute to
Floodwaters are retained by the wetland and released grad-
base flow in streams.
ually after the storm. The relative ability of a wetland to
Water Quality alter flood flows depends on several variables, including its
size relative to the size of the watershed, its relationship to
As water purifiers, wetlands act to reduce nutrients, chem-
other wetlands in the watershed, and the amount of urban-
ical wastes, and turbidity. Nutrients such as phosphorus
ization in the watershed. In many respects, wetlands serve
and nitrogen are removed from water by wetland plants and
as a natural form of stormwater management. Coastal wet-
are utilized for growth. Utilizing the nutrients not only pre-
lands provide similar benefits in terms of reducing the po-
vents algal blooms, but the increased biological oxygen de-
tential flood damages associated with tropical storms,
mand created as the algal masses decompose can kill fish
hurricanes, northeasters, and the like. The wetland vege-
and other aquatic life as oxygen levels drop. A wetland’s
tation dissipates wave energy, thus reducing potential wave
ability to absorb nutrients varies between individual wet-
heights, while coastal wetlands serve as a buffer to protect
lands and wetland types. Furthermore, a wetland can be
shoreline areas from wave-induced erosion.
overloaded with nutrients and thus be unable to assimilate
all of the nutrient load.
Secondary and tertiary treatment of sewage wastewater Recreation
has been demonstrated on numerous projects allowing ef- In addition to commercially important fish and shellfish
fluent to flow through wetlands. Organic compounds are that depend on wetlands for all or part of their life cycle,
decomposed and nitrogen is converted to its gaseous form many of the species pursued by sport fishermen are
and removed (Mitsch and Gosselink, 1986). Heavy metals spawned or reared in our coastal wetlands. Hunting, es-
adsorbed to sediments fall out as sediments accumulate. As pecially for waterfowl, is ever popular and generates sub-
sediments fall out of the water column because of reduced stantial benefits to local economies. Waterfowl hunters
flow velocity, turbidity is reduced allowing sunlight to pen- spend over 300 million dollars annually on guns, ammu-
etrate to support growth of submerged aquatic vegetation nition, lodging, guides, boats, decoys, and other equipment
(SAV). in pursuit of their quarry (Feierabend and Zelazny, 1987).
In addition to consumptive uses like hunting, fishing, and
Fish and Wildlife Habitat trapping, many individuals spend a great deal of time (and
Wetlands are among the most productive ecosystems in the money) on non-consumptive uses such as bird watching,
world in terms of photosynthetically producing energy from hiking, and canoeing in wetlands. The EPA estimates that

over 50 million people annually visit wetlands for bird of the United States, Cowardin, et al. 1979). The structure
watching (USEPA, 1988). of this classification is hierarchical and includes five systems
further defined by subsystems, classes, subclasses, domi-
Wetland Losses nance types, and modifiers. The palustrine system includes
More than 50% of the wetlands in the continental U.S. have all non-tidal wetlands dominated by trees, shrubs, persis-
been destroyed in the last 200 years, according to the U.S. tent emergent, emergent mosses or lichens, and all tidal
Fish and Wildlife Service (Tiner, 1984). That is, of the ap- wetlands where salinity is less than 0.5%. Classes under the
proximately 215 million original acres, only about 99 mil- palustrine system describe the most common vegetative cat-
lion acres remained by the mid-1970s. Between the egories, including emergent, scrub-shrub, and forested wet-
mid-1950s and mid-1970s, a net loss of approximately 9 lands. These vegetative classes are further defined by
million acres of wetland occurred. Drainage of wetlands for subclasses that describe the dominant type of vegetation,
agriculture was responsible for 85% of losses, with devel- examples of which are listed in Table 17.1.
opment causing approximately 13% of the losses. Most Wetlands can also be assigned modifiers that describe
losses due to agriculture occurred in the Lower Mississippi the water regime or hydrologic conditions of the area, water
Valley and in the Prairie Pothole Region of the upper mid- chemistry, soils, and other special conditions. (See Table
west. Bottomland hardwood forest and marshes, respec- 17.2).
tively, were affected in these regions. As can be seen, the use of such a system allows for a
The loss of wetlands from urban and suburban devel- fairly detailed description of a particular wetland area. In
opment was greatest in coastal states. Over 90% of the wet- addition, the use of such familiar terms as marsh, bog, or
lands in California have been drained for agriculture or swamp may mean different things in different regions of the
filled for development since initial settlement. Over two- country. The use of the FWS system not only describes a
thirds of wetland losses in Delaware between the mid-1950s particular wetland more completely but also reduces con-
and mid-1970s (Tiner, 1984) were attributable to devel- fusion between different regional interpretations.
opment. Wetlands are located somewhere along a ‘‘natural wet-
Most recently, the greatest wetland loss in the U.S. has ness continuum’’ that exists on the landscape. Locating the
occurred in the coastal marshes of Louisiana. Approxi- boundary between wetlands and uplands (non-wetland ar-
mately 40 sq mi of freshwater and brackish water are con- eas) on this continuum is the objective of wetland deline-
verted to open water and more brackish wetland each year. ation manuals. The definition of what constitutes a
Causes of this destruction are both man-made and natural. jurisdictional wetland has proven controversial; many ver-
Land subsidence, rising sea levels, and manipulation of the sions of a single delineation manual have been generated
Mississippi River and its watershed are to blame (Tiner, with the full complement of federal agencies contributing.
1984). However, for one reason or another, the currently accepted
version of the manual is the U.S. Army Corps of Engineers
Wetlands Defined Wetlands Delineation Manual (Environmental Laboratory
Wetlands, as defined by the U.S. Army Corps of Engineers, 1987).
means ‘‘those areas that are inundated or saturated by sur-
face or ground water at a frequency and duration sufficient Methodology Criteria
to support, and that under normal circumstances do sup- The methodology for determining the presence of a wetland
port, a prevalence of vegetation typically adapted for life in is based upon three elements that define wetlands: soils,
saturated soil conditions. Wetlands generally include vegetation, and hydrology. For an area to be identified as a
swamps, marshes, bogs, and similar areas.’’ (33 CFR Part jurisdictional wetland, the area must contain these three
328.3b) wetland criteria: the presence of hydric soils, hydrophytic
Wetlands are a varied resource with many names, usually vegetation, and wetland hydrology, or evidence thereof as
associated with the prevalent vegetation. When wetlands in disturbed areas. Field indicators of the three wetland
share the same type of vegetation, they can take the same criteria are provided in the manuals, and when the field
name. For example, forested wetlands can be called indicators of each of the criteria are observed, the area is
swamps, and those dominated by grasses are marshes. No determined to be a wetland.
two wetlands have identical plant species diversity or the Hydric soil is defined as ‘‘a soil that is saturated, flooded,
same hydrologic and soil conditions. Generally, what all or ponded long enough during the growing season to de-
wetlands have in common is soil saturation or inundation velop anaerobic conditions in the upper part (USDA-SCS,
for extended periods (i.e., wetland hydrology) and vegeta- 1991).’’ These soils are typically recognized in the field by
tion adapted to these soil conditions (i.e., hydrophytic veg- observing soil color or the presence of a thick organic layer.
etation). Hydrophytic vegetation is defined as plant life growing in
The most commonly encountered classification system water or on a substrate that is at least periodically deficient
of wetlands was developed by the U.S. Fish & Wildlife Ser- in oxygen as a result of excessive water content (Environ-
vice (FWS) (Classification of Wetlands and Deepwater Habitats mental Laboratory, 1987).

TABLE 17.1 Classification Hierarchy of the Palustrine System Showing Class, Subclass, and
an Example of Dominant Vegetation
PALUSTRINE SYSTEM
CLASS SUBCLASS EXAMPLE
Emergent Persistent Cattail, Cordgrass

Nonpersistent Pickerelweed
.....................................................................................................................
Scrub-Shrub Broad-leaved Deciduous Alder, Buttonbush
Needle-leaved Deciduous Tamarack (sapling)
Broad-leaved Evergreen Inkberry, Bog Laurel
Needle-leaved Evergreen Pond Pine (sapling)
.....................................................................................................................
Forested Broad-leaved Deciduous Red Maple, Tupelo Gum
Needle-leaved Deciduous Bald Cypress
Broad-leaved Evergreen Sweet Bay, Mangroves
Needle-leaved Evergreen Northern White Cedar
From Cowardin, L.M.V. Carter, F.C. Golet, and E.T. Larue. 1979. Classifications of Wetlands and Deepwater Habitats of the United States. Washington, D.C.: U.S.
Fish and Wildlife Service.
TABLE 17.2 Modifiers to be Applied at Class Level and Lower in the Classification Hierarchy
MODIFIER EXAMPLE
Water Regime Nontidal

Permanently Flooded
Intermittently Exposed
Semipermanently Flooded
Seasonally Flooded
Saturated
Temporarily Flooded
Intermittently Flooded
Artificially Flooded
.....................................................................................................................
Water Chemistry Salinity Saline
Mixosaline
pH
Acid
Circumneutral
Alkaline
.....................................................................................................................
Soils Mineral
Organic
.....................................................................................................................
Special Excavated
Impounded
Diked
Partly Drained
Farmed
From Cowardin, L.M.V. Carter, F.C. Golet, and E.T. Larue. 1979. Classifications of Wetlands and Deepwater Habitats of the United States. Washington, D.C.: U.S.
Fish and Wildlife Service.

The hydrology of a wetland is the most important ele-

ment that defines the wetland type and function. Water that
creates wetlands comes from several sources, including
groundwater discharge, out-of-bank stream flow (flooding),
surface runoff of precipitation or snow melt, direct precip-
itation, or tidal flooding. The roles of groundwater and sur-
face water in creating wetlands are described in Figure 17.3.
As expressed in the figure, wetlands are located between
the seldom flooded upland and perennial waters of creeks,
rivers, and bays.
The presence or absence of wetland hydrology is deter-
mined using recorded data and field indicators. Recorded
hydrologic data, such as stream, lake, or tidal gauge records,
can provide information on the duration of flooding in areas
adjacent to the water body. In groundwater-driven wet- F IGURE 17.4 A wetland created by a beaver dam built on a
lands, the county soil survey can be useful in determining stream channel.
duration of soil saturation.
Wetland hydrology in the form of surface water or sat-
urated soils is readily apparent during certain times of the these conditions to create the great diversity of plants that
year in most wetlands and in other types of wetlands during grow in wetlands. About 7,000 plant species are included
most of the year (Federal Interagency Committee for Wet- on the Fish & Wildlife Service’s National List of Plant Species
land Delineation, 1989). Evidence of this could be standing that occur in Wetlands: 1988 (Reed, 1988). This list provides
surface water or muddy ground surface underfoot. How- habitat information and a wetland indicator for each spe-
ever, at those times of the year when surface water isn’t cies. The wetland indicator is an estimate of the probability
evident, wetland hydrology may not be as obvious. For of a species occurring in wetland versus non-wetland. A
these reasons, field indicators are used primarily to confirm hydrophytic vegetation determination is based upon the
the presence of wetland hydrology when hydrophytic veg- wetland indicator status of all dominant plant species in an
etation and hydric soil are determined to be present. An area.
example of obvious wetland hydrology is shown in the pho-
tograph of Figure 17.4, a wetland created by a beaver dam. Wetland Investigation—Off Site
A much less obvious wetland, created by groundwater dis- When determining the development potential of a partic-
charge, is shown in the photograph of Figure 17.5. ular piece of land, the developer should first evaluate the
Vegetation that grows in wetlands has adapted to per- land’s constraints. One of the first things to do beyond a
manently or periodically saturated/inundated soils and is Phase I environmental site assessment is to determine the
called hydrophytic vegetation. Many plants have adapted to presence of wetlands and other waters of the U.S. on site.
F IGURE 17.3 Schematic diagram showing wetlands, deep-water habitats and uplands on landscape. (Adapted from Tiner, 1984.)

the state of New York has mapped all of its wetland re-
sources of at least 12.4 acres (about 5 hectares), or less, if
of unusual local importance.
Soil Conservation Service (NRCS) County Soil Surveys.
The U.S. Department of Agriculture, SCS soil survey of a
county, if available, will indicate the soil map units that
occur on the site. If there are hydric soil map units or any
soil map units with hydric soil inclusions indicated, then
one could assume that these areas are potential wetlands.
This should be field verified. Greater confidence in that
determination would be obtained if the NWI map also
showed wetland in this area. If no hydric soils or hydric
soil inclusions are indicated in the study area, they can
probably be eliminated from further off-site investigation,
F I G U R E 1 7 . 5 A palustrine emergent wetland created by ground as they will likely lack the required soil criteria, but they
water discharge at the surface. should be field checked with a quick walkover for verifi-
cation. Remember, the SCS did not likely walk every square
inch of your site, and omissions of some hydric soils could
occur.
Typically, this process begins with an office investigation of Aerial Photographs. Aerial photographs can provide in-
available information. At a minimum, an office investigation formation on vegetation and hydrology in making off-site,
should be undertaken to determine the likelihood of wet- or desktop wetland determinations. Possible sources for
lands on the site. aerial photographs are county or city mapping or planning
Examples of readily available information are discussed offices and the U.S. Department of Agriculture, Agricultural
below. Stabilization and Conservation Service (ASCS) or NRCS of-
U.S. Geological Survey (USGS) 7.5 Minute Topographic Se- fices located in each county.
ries Maps. The largest scale these maps are available in Many counties, especially those with growing popula-
is 1:24,000, directly from the U.S. Geological Survey. Locate tions, will regularly commission aerial photo surveys to
the site boundaries on the map and note any marsh symbols update county land-use mapping. Color infrared (CIR)
or lakes, ponds, rivers, and other water bodies on the site. photography is the most useful when identifying wetland
Keep in mind that the USGS usually bases these hydrologic areas from the desktop with aerial photographs as it can
symbols on data from the driest time of year (Environmen- highlight differences in vegetation and soil moisture. The
tal Laboratory 1987). In addition, topographic detail is lim- county ASCS office may have available CIR photos for the
ited on these maps because the contour intervals are farmed portion of a county. These are used to determine
typically 5 or 10 ft. farm subsidies and to enforce the Swampbuster provisions
Wetlands Mapping. Much of the U.S. has been mapped of the latest version of the ‘‘Farm Bills.’’ They can also assist
by the U.S. Fish and Wildlife Service (FWS), National Wet- in your off-site or desktop wetland delineation.
land Inventory (NWI). The USGS 7.5 Minute Topographic In addition, local governments will obtain aerial photos
Series map (Quadrangle) is the base for these maps. The to create topographic maps or to update older land-use
NWI map is prepared from aerial photos, and wetlands are mapping. Similar photos, possibly at a larger scale, may be
designated according to the Fish and Wildlife Service’s Clas- available for the site if it has been photographed for the
sification of Wetlands and Deepwater Habitats of the United development of detailed topographic mapping.
States (Cowardin, et. al. 1979). If the NWI map indicates
wetlands on the site, there is a high probability (⬎90%) Preliminary Wetlands Investigation
that they are jurisdictional wetlands, unless the water re- A preliminary wetland investigation starts where the office
gime is temporarily or intermittently flooded. Wetlands investigation left off. The information from the office inves-
with either of these two water regimes may not be wet long tigation is used in the field to identify and to delineate wet-
enough to be considered jurisdictional wetlands (Environ- lands on the site more accurately. Ideally, the field study
mental Laboratory, 1987). Water must be present for ap- should be done by a team of at least two individuals familiar
proximately 12.5% of the growing season or greater in order with the soils, vegetation, and hydrologic indicators in the
for a wetland to be considered to exhibit the hydrology region. Wetland boundaries should be field sketched onto
criteria. Growing seasons range from county to county and the best available topographic mapping. Field notes, and/
can be found within your local Soil Conservation Service or wetland data sheets should record the hydrologic con-
(now the Natural Resources Conservation Service) soil ditions, soil characteristics, and dominant vegetation in
maps. State and local wetland programs may have created each of the wetland types encountered. Notes on the ra-
wetlands mapping that includes the site area. For example, tionale behind the boundary delineation should be made,

including characteristics of the upland areas at the wetland/

upland boundary. Some surveyor’s flagging may be tied to
vegetation or wire flags placed in the ground to delineate
roughly the wetland boundary for later capture by field sur-
vey.
Although the preliminary field investigation should focus
upon areas mapped with hydric soils and hydric soil inclu-
sions, and/or areas mapped as wetland on NWI maps. All
of the drainage swales and low-lying areas should be visited
to identify any and all wetlands and to identify the stream
channels that qualify as waters of the U.S.
Wetland Delineation Criteria

In the field, professionals are utilizing the approved field
delineation manual to evaluate the three primary character-
istics of a wetland—that is, the things that make a wetland
‘‘wet,’’ as described earlier. In order for an area to be clas-
sified as a wet, the anaerobic conditions in the soil, which
create certain chemical and morphological properties, are
readily observed. For example, soil color is recorded util-
izing Munsell Soil Color Charts (Munsell Color, 1992). The
color of a soil is described with three variables: hue, value
and chroma. The hue variable is used to relate the color of
the soil as either red, yellow, green, blue, or purple. The
value indicates the color’s degree of lightness, and the
chroma is its strength. In the Munsell Soil Color Charts
book, each hue has its own page. Value and chroma are
shown on the vertical and horizontal axes, respectively, of
each page. A numeric scale on each axis increases with in-
creasing value (lightness) and increasing chroma (strength).
Typically, mineral soils subjected to prolonged saturation F I G U R E 1 7 . 6 A gleyed hydric soil sample being compared to
or inundation express the condition as gleization and mot- the Munsell Soil Color Chart
tling. Gleization is seen as a predominant neutral gray to
sometimes greenish or bluish gray color (low chroma) in
the upper part of the soil profile. Reduced compounds are Hydrophytic vegetation is plant life that has adapted to
easily leached from the soil under saturated anaerobic con- saturated soil conditions. The field indicators of hydro-
ditions, and the low chroma indicates an absence of iron. phytic vegetation include the identification of the dominant
Mottling represents incomplete reduction of the soil’s iron tree, sapling-shrub: herbaceous, and woody-vine species. A
and is seen in the upper part of the profile as mosaics of wetland indicator status from the National List of Plant Spe-
brown or red oxidized soil interspersed with low chroma- cies that Occur in Wetlands: 1988 (Reed, 1988) is assigned
reduced areas. Typically, the grayer or more gleyed the soil, to each species of plant to determine the probability of find-
the longer the duration of soil inundation or saturation. The ing that plant growing under saturated conditions. This
dominant color of the soil (⬎50%) is called the matrix and status indicates the frequency of occurrence of a species in
the remainder, mottles. In most cases, when the matrix has wetlands as shown in Table 17.3.
a chroma of two or less with mottles present, or one or less Under the current Corps of Engineers Wetlands Delineation
without mottles, the soil is hydric. In some problem soils, Manual, more than 50% of the dominant species must have
such as sandy soils and soils derived from red parent ma- an indicator status of OBL, FACW, or FAC for an area to
terial, the gleization may not be exhibited due to the meet the hydrophytic vegetation criterion.
extremely low (sandy) or extremely high natural concentra- Wetland hydrology, generally the most difficult of the
tion of iron. Wetland identification in these problem area three criteria to verify in the field, is normally confirmed
soils may take slightly longer to identify in the field, and through the use of field indicators. The wetland delineator
require detail beyond the scope of this chapter. must keep in mind that while some indicators are not nec-
Organic hydric soils are largely an accumulation of non- essarily indicative of the presence of wetland hydrology
decomposed plant remains (peat). These soils are easily rec- during the growing season, they do provide evidence that
ognized as hydric soil by a thick organic surface layer that inundation or soil saturation has occurred. Field indicators
is saturated for most of the year. listed in the Corps manual include the following:

TABLE 17.3 Indicator Categories Showing the Estimated Probability of a Species Occurring in
Wetlands vs. Non-Wetlands
PROBABILITY OF
INDICATOR STATUS OCCURRING IN WETLANDS
Obligate Wetland ⬎99%

(OBL)
.....................................................................................................................
Facultative Wetland 67–99%
(FACW)
.....................................................................................................................
Facultative (FAC) 34–66%
.....................................................................................................................
Facultative Upland 1–33%
(FACU)
.....................................................................................................................
Upland (UPL) ⬍1%
䡲 Visual observation of inundation or saturation of the boundary and/or total wetland acreage must be ac-
curately known. A wetland boundary would need to be
䡲 Watermarks indicating prior inundation
accurately known when designing a project so as to avoid
䡲 Driftlines of water-carried debris wetland impacts. Accurate wetland acreage is also necessary
when determining the proposed wetland fill impacts of a
䡲 Sediment deposits
project for the permitting process.
䡲 Drainage patterns within wetlands An accurate acreage can be used to confidently deter-
mine eligibility for general permits (discussed in the follow-
䡲 Oxidized rhizospheres
ing section), for example. Furthermore, if wetland creation
The current Corps delineation methodology requires that is part of the permit conditions, precise wetland acreage is
positive indicators of all three wetland criteria be present important because of the high cost of creating replacement
to delineate an area as wetland. The wetland-upland bound- wetland.
ary is determined where one or more of the criteria falls As described earlier, the basic premise in defining the
out. The only exception to this is the situation where one wetland-upland boundary is to determine the point where
or more of the criteria is not present due to a disturbance one or more of the mandatory technical criteria is not met.
to the area. A common example of a disturbed condition is In its simplest form, at Point A, indicators of all three cri-
the situation where hydrophytic vegetation is not present teria are present and the area is determined to be a wetland;
because of farming activities that have temporarily replaced at Point B, one or more of the criteria is not met and the
the natural vegetation with planted crops or pasture. area is upland. Delineating the boundary is a matter of de-
The accuracy of a preliminary wetlands investigation is termining where, between Point A and Point B, one of the
lessened when the topographic relief is low and the wetland parameters changes.
is not confined to distinct stream valleys. A lack of land- In some areas, especially where an abrupt change in to-
marks in areas of low relief also limits the accuracy of the pography or a distinct difference in vegetation occurs, the
preliminary study because sketching the wetland boundary boundary delineation is straightforward. However, the sit-
in the field is an approximation and landmarks aid in plac- uations where the change is very gradual generally are the
ing it correctly. All of these factors influence the reliability most difficult areas to delineate. A detailed investigation re-
of the preliminary wetlands study. quires a much more intensive sampling effort, with more
sampling points. The boundary is then flagged with sur-
Detailed Wetland Investigation veyors ribbon and located by field survey.
A detailed wetland investigation offers the most accurate
delineation and measurement of the jurisdictional area on The Regulatory Process
the site. The detailed study builds upon the office wetlands The simplest strategy for dealing with wetlands on a par-
investigation and the preliminary study, if one was done. ticular project is to know the location of the jurisdictional
This level of effort is necessary when the reliability level of areas (i.e., those areas regulated by the Corps) and avoid
the preliminary study is not sufficient or the exact location them in the development process. However, in many in-

stances, total avoidance is not practical (e.g., access and General permits are an authorization from the Corps is-
utilities), and some involvement with the regulatory process sued on a regional or nationwide basis for activities that
is inevitable. cause only minor individual or cumulative environmental
The degree of involvement in the regulatory process de- impacts. Authorization of a project by general permit often
pends on the amount of jurisdictional area that is proposed requires little or no review by the Corps, provided specific
to be affected. Almost all regulatory programs have a min- conditions can be met. Nationwide permits are a type of
imum threshold of wetland impacts that, once crossed, pro- general permit implemented through the Corps Nationwide
pel one into the regulatory process. Generally, a zero Permit Program Regulations (33 CFR Part 330). Generally
threshold is established for tidal wetlands and non-tidal speaking, in the interest of time and cost, it is more desir-
wetlands located below the headwaters, and, as such, any able to design a project in such a manner that impacts are
proposed fill in these areas requires permits. Headwaters authorized by general permit, rather than individual permit.
are defined in the Corps regulations as the area upstream The individual states each have a role in the Federal
of the point where a stream’s average annual flow falls below permitting process through the authority of Section 401 of
5 cubic ft per second, or in the Northeast U.S. approxi- the Clean Water Act. The state must certify that the granting
mately a 5 square mile drainage area. Currently, the Federal of a 404 permit by the Corps will not violate state water
Clean Water Act’s Section 404 threshold for non-reporting quality standards. Depending on the particular state and the
impacts to non-tidal headwaters including wetlands is 1⁄10 type of project, an individual water quality certification may
acre, provided you meet the general conditions of the na- be required or the project may qualify for a ‘‘blanket’’ cer-
tionwide general permit program. General conditions, es- tification issued to the Corps for certain activities. Some
sentially the fill activity, cannot affect historic sites, states have their own wetland permit program based in part
endangered species habitat, FEMA floodplains, etc. on their authority and responsibilities under Section 401.
Limiting impacts to less than the 1⁄10 acre of fill might The Federal review of a permit application to fill or alter
be accomplished by clustering buildings in upland areas wetlands follows the guidelines of Section 404(b)(1) of the
connected by road crossings of wetlands with minimal fill Clean Water Act. The use of these guidelines is addressed
impact. Another technique used to minimize wetland im- in the February 6, 1990 Mitigation Memorandum of Agree-
pacts is to use the existing wetlands as an amenity to the ment (MOA) between the Corps and the EPA. This MOA
development, particularly if some open water exists or can sets forth the sequencing procedures to be followed by the
be created. Open space, buffers, or green space require- agencies in determining whether a proposal avoids, mini-
ments of some zoning ordinances can be satisfied utilizing mizes, and compensates for impacts.
the wetland area that is avoided by development. Avoidance, as used in the 404(b)(1) Guidelines, allows
Many states initiated programs to protect wetlands from for the issuance of a permit only for the least environmen-
a range of activities that the Federal Section 404 regulations tally damaging practicable alternative. The Guidelines also
did not address. Typically, state wetland protection laws reg- introduce the presumption that alternatives for non-water
ulated draining, channelization or clearing of vegetation. In dependent activities exist that do not involve impacts to
addition, some states have gone further to protect those special aquatic sites, including wetlands.
areas by requiring buffer areas adjacent to wetlands to pre- Once an alternatives analysis has demonstrated that the
vent damage to the resource. Many states have used the proposed action is the least environmentally damaging op-
authority to issue or deny water quality certification under tion, the Guidelines require that practicable steps to mini-
Section 401 of the Clean Water Act to regulate some fill mize unavoidable impacts be investigated. Minimization
impacts to wetlands. A state can deny water quality certi- may include project modifications or permit conditions. For
fication of a proposed wetland fill, under the premise that example, time-of-year restrictions are often imposed as a
the state’s water quality standards are not being met. permit condition for bridge or culvert construction to min-
The types of wetlands involved and the degree and mag- imize impacts to the movement of aquatic life or to spawn-
nitude of the potential impacts will dictate the type of wet- ing fish. The Guidelines define ‘‘practicable’’ as being
land permit required. At the Federal level, the Corps can available and capable of being done after taking into con-
authorize projects through either individual or general per- sideration cost, existing technology, and logistics in light of
mits. Individual permits undergo a ‘‘public interest’’ review overall project purposes.
by the Corps, where factors such as property ownership, Finally, when alternatives, avoidance, and minimization
economics, aesthetics, environmental concerns, historic val- have been considered to the reviewing agency’s satisfaction,
ues, fish and wildlife values, flood damage prevention, land compensation for unavoidable impacts is normally re-
use, navigation, recreation, water supply, water quality, en- quired. Compensation types can be very diverse, ranging
ergy needs, safety, and food and fiber production, must all from the use of vegetated buffers adjacent to waterways
be considered and balanced. Such individual permits are onsite, in the form of restoration of degraded wetlands, or
granted by the Corps unless their issuance would be con- the creation of man-made wetlands. Man-made wetlands
trary to the public interest. can be created on or off site, although they are typically

preferred within the same river basin. In addition, mitiga- Adamus, Paul R., et al., Wetland Evaluation Technique (WET); Vol-
tion can also occur in an approved ‘‘mitigation bank.’’ Mit- ume Literature Review and Evaluation Rationale, USAE Waterways
igation banks are large man-made wetland areas that offer Experiment Station, Environmental Laboratory, Vicksburg, Mis-
mitigation credits for sale. The numbers of credits you will sissippi, 1991.
need will be based on the types and amount of your wet- Corbitt, Robert A., Standard Handbook of Environmental Engineer-
land impacts. These banks have gone through rigorous reg- ing, McGraw-Hill, N.Y., 1990.
ulatory approvals to insure the created wetland success. Cowardin, L. M., V. Carter, F. C. Golet, and E. T. Laroe, Classifi-
Also, if approved by the agencies, the developer could opt cation of Wetlands and Deepwater Habitats of the United States,
U.S. Fish and Wildlife Service, Washington, D.C., 1979.
to utilize an ‘‘in lieu fee.’’ This is a fee based on the cost
per acre of creating mitigation sites in the general vicinity Darr, Lonnie, A Technical Manual for Woodland Conservation with
Development in Prince Georges County, Maryland-National Capital
of the project. The ‘‘fee’’ is placed in a fund to pay for the
Park and Planning Commission, Upper Marlboro, Md., 1990.
creation of mitigation banks within the watershed of im-
DeChiara, Joseph, and Lee E. Koppelman, Time-Saver Standards
pact. This is especially useful in highly developed water-
For Site Planning, McGraw-Hill, New York.
sheds where potential mitigation creation areas are scarce.
The Environmental Audit Handbook, Business & Legal Reports,
It should be noted that federal regulatory agencies typically
Inc.: Madison, Connecticut, 1990.
prefer on-site mitigation to mitigation banks or in lieu fees,
Environmental Laboratory, Corps of Engineers Wetlands Delineation
when it is feasible, and can provide similar benefits to the
Manual, U.S. Army Engineer Waterways Experiment Station,
wetlands lost. Vicksburg, Mississippi, 1987.
The primary goal of compensatory mitigation is to re- EPA National Pollutant Discharge Elimination System Permit Ap-
place the functional values of the resource to be impacted. plication Regulation for Storm Water Discharges, 40 CFR pts.
Creating new wetlands is expensive and opinions vary 122, 123 and 124, 1990.
widely on the true potential for success of man’s attempts Federal Interagency Committee for Wetland Delineation; U.S.
to replicate a natural system. Thus, wetland creation should Army Corps of Engineers, U.S. Environmental Protection Agency,
not be viewed as a simple trade-off for the right to affect U.S. Fish and Wildlife Service and the U.S. Department of Agri-
natural wetlands. The regulatory agencies do not view it in culture, Soil Conservation Service, Federal Manual for Identifying
this manner, and a successful permit application for a land and Delineating Jurisdictional Wetlands, Washington, D.C.: U.S.
development project involving wetland impacts will have Government Printing Office, 1989.
considered these steps of alternatives analysis, avoidance, Feierabend, J. Scott, and John M. Zelazny, Status Report on Our
and minimization throughout the design process. Nation’s Wetlands. National Wildlife Federation, Washington,
D.C., 1987.
Final NPDES General Permits for Storm Water Discharges from
Possible Consequences of Violation Construction Sites 57 Fed. Reg. 41,176, 1992.
Administrative and civil action or criminal prosecution are General Accounting Office, Wetlands: The Corps of Engineers’ Ad-
possible with violations of the regulations and have histor- ministration of the Section 404 Program, Washington, D.C., 1988.
ically been pursued in that order. Most violations are cor- Harris, Richard W., Arboriculture: Integrated Management of Land-
rected through administrative procedures, such as orders to scape Trees, Shrubs and Vines, 2d ed. Prentice Hall: Englewood
restore affected areas to their original condition, according Cliffs, New Jersey, 1992.
to a 1989 Memorandum of Agreement between the EPA Klapproth, Julia C., and James E. Johnson, ‘‘Understanding the
and Corps. After-the-fact permits cannot be issued ‘‘until all Science Behind Riparian Forest Buffers: An Overview.’’ Virginia
administrative, legal and/or corrective action has been com- Cooperative Extension, Publication Number 420-150. Posted
pleted.’’ Flagrant or repeat violators can be setting them- Oct. 2000. See also http: / / www.ext.vt.edu / pubs
selves up for fines of $10,000 per violation up to a Lerner, Steve, and William Poole, The Economic Benefits of Parks
maximum of $25,000 for minor violations. Major violation and Open Space, San Francisco, CA:Trust for Public Land, 1999.
Also see http: / / www.tpl.org.
penalties can reach $10,000 per day up to a maximum of
Liebesman, Lawrence R., Developer’s Guide to Federal Wetlands
$125,000 and/or jail time.
Regulations, National Association of Home Builders: Washington,
D.C., 1990.
REFERENCES Macie, Edward A., and Gary Moll, Shading Our Cities: A Resource
16 U.S.C. 1531 et seq. Endangered Species Act, 1973. Guide for Urban and Community Forests, Gary Moll and Sara
Ebenreck, eds, American Forestry Association, Island Press,
16 U.S.C. 661 et seq. The Fish and Wildlife Coordination Act,
1964.
McDaniel, Allen, ‘‘Roots: where are they?’’ The Virginia Gardener
29 CFR Parts §1910.1000 et seq. (1991)
Newsletter, Vol. 6, No. 8. August 1987. See also http: / /
40 CFR pts. 260-299 (1991) www.ext.vt.edu / pubs
55 Fed. Reg. 48,065, 1990. Miller, Robert W., Urban Forestry: Planning and Managing Urban
56 Fed. Reg. 50,759-50,770, 1991. Greenspaces, Prentice Hall: Englewood Cliffs, New Jersey, 1988.

Mitsch, W. J., and J. G. Gosselink, Wetlands, Van Nostrand Rein- Tiner, Ralph W., Jr., Field Guide to Nontidal Wetland Identification,
hold, New York, 1986. Maryland Department of Natural Resources, Annapolis, Maryland
Moll, Gary, and Sara Ebenreck, eds, Shading Our Cities, A Re- and U.S. Fish and Wildlife Service, Newton Corner, Massachu-
source Guide for Urban and Community Forests, American Forestry setts, Cooperative publication, 1988.
Association, Island Press, 1989. Tiner, Ralph W., Jr., U.S. Fish and Wildlife Service Wetlands of the
Munsell Color, Munsell Soil Color Charts, Munsell Color, Macbeth United States, Current Status and Recent Trends, National Wetlands
Division of Kollmorgan Instruments Corp., Baltimore, MD, Inventory Project, U.S. Department of the Interior, Fish and Wild-
1988. life Service: Washington, D.C., 1984.
National Association of Home Builders of the United States, U.S. Environmental Protection Agency, America’s Wetlands: Our
Land Development. National Association of Home Builders of the Vital Link Between Land and Water, Washington, D.C., 1988.
United States, Washington, D.C., 1987. U.S. Department of the Interior, National Park Service, National
Neely, Dan ed, Valuation of Landscape Trees, Shrubs, and Other Register Bulletin: How to Apply the National Register Criteria for
Plants: A Guide to the Methods and Procedures for Appraising Evaluation, Publication #15, Washington, D.C.
Amenity Plants, 7th ed, International Society of Arboriculture, U.S. Environmental Protection Agency, Guidance Manual for the
Urbana, Ill., 1988. Preparation of NPDES Permit Applications for Stormwater Dis-
O’Brien, James P., and William Harris Frank, Environmental Due charges Associated with Industrial Activity, Office of Water Enforce-
Diligence, The Bureau of National Affairs, Inc., Washington, D.C., ment and Permits, Washington, D.C., 1991.
1989. U.S. Environmental Protection Agency, NPDES Storm Water Sam-
Parkin, William P., Marburg Assoc., Site Auditing: Environmental pling Guidance Document, Office of Water, Washington, D.C.,
Assessment of Property, Specialty Technical Publishers, Inc.: Van- 1992.
couver, B.C., Canada, 1991. U.S. Environmental Protection Agency, Storm Water Management
Reed, P.B., Jr., National List of Plant Species That Occur in Wet- for Construction Activities: Developing Pollution Prevention Plans and
lands, in cooperation with the National and Regional Interagency Best Management Practice, Office of Water Enforcement and Per-
Review Panels, U.S. Fish and Wildlife Service, National Wetlands mits, Washington, D.C., 1991.
Inventory, St. Petersburg, FL, 1988. U.S. Environmental Protection Agency, Office of Water.
Salvesen, David, Wetlands: Mitigating and Regulating Development U.S.D.A. Soil Conservation Service, Hydric Soils of the United
Impacts, ULI—The Urban Land Institute, Washington, D.C., States, in cooperation with the National Technical Committee for
1990. Hydric Soils, USDA-SCS, Washington, D.C., 1991.


CHAPTER 18
HISTORIC PRESERVATION
AND ARCHEOLOGY
Elizabeth Couture, MURP, MARCH
INTRODUCTION Example of Preservation

‘‘Preservation’’ seeks to understand our human fabric as de- President John Adams enacted construction of the C&O
fined by the physical structures built and left by people Canal on July 4th, 1828, with the belief it would expand
before our time. Archeology tells the story of people at a economic trade and land development west from Washing-
particular time or within a particular place based upon the ton D.C., the Nation’s capital, along the Potomac River to
physical ‘‘things’’ left behind. Together they provide history. locations in western Virginia and West Virginia. (See Figure
Moreover, such history may be extremely important to a 18.1.) Construction ended in 1850. Public and private in-
specific land parcel, location, group of people (community), vestment exceeded 7.5 million. The canal was 184.5 miles
jurisdiction, state and/or our nation. long, up to 60 ft wide, 6 ft deep, one tunnel 3,118 ft long,
History energizes our goals for tomorrow. We look to the and 74 locks. Each lock location spurred the economic
past for understanding, direction, patterns, and avoidance growth of a small community. Severe floods in 1889 and
of mistakes.
F IGURE 18.1 C&O Canal.
319
HISTORIC PRESERVATION AND ARCHEOLOGY
F IGURE 18.2 Photo of C&O Canal lock reconstruction.
1924 closed the canal. Re-construction failed after the 1924 source does not exist. Age, typically defined as over 50
flood. years, coupled with a profile of historic events, persons,
Use of the canal diminished and it quietly closed years architectural style, and/or the innovative use of building
later. Preservation efforts began in 1971; canal remnants materials. once guided professionals to identify historic re-
were determined significant to our Nation’s history. Various sources. Today, the task of definition is more complex.
sections of the canal in Maryland and Virginia were restored Other factors of local interest, vernacular styles, land use,
as public parks. Thirty years later, archeological and build- quantity (supply) and ever-changing technological advances
ing reconstruction efforts remain strong. affect and modify traditional terms and resource definitions.
Figure 18.2 shows the C&O Canal lock under recon- One example is the Quonset hut. (See Figure 18.3.)
struction. Dewberry & Davis architects, engineers and re- Manufactured by the thousands for military and later in-
source staff started in 1998 inspecting and documenting all dustrial use during World War II, the Quonset hut is on
structures, parts of and whole, along the 184.5 path. Over the edge of becoming a historic resource. It represents a
2,100 photographs and inspection finding reports are now building type unique to a time in history that now stands
on file for public use. in diminishing quantities nationwide.
It is important to note that, even today, any land devel- The Quonset hut, like railcars or diners, exemplifies the
opment effort with views of and/or a location near the canal broadening of what defines a historic resource. Case studies
hold accelerating economic value; people value the historic nationwide, whether resolved by court rulings, financial
context and aesthetic setting. Clearly, President Adams’ goal investment decisions, citizen input, or public regulatory
for expanded economic growth and development along the controls, support broader terminology to define historic re-
Potomac River has been realized.
The Process
Land development is a continual process that reshapes our
physical environment in response to the needs of people.
By serving such needs, land development contributes to the
inventory of historic resources for preservationist and ar-
cheological professionals tomorrow.
When the developer takes time to research a land parcel
(or parcels) relative to the people it will serve, then the
planning and creation of a new ‘‘place’’ will yield a product
worthy of respect for generations to follow. This initial goal
to understand people, their history and sense of place lays
the foundation for developing a research file important to
land development efforts.
WHAT IS A HISTORIC RESOURCE?

The preservation movement has clearly shown with time
that a clear-cut definition or set of terms for a historic re- F IGURE 18.3 Quonset Hut.
18 䡲 HISTORIC PRESERVATION AND ARCHEOLOGY 321
sources. Key terms like rehabilitation, restoration, repair, meriting national recordation. The survey was perma-
replacement, and/or reconstruction define different out- nently established by the Historic Sites Act in 1935,
comes in a development effort. Similarly, terms of mainte- mandating its administration to the Secretary of the In-
nance, stabilization and upkeep can translate into different terior. Today the survey encompasses over 30,000 case
costs and/or penalties where a historic resource is involved. records, providing the greatest repository of physical
Last, location terms like ‘‘historic setting,’’ ‘‘environment,’’ artifacts and architectural data in our nation.
‘‘district,’’ ‘‘conservation zone,’’ ‘‘distinct architecture,’’ ‘‘his-
䡲 The National Register of Historic Places: created un-
toric event,’’ and/or ‘‘landmark’’ indicate immediately that
der the 1966 National Historic Preservation Act by
public government involvement is inevitable.
Congress, the National Register lists over 60,000 prop-
The point is simple: know the meaning of terms used in
erties, structures, districts, archeological materials, and
documents, plats, and conversations regarding a parcel or
elements of the landscape that are determined signifi-
tract of land. Education yourself about local, state and fed-
cant to the cultural, architectural, environmental, tech-
eral publications pertinent to your development location.
nological, and archeological heritage of our nation. The
Secure and read publications by the U.S. Department of the
Register is maintained by the National Park Service
Interior, The State Preservation Officer, and local munici-
and works in cooperation with The National Trust for
palities pertinent to your property location that define a
Historic Preservation.
historic resource.
䡲 Another important agency is the U.S. Geological
THE FORMAL AND INFORMAL PUBLIC AND QUASI-PUBLIC Survey, which provides an in-depth database with maps
SYSTEM and photography for the study of land. Agency loca-
All levels of government that govern to a particular location tions are nationwide.
define the ‘‘public’’ or formal system. The ‘‘quasi-public’’ or 䡲 The Advisory Council on Historic Preservation: estab-
informal system centers on non-profit, organized, and often lished to assist the President and Congress, this ap-
incorporated, community associations that play a variety of pointed Commission serves to advise and arbitrate in
roles, direct and indirect, in historic preservation and ar- cases where federal funds are proposed for a particular
cheology. Often their role is defined by the perceived effect use that could result in an adverse impact to properties
that a development project will have on a location. listed on ‘‘The National Register of Historic Places.’’
Government involvement with the land development
process is exercised in three ways: 䡲 U.S. Housing & Urban Development (HUD): activi-
ties at all levels of government and private develop-
䡲 Legislature: laws and ordinances ment endeavors that utilize federal funds secured
䡲 Taxation: payment, credits, penalties, liens through HUD require an environmental assessment
with specific provisions focusing on the safeguard of
䡲 Eminent Domain: acquisition or condemnation for unique historic and archeological resources.
government use with ‘‘just compensation’’
䡲 The U.S. Department of Transportation (DOT):
The extent and use of each regulatory power varies with transportation projects as well as transportation corri-
state and local concerns, funding sources, permit require- dor studies are subject to an environmental and his-
ments, penalties and precedent examples of similar pres- toric resource assessment. This requirement has
ervation situations. Discussion of the public sector is significant consequence given the obsolescence, aging
divided into three parts: (1) Agencies; (2) Tools; (3) Strat- and anticipated replacement needs of the transporta-
egies. tion infrastructure nationwide. The importance of this
is heightened by the location of many of these ele-
Public Agencies: A Brief Description ments in close proximity to land uses and structures of
An important federal government agency is the U.S. De- historic and archeological merit. These may include
partment of the Interior which includes: designated historic districts, national parks, cemeteries,
monuments, and landmark properties as well as indi-
䡲 The National Park Service: created under the vidual bridges, roads, subways, tunnels, or paths signif-
Secretary of the Interior for the purposes of identify- icant in themselves as a function of design, location,
ing, establishing and managing resources within our age, materials, style, technology, and use.
landscape of national importance during the late 19th
Century. State agencies include:
䡲 The Historic American Buildings Survey: born out of 䡲 State Preservation Officer: each state has a State
a ‘‘work program’’ for skilled and unemployed persons Preservation Officer, who is responsible for review,
during the Great Depression that called for the prepa- evaluation, and recommendation regarding activity as-
ration of architectural drawings, field notes, photogra- sociated with properties having existing or potential
phy and site documentation of specific buildings historic resources.
䡲 Administration and Planning: administrative respon- proval. During this process the issues of preservation and
sibility for the planning, programming and budgeting site resources are commonly broached.
of activities related to historic properties and archeo- Permits: Permits are issued for demolition, remodeling or
logical surveys may be housed exclusively within one new construction. Permits frequently flag preservation re-
administrative or operating unit of state government. sources and issues, and immediate attention is drawn to a
Or, a range of services associated with such considera- particular land tract where existing improvements, based on
tions may be represented by individuals within several the age or location of an improvement, merit further study.
different departments charged with select functional Tax Assessments: Every local jurisdiction assesses prop-
duties, such as research, documentation, project devel- erty to define land values relative to taxes due. Tax assessors
opment, land-use, budget formulation or administrative field-inspect properties in support of land-value definition.
review of applications. Each state also has planning di- Those inspections often identify potential resources for file
visions and staff responsible for issues of preservation notation. Such documentation aids in the public review and
and archeology in context with zoning, master plan- identification process.
ning, and environmental assessment. To decipher Land Use Planning: Two sides typically include:
which agency best addresses a particular development
concern, start with the State Preservation Officer. 䡲 Environmental Assessment: the process of study to
determine if land use or prospective changes will affect
County and Local Governments: Responsibility at the local existing physical and natural environs of a locale. Part
municipal and county level may be extremely varied, de- of this process specifically includes the examination of
pending on the particular locale and the size of the govern- archeological and historic resources.
mental entity. Generally, control over historic and
䡲 Environmental Impact: the location of a building or
archeological resources is accommodated within the plan-
site adjacent to or nearby a historic site, landmark,
ning functions governing land-use controls. The profes-
conservation district, or historic district frequently war-
sional planning staff may be complemented by appointed
rants preservation assessment as a function of potential
history or architectural commissions, or historic boards,
negative impact.
who act in formulating local policies for adoption by elected
officials. Architectural and historic review boards may also
be appointed and serve to review individual land develop- The Public Process: A Strategy for Working Together
ment proposals for conformance with local standards and Public involvement and participation within the land de-
criterion. velopment and historic resource processes have been insti-
tutionalized in the United States. They include legislated
The Tools: Public Policies laws mandating that certain actions take place often within
Every piece of property is subject to public review, whether specific time periods. Select financial and tax incentives, as
under the guise of taxation, zoning or land use. Public re- well as penalties and fees, assist in the enforcement and
view pivots off public policies, enacted or directed by cost of such activities. Moreover, the power of eminent do-
elected officials at all government levels. Such policies are main fosters the government’s right to ‘‘take’’ property for a
the working tools of public control over land development. public good for ‘‘fair’’ and ‘‘just’’ compensation. All are ex-
Federal and state regulations play both an indirect role by amples of how participation is enacted.
underscoring the intent and direction of local enactments The public process also includes provisions for com-
and a direct role in cases involving the use of federal funds, munity involvement. It is the government’s responsibility to
environmental assessment, or site proximity to a national provide avenues for community participation, and it is pru-
landmark and/or district. A synopsis of those tools likely dent to expect (and foolhardy to think otherwise) that the
to be experienced during the planning and development of land development process will involve a high degree of
land that pertain to preservation resources follows. community involvement. It is precisely this mechanism that
Master Plans: Master Plans are public documents that provides individual citizens and other quasi-public entities
forecast and designate appropriate land-uses, areas for con- with an entrance into the public arena.
servation, and often places of historic significance over a Neighborhood citizen groups, homeowners’ associations,
time span, typically five, seven, ten or twenty years. tenant organizations, historical societies, and others can,
Tax Policies: Taxation policies usually address value as- through the government review process, find opportunities
sessments, rate credits or penalties designed to protect or to communicate concerns. Often, such concerns can serve
promote a particular type of resource. to completely change the direction of a development pro-
Zoning: Founded on the principle of directing land gram. Perhaps the most prudent advice lies in trying to
changes over time, zoning often works in conflict with pres- incorporate community concerns and participation within
ervation, as a resource once identified may introduce a the land development process at the earliest possible date.
land-use incompatible with the existing zone. Changing a Regardless of the simple or complex government system,
land-use typically requires zoning review and public ap- the increasing use of federal monies to fund local infrastruc-

ture and community improvements has prompted the mental liability exposure.’’ Most properties undergo varying
emergence of professional and community mechanisms at levels of environmental assessment.
all levels of government to insure compliance with federal This is occasioned for a variety of reasons, including pro-
mandates regarding the safeguard of historic and archeo- ject financing, site proximity to an existing historic property
logical resources. Mindful of this mission, land develop- or district, conformance with rezoning or permit require-
ment professionals should initiate preliminary research on ments, compliance with tax credit usage, and/or contain-
a property when the occurrence of historic or archeological ment of a potential resource. Environmental assessment is
resources is remotely anticipated. Start with the local gov- an increasingly common part of the development sequence
ernment level. Open informal dialogue with local authori- and serves as an added safeguard against otherwise unfore-
ties; however, enter into this dialogue prepared and seen circumstances that could have adverse financial,
informed of the review and assessment process and of the scheduling and/or legal consequences to a project.
property in question. Land development professionals Early assessment should seek to uncover sufficient prop-
should be prepared in most cases to discuss the following erty information to determine if elements such as waste
information items: disposal pits, dumps, ruins, endangered vegetation or phys-
ical elements exist to warrant further resource investigation.
䡲 Is the property of known importance to the heri- In each instance, the focus of early assessment should have
tage of our nation, state or local region? two objectives: (1) to identify any unique property char-
䡲 Were there important historic events, people, etc. acteristics that may render a site unsuitable or unsafe for
associated with the property? the intended use; and (2) to identify potential historic and
archeological resources. To augment this assessment, the
䡲 Are there any physiographic features that warrant following information sources and data should be exam-
further site study (cemeteries, land depressions, ined:
mounds, caves, swamps, etc.)?
Property Data
䡲 Is the land improved with structures? Do those
buildings 50 years or older have distinctive architec- Property settlement and deed records should be researched
tural styles, building materials or structural features? for site plats or legal descriptions that reference boundaries
to specific, physical site features. Older property surveys
The designated local government representative can gen- and deeds in particular may reference buildings, fences,
erally offer guidance as to the likelihood that noted trees, rocks, rock formations, and physical markers to es-
resources or site observations might require further inves- tablish a metes and bounds description. Many of the doc-
tigation. If a resource is identified, guidance should be so- uments noted can be obtained in public land records.
licited as to the extent of action that is necessary for Additional information sources for property research can be
compliance with local concerns and the extent of varied found in the United States Geographic Survey’s (USGS) top-
government involvement. Finally, it is always prudent to ographic maps, aerial photographs, and property tax as-
study the availability of public assistance with research, sessment records.
funding, historic nomination application, archeological site
studies, and community participation that may assist in de- Initial Field Survey
fraying costs occasioned by the unique circumstances of a The site should be investigated in the field and ideally sub-
property. jected to a rigorous walking survey. Knowing the land and
Local government historic and archeological personnel paying attention to physical forms such as mounds or de-
can be extremely helpful. While consultants can be retained pressions may give an early indication that the presence of
to research, document, prepare assessments, file historic archeological artifacts or subsurface conditions warranting
designation nominations, conduct building and site sur- investigation exist. Again, public tax records often note field
veys, draft architectural plans, secure soil samples, excavate, findings, and land surveyors can be retained at a low up-
and photograph, often government staff are willing to assist front cost to field-inspect a property with a more trained
with some of these tasks. In many cases, part or all of the eye. Recall Phase II-Field Observations in the preceding sec-
research needed for a particular property may exist on-file tion.
within a public agency and will facilitate the work effort.
The key is to ask! Corroborative Research
The property data and field survey should be reviewed by
ENVIRONMENTAL SITE ASSESSMENT AND HISTORIC AND an individual with experience in architecture and landscape
ARCHAEOLOGICAL PRESERVATION cultural resources to assess the importance of on-site land
Briefly discussed earlier under Phase I-Phase II: Environ- forms and improvements. Individual structures need to be
mental Site Assessment, the point is clearly made that ‘‘En- evaluated in terms of their architecture and an appropriate
vironmental Site Assessment is an integral part of site environmental setting. The same holds true for land forms
feasibility and is critical in minimizing a client’s environ- and material remains. Increasing attention is being placed

on the issue of environmental setting. Buildings and site 2. Request legal interpretation of references and nota-
features exist within a spatial and location context; often it tions on deed copies provided.
is the context—the environmental setting—that determines
3. In the event the deeds reference the presence of
whether a property will undergo historic review.
improvements, relics, or site activities implying possi-
ble historic or archeological resources or subsurface
Revisit the Deed Records and Start Documentation conditions (former waste or burial), ask for a definition
If previous efforts uncover potential on-site resources, then of such ramifications.
initiate a more detailed research and documentation pro-
cess. Revisit the land records and search back through the 4. Lastly, maintain communication. Most attorneys in-
property deeds, as they offer the most accurate source of volved in land development have prior experiences in
information regarding dates of ownership change, persons the legal implications of historic resources and can of-
involved, buildings, and site modifications. Land records fer guidance based on the outcome of similar or re-
will generally reference site improvements, roadways, paths, lated endeavors. Attempt to benefit from the
orchards, caves, water bodies, or similar features. Tracing experiences of others.
the deed of ownership may clarify issues of building dates,
cemeteries, landforms, and the presence of important per- ENGINEERING—ARCHITECTURE—LANDSCAPE
sons or events. Reference personnel in any land records ARCHITECTURE: CONTRIBUTING TECHNICAL SERVICES
office can be extremely helpful. Compile all the deed, site, The technical services of engineering and design profes-
and interpretative research findings that are germane to ful- sionals play an integral role in the preservation and archeo-
filling requirements established by public standards for a logical process. Such services include: the preparation of
particular jurisdiction or locale, a funding source, or client site surveys, assessment of sub-surface conditions, the eval-
discretion. The investigation should not lose sight of its uation of the structural integrity of building and material
purpose. remains, and land planning. Initiating the process of his-
toric and archeological identification with a site survey that
Former Owner Use includes the following information is of immeasurable as-
Last, make sure that former land uses and ownership of the sistance:
property under development are defined. Surprises do oc-
cur. For example, fire insurance records may uncover im- 1. Instruct the survey crew to identify all site features
provement conditions or events important to an owner’s use remotely perceived as having potential historic or ar-
of the property. cheological significance.
2. Ask for field notations of material changes, vegeta-
LEGAL ISSUES PERTAINING TO PRESERVATION tion, water, pits, fences, rocks, and similar elements, all
Questions and Information to Gather of which could aid in the future design studies and
There is abundant legal precedent affording protection to findings for environmental study.
historic and archeological resources. The law clearly sets 3. Ask for ‘‘footprint’’ measurements of on-site im-
forth limits regarding the disturbance of land and the improvements, including buildings, walls, wells, and
provements thereon. Land ownership and development ruins.
carry the responsibility of being knowledgeable of such
limits, especially with regard to the demolition of site im- 4. Take pictures of existing conditions.
provements, the disturbance of cemetery plots, and the
excavation of earth. While it is often difficult for federal, Architecture and landscape architecture, as professions,
state and local administrators to police every resource, pen- have a long record in producing products of noted preser-
alties, fees and criminal charges can result where deliberate vation value. Of current and increasing importance are the
action has resulted in the loss of property or artifacts that products of engineering. Rising attention is being paid to
may be of historic or archeological importance. engineered accomplishments as a new, evolving repertoire
It is prudent to secure legal advice at the earliest stage of historic resources within the American landscape. The
of land acquisition and program planning efforts to gain a plethora of highways, tunnels, bridges, subways, and water
clear understanding of the rights and responsibilities affili- dam construction, often affiliated with buildings and dis-
ated with a development program. Advice pertinent to pres- tinct landscaped settings, and most notably built more than
ervation issues within the endeavor should include: 50 years ago, are often subject to major upgrading and re-
construction. The age and location of many engineered
1. Ask that title reports and deeds searched for land structures now raises question of their historic and archeo-
acquisition be reproduced for file records and that ap- logical resource value.
propriate notations be made regarding ownership and Many of these engineered feats occur in or adjacent to
property improvements over time. older buildings and historic districts, and this heightens the

importance of their preservation. Two case examples offer

evidence of resource potential and assessment challenges.
The Rip Van Winkle Bridge Rehabilitation project in Cat-
skill, New York required the engineering redesign and re-
construction of a structure crossing the historic Hudson
River Valley. (See Figure 18.4.) It also called for the reha-
bilitation of an older Dutch Colonial highway administra-
tion building and toll facilities. The bridge and building
were over 50 years old. This coupled with the site location
within a historic region lead to design and landscape studies
of a preservation nature.
A second example involves the ongoing inspection, eval-
uation, and rehabilitation of 60 bridges in the State of Con-
necticut. Most of the bridges date between 30 to 75 years
old; most connect places of historic significance, and many
were either designed by or influenced by the works of Fred- F IGURE 18.5 Riverside Drive Viaduct (124th Street southwest,
erick Law Olmsted and his firm. Olmsted, by act of Con- circa 1927).
gress, is reputed to be the father of landscape architecture
in this nation. Central Park in New York City is perhaps
Olmsted’s most renowned work, yet of quiet and equal his-
toric importance are many of those streets and bridges he By virtue of Olmsted’s participation in the original design
helped orchestrate during 1857–1883. These were his years of the parkway, the structures and related settings have also
of active practice while living in the city before moving his occasioned archeological interest as many of the bridges
office to Brookline, Massachusetts. traverse water bodies along which colonists settled during
Riverside Drive, a primary transportation link that ulti- the 15th and 16th centuries. The importance of this ex-
mately leads from Manhattan to the Merritt Parkway in ample is two-fold. First, the aging infrastructure of cities
Connecticut, was built with design influence from Frederick (particularly roads, bridges, and dams) points to a tremen-
Law Olmstead as documented in six sets of plans (dated dous number of future historic resources, or at minimum
from 1875) on file at the National Olmsted Historic Ar- to a deluge of historic evaluations and documentation with
regard to the reconstruction of engineered structures im-
chives in Brookline. The importance of this drive, and the
portant for modern living, yet clearly representative of past
maintenance and reconstruction of the viaduct (see Figure
technical accomplishments. The second point to note is that
18.5) cannot be over emphasized, as the highway overall
private development plays an ever-increasing role in com-
extends past New Haven, Connecticut under various high-
way names and includes historic consideration of over 60 munal infrastructure and services. Whether as part of a
bridges.1 large, planned community, or as part of a zoning proffer
commitment, the increasing number of structures privately
built for general public use has grown steadily since Olm-
sted’s first subdivision for private development, Riverside,
near Chicago, in 1858, and the enactment of zoning during
the 20th century. Land developers, contractors, engineers,
and designers should be aware of this growing preservation
repository and the implications it has for all future private
land development efforts.

DOCUMENTATION
The Process of Recordation
Documentation is a process that involves the written,
F IGURE 18.4 Rip Van Winkle Bridge. drawn, and photographic record of a particular place, prop-
erty, building or relic. It is a time-consuming, detailed, fact-
gathering process, which serves to clarify cultural, material,
1
‘‘Landscape into Cityscape: Frederick Law Olmsted’s Plan for a Greater New York architectural, landscape and physical characteristics of a
City’’. Pg 343–347. By Albert Fein. Van Nostrand-Reinhold Co; NYC-1967. ‘‘Civiliz- site, district, person, or location. The documentation pro-
ing American Cities’’: A Selection of Frederick Law Olmsted’s writings on city land-
scapes. Pg 43–52. By S.B. Sutton. MiT Press; Cambridge, Massachusetts-1971.
cess started with specific building studies prepared for the
‘‘The Columbia Historical Portrait of New York’’. Pg 295–296, 303, 419. By Columbia Historic American Buildings Survey under the management
University and John Kouwenhoven. Doubleday and Company; NYC-1953. of the U.S. Department of the Interior during the 1930s.

Through the years the required contents of official infor- tional Register of Historic Places on a particular land parcel
mation needed to compile a thorough description of a or improvement.
place, artifact, or building have been revised by the Secre- Many locations afford abundant quantities of aging
tary of the Interior. State and local municipalities may re- buildings. Municipalities recognize that preservation of each
interpret this process and vary requirements to meet area building to its original state is often not realistic in light of
needs, but regardless of the variations, the documentation contemporary safety requirements, mechanical systems, use
process will conform within guidelines established by the needs, and economics. In such instances the use of docu-
Department of the Interior. mentation to record a building prior to rehabilitation or
Property documentation can serve two purposes. First, demolition serves to provide historic and architectural in-
recognizing that every building and artifact of our past will formation important to the heritage of the area. While every
not be preserved, recordation of historic resources provides building is not historically significant, rapid urbanization
a paper archive for future generations. Second, documen- and suburban growth in many jurisdictions has facilitated
tation provides information beneficial for the preparation of the need to have select vestiges documented for posterity.
an environmental assessment study, or a historic nomina- Similarly, local governments may require sites of sus-
tion application for designation on local, state, or the Na- pected archeological significance to be inspected, and often
F IGURE 18.6 McNair Farms.

with some sub-surface soil sampling, prior to any site dis- are considered physical improvements. Age is a deter-
turbance. Each of these activities, and the preparation of mining factor. If it looks old, include it in the photo-
suitable report documentation of these concerns, is an in- graphic documentation. Four kinds of photography are
creasingly common element to land development. The needed to document a property. These include:
guidelines, procedures and specific standards that should
1. Contact Sheets. Initiate the photographic docu-
be employed in a documentation effort can be obtained
mentation process with a roll of black and white
through the Historic American Buildings Survey, the U.S.
print film processed into a contact sheet. All of the
Department of the Interior, in Washington, D.C.
photographs grouped together help to determine
Following is a list of topics typically included in the doc-
which elements should be subjected to additional
umentation process as set forth by the U.S. Department of
photo documentation.
the Interior.
2. Standard black and white prints, preferably 4 in
䡲 Legal Description of Subject Property: the property by 6 in to show a general view of property im-
should be defined by its’ deed number and tax plat or provements and the setting. Two exterior (outside)
recordation numbers. It should have a street address elevations (side views) of improvements and, at
and be referenced within a specific county and state. minimum, two interior (inside) views are necessary.
Maps should be included; in particular, the U.S. Geo- Attention should be given to capturing the details of
graphical Survey (USGS) map is recommended. material use, spatial change, building additions, roof
and foundation materials, and the method of con-
䡲 Historic Profile: the history of the property, events
struction. Each photo should be mounted and la-
and people associated with its ‘‘life,’’ should be docu-
beled with a description of the image, view or
mented. This description should include an historic
detail, together with the project name, location and
profile of names, potential adjustments in property
date.
boundaries, improvements, events, social trends, and
site appearances. 3. Enlarged black and white prints, 5 in by 7 in are
adequate. These prints are required to show site im-
䡲 The Site: a site plan, or plans will be required. The
provements and features of determined historic sig-
plan should be defined by an engineering survey with
nificance. Generally, two exterior elevations, two
an accurate description of the land area, its bounda-
perspective site views, one general (distant) view,
ries, fence lines, and physical features like vegetation,
four interior detail, and one exterior detail photo-
waterways, and paths. The site plan should focus on
graph are required for each improvement. Each
the historic character of the property at the time pe-
photograph should be mounted and labeled.
riod prompting its historic significance. A second site
plan may be required to record contemporary condi- 4. Color slides should be secured for the same sub-
tions. Notations and/or attached plans should define ject material required in black and white prints. The
topography, vegetation, soil, rock, water, and other vi- slides should also be used to expand the opportu-
sual or materials qualities, all of which afford the site nity to convey the site’s environmental setting. Each
its character. Aerial photographs are encouraged. slide should be labeled and marked in plastic sheet
holders in numerical sequential order with the
䡲 Archeological Resources: two levels of study may be property name, location, and subject matter.
required with regard to the documentation of archeo-
logical resources. First, the site should be inspected vi- 䡲 Architectural Description: all physical improvements
sually by a trained archeologist to determine if any on the subject site should be described with an appro-
potential elements exist prompting further study. Soil priate narrative supplemented with graphics and plans,
samples may need to be taken, or partial excavations as necessary. The architectural documentation is the
of specific site locations may be desirable. In cases ‘body’ of the process, and calls for written and drawn
where significant historic information may be gained interpretation of property improvements. A professional
by a cordoned-off, full excavation investigation of a de- trained in architecture should be involved in this pro-
termined or perceived archeological resource, the ar- cess.
chaeologists will generally try to accommodate the land 1. Style Descriptions. The architectural narrative
development schedule, as the process of study is time- should focus on the definition of each building
consuming and highly detailed. style, size, materials of construction, methodology,
䡲 Photographic Documentation: photo documentation detail characteristics, exterior features, interior
spaces, the roof, the foundation, and the site set-
should include all site improvements, not just build-
ting.
ings. Elements like bridges, dams, tunnels, ruins, ma-
chinery, partial buildings, power lines, railway lines, 2. Field Notes. On-site inspection is required with
roads, paths, wells, and dumps, to note a few, are all a field notebook where sketches of improvements

and land features can be drawn. The importance of in 1960, to 455,021 in 1970, and ultimately to a current
this requirement is that the field notes, in cases of density exceeding 1,000,000. In less than 30 years, the
detail and accuracy, may fulfill parts of the following peaceful rural character of the County transformed into a
requirement to provide measured drawings. thriving urban extension of Washington, D.C. The pace of
land activity and the real and perceived loss of the County’s
3. Measured-Scale Drawings. Existing improvements
agricultural heritage prompted public requirements that the
determined to be of historic significance must be
McNair Farm and the adjacent Hoffman property be doc-
measured in the field with scale drawings prepared umented.
for select buildings. Two kinds of drawings are A site survey was conducted to record the location and
likely: pencil and ink. The drawings should include dimension of all improvements and land forms. This in-
two exterior elevations and floor plans. In cases cluded 23 structures, extensive fence lines, two ponds, and
where an improvement is likely to be filed with the several groves. Land records were searched, a historic pro-
Historic American Buildings Survey, compliance file was drafted, and former landowners and neighbors were
with specific requirements calling for ink on mylar interviewed. Site artifacts were identified and photo-
film and Leroy letter is necessary. The Department graphed. Measured drawings were prepared for seven
of the Interior will provide the mylar sheets. These buildings, and field note sketches were drawn for all im-
drawings are prepared at specific scales and must provements. Four site plans were generated based on the
contain specific title labeling. engineering survey. The U.S. Department of the Interior as-
4. Added requirements and variation in the pre- sisted in providing the mylar sheets and technical assis-
sentation of information listed above exists with the tance. Photographs, slides, field notes, and drawings were
use of computers and computer drawings. Docu- prepared with the assistance of students and part-time em-
mentation of any type should be reviewed first with ployees.
the agency; a simple telephone call will suffice. The outcome of this documentation effort proved ben-
eficial in several ways. Not only did the information fulfill
One case example involving documentation is offered to requirements set forth by the County, but it augmented site
illustrate how a local jurisdiction handled the demolition design, farmhouse relocation and re-use planning, and busi-
and redevelopment of a former dairy farm property. In re- ness relations. The process brought people together, opened
sponse to a developer’s request for the rezoning of two communication, and broadened the base of project infor-
tracts of 203 acres and 10 acres respectively, Fairfax County, mation for future environmental and funding requirements.
Virginia required that the improvements associated with The cost of the study was less than 1% of the planning and
both parcels be documented in a manner consistent with design fees for the development project.
the U.S. Department of the Interior standards. Early in the
project’s planning stages, the County determined that de- Architectural and Landscape Preservation Design
spite the property’s ineligibility for state and national reg- Examples
isters, the improvements were among the few remaining The opportunities to use information generated from the
vestiges of the County’s once abundant agricultural industry investigation of preservation and archeological resources in
and, therefore, of historic importance. The County stipu- a manner beneficial to land design are diverse. Two case
lated that both land tracts, proposed for development as a studies are cited to emphasize the contribution such infor-
planned residential community with supporting commercial mation can make to design development and project mar-
entities under the former name of the principal land-use— keting. In each case, the identification of unique land
the McNair dairy farm, renamed McNair Farms, be docu- features, artifacts, archeological or historic resources helped
mented for historic records. shape the land development project design response. His-
At the time of original developer purchase, the McNair toric resources became a component of the larger devel-
Farm (shown in Figure 18.6) was one of four remaining opment program or, by virtue of association, became
dairy farms in the County. By September, 1988, when land incorporated into a unique marketing tool, like name rec-
planning for the project was well underway, there was only ognition.
one remaining 471-acre dairy farm in Fairfax County. The An example is the planning and design of Franklin Farm
rapid urbanization of Fairfax County can be clearly under- (see Figure 18.7), a planned residential and commercial
stood in context with agriculture. In 1969, there were 218 community in western Fairfax County, Virginia. This 828-
farms, including 200 dairy farms, with an average size of acre project sought to perpetuate the agricultural farm im-
130 to 146 acres in Fairfax County. While a hard way of agery long associated with the property to distinguish it
life, dairy farming was economically successful and the from the surrounding suburban housing developments. Site
backbone of the County’s agricultural heritage. design and landscape elements incorporated rural agricul-
Fairfax County’s urban growth can be measured in pop- tural imagery with the retention of three farm buildings,
ulation changes, from 25,000 residents in 1930, to 40,929 ponds as part of storm water management, and tree groves

Silo
Dairy
Barn
F IGURE 18.7 Aerial View, Franklin Farm with silo and barn Before
evident (Photo courtesy of Larry Olsen).
Residence
as visual buffers between residential homes. Fencing and

Day
signage details were also designed to augment the imagery.
Care
More strikingly, community building and retail elements
were designed with finish materials to evoke an imagery
associated with agricultural vernacular architecture. The de-
velopment program for Franklin Farm included 1,300
single-family residences, 330 townhomes, several commu-
nity recreation centers, parks, and a shopping center, all of
which was not dissimilar to other planned residential com-
munities of comparable size located nearby.
Two former farm buildings, the dairy barn and milk-
house, sited at the entrance of the large community, were F IGURE 1 8 . 8 Before and after view of silo with dairy barn
(photo courtesy of Joel Grimes).
rehabilitated for contemporary use as a daycare center. The
silo (shown in Figure 18.8) was converted to a private res-
idence. Each required extensive study, design, and public
review. Each offered distinct challenges in terms of design The second example, the historic assessment required to
requirements and permit processing. Each stands today as rehabilitate the 1960s international-style Intermart Building
a landmark image within the community of Franklin Farm in Richmond, Virginia in 1988 exemplifies how site prox-
and a tribute to the agricultural heritage of Fairfax County. imity near a national landmark alters the development pro-
The silo was converted into a five-level residence of 3,100 cess. (See Figure 18.9.) The Intermart Building faces the
ft2. It has received numerous awards for architectural de- historic grounds and buildings of the Virginia state capital.
sign, preservation and innovative use of building materials. As a result, all changes to the 25-story, 252,890-ft2 high-
The rehabilitation of the dairy barn and milkhouse as a rise underwent historic review based on the potential of a
daycare center was an equally challenging tribute to archi- visual impact to a national landmark. The 11 million dollar
tectural adaptive reuse. Given the stringent safety and rehabilitation project won numerous awards for the inno-
health requirements associated with its principal occu- vative use of materials and streetscape pedestrian design
pants—children—and the unique requirements for recre- solutions.
ation, administrative, handicap, and educational facilities,
the 6,000-ft2 center provides a high-profile community re- CONCLUSIONS
source distinguished by numerous awards. The role of historic preservation and archeological resource
Together, these two structures, the community name, assessment within the land development process is contin-
and the site development theme are a continual reminder ually growing and expanding. The traditional concerns of a
to the greater community that there is a unique history to property being historic in terms of age and national im-
the site. That history is perpetuated in a contemporary land portance have branched into a wider arena where contem-
development response. The 75-ft silo is a visual landmark, porary issues of culture, heritage, community, environment,
symbolizing joint public and private efforts to retain images material use, and archeology are of significant importance.
of and appreciation for the agricultural heritage of the Most land development endeavors recognize and plan for
County. inclusion of these concerns. The emphasis of this presen-

F IGURE 18.9 Location of Intermart Building to Virginia State Capitol Historic property.
tation has been to increase the level of understanding of DeChiara, Joseph, and Lee E. Koppelman, Time-Saver Standards
and appreciation for the role of historic preservation and For Site Planning, McGraw-Hill, New York, 1984.
archeological as a function of land change. Fairfax County, Va., Comprehensive Plan: Fairfax County, Virginia
As development interests understand their increasing Area III, 1986.
role as a part of preservation, the preparation and the for- Fairfax County, Va., 1987 Standard Report, 1987.
mulation of strong advocacy plans toward the realization of Fitch, James Marston, Historic Preservation, McGraw-Hill, New
land changes will take place with greater ease. Such in- York, 1982.
creased awareness will open opportunities for reasonable Gillette, Jane Brown, Historic Preservation Magazine, ‘‘Elvis Lives,’’
public and community participation with fewer gridlocks. May 1992.
New insight will also be gained into the options of reha- Macie, Edward A., and Gary Moll, Shading Our Cities: A Resource
bilitation, documentation, relocation, or excavation of a Guide for Urban and Community Forests, Gary Moll, and Sara
particular resource if identified on a property. Financial op- Ebenreck, eds., American Forestry Association, Island Press,
portunities with creative avenues suited to saving all or part Washington, D.C., 1989.
of a resource, or studies undertaken in support of resource Marois, Denise, Farming: ‘‘A Way of Life under Seige,’’ The Ga-
identification and environmental assessment, will become a zette, Vienna, Va., November 10, 1988.
routine part of development planning. Miller, Robert W., Urban Forestry: Planning and Managing Urban
Last, preservation resources when discovered should Greenspaces, Prentice Hall: Englewood Cliffs, New Jersey, 1988.
challenge development and design professionals to a higher Morris, Marry, Innovative Tools for Historic Preservation, Planning
level of design, marketing and financial solutions. While Advisory Service, Report #438, 1992.
issues regarding the ‘‘fair and reasonable’’ costs associated Moll, Gary and Sara Ebenreck, eds., Shading Our Cities, A Re-
with preservation activity, as well as the perception of source Guide for Urban and Community Forests, American Forestry
abridged rights and control over private property, continue Association, Island Press, 1989.
to be in contention, ask yourself: what are the time and Moloney, Noral, Archaeology, Oxford University Press, England
financial costs of neglecting history? and New York, 1996.
The Mount Vernon Ladies Association of the Union, Mount Ver-
REFERENCES non: A Handbook, Mount Vernon, Va., 1985.
Couture, Elizabeth, for the Batman Company and U.S. Depart- National Association of Home Builders of the United States,
ment of the Interior, McNair Farms. Herndon, Virginia, 1988. Land Development, National Association of Home Builders of the
Darr, Lonnie, A Technical Manual for Woodland Conservation with United States, Washington, D.C., 1987.
Development in Prince Georges County, Maryland-National Capital Natural Resources Defense Council Inc. v. EPA, Nos. 90-70671 and
Park and Planning Commission, Upper Marlboro, Md, 1990. 91-70200, slip op. at 6217 (9thCir.), June 4, 1992.

Netherton, Ross, and Nan Netherton, Fairfax County in Virginia, United States Department of the Interior, National Park Service,
Donning Company, Norfolk, Va., 1986. Guidelines for Preservation, Washington, D.C.
Robinette, Gary, Local Landscape Ordinances, Agora Communica- Upton, Dell, and John Michael Vlach, Common Places: Readings
tions: Plano, Texas, 1992. in American Vernacular Architecture, University of Georgia Press,
Athens, Ga., 1986.
Smardon, Richard C., James P. Karp, The Legal Landscape, Van
Nostrand Reinhold: New York, New York, 1993. Weinberg, Nathan, Preservation in American Towns and Cities,
Westview Press, Boulder, Colorado, 1979.
Travers, Naomi S., ‘‘Last Fairfax Dairy Framer Holds Out for
Wiencek, Henry, The Smithsonian Guide to Historic America, Stew-
Love of the Land,’’ Washington Post, Sept. 6, 1988. art, Tabori & Chang, New York, 1989.
U.S. Department of the Interior, National Park Service. National Wood, Joseph S., ‘‘Shaping The Present: Geographical Essays on
Register Bulletin: How to Apply the National Register Criteria for Historic Preservation Policy,’’ North American Culture, Society for
Evaluation, Publication #15, Washington, D.C. the North American Cultural Survey, Vol. 4 No. 2., 1988.


CHAPTER 19
ENVIRONMENTAL
CONSIDERATIONS
Jeff Moran, P.E. / Fred Eberle
INTRODUCTION tablishments and residences that poses an unacceptable risk

This chapter focuses on environmental considerations that to human health and safety, property values, and the en-
may affect the purchase or development of a property. As vironment.
described in the previous environmental chapters, environ- Before purchasing property for development, an environ-
mental impacts may exist as a result of previous or current mental site assessment should be performed as described
activities, development activity, and/or future use of the in Chapter 9. As part of these environmental assessments,
property. Environmental regulations exist to protect human a search into the history of the property is performed as
health and the environment. The material presented in this well as an actual physical site survey and field reconnais-
chapter addresses the various types and sources of chemical sance. If the assessment identifies potential environmental
contamination that may be encountered during an assess- concerns, environmental sampling (soil, groundwater, air,
ment of a property, the environmental requirements for the etc.) is usually recommended. If the environmental sam-
management and corrective action relating to underground pling identifies contamination it may need to be appropri-
storage tanks, environmental considerations for demolish- ately defined and remediated prior to development. These
ing buildings, air quality issues, and noise. detailed studies can take several months to complete and
cost as much or more than the property was initially valued.
CHEMICAL CONTAMINATION While the contributing sources of environmental contami-
nation are highly variable, the processes for addressing the
Chemical contamination impacts air, water (groundwater
contaminant are fairly standardized. There are numerous
and surface water), and soils. This contamination is man-
written protocols for performing environmental site assess-
aged and regulated through a variety of environmental reg-
ments. The protocols include checklists that document ar-
ulations, as described in the chapter entitled Environmental
eas and items to consider. The list of potential contributing
Regulations. Chemical contamination sources come in three
sources of chemical contamination of property is too
major categories:
lengthy to discuss in this chapter; however, several of the
䡲 Properties or facilities used for the direct disposal more common sources of contamination found today are
of materials presented in the following paragraphs.
䡲 Sites of indirect disposal of materials Chemical Contamination Sources

䡲 Non-point sources Surface Impoundments. Surface impoundments have
been recognized as a major source of groundwater contam-
Hazardous waste is likely to be the most serious chem- ination. Before the enforcement of environmental regula-
ical contamination on a parcel of land and is typically re- tions, generators of solid and hazardous wastes commonly
lated to industrial activities. Hazardous waste refers to disposed of the waste in surface impoundments. The waste
discarded waste materials from institutions, commercial es- would either evaporate, possibly leading to air pollution, or
333
ENVIRONMENTAL CONSIDERATIONS
percolate into the groundwater, thereby contaminating a source of waterborne disease outbreaks in the United States.
potential source of drinking water. Septic tanks become a hazardous waste problem when ma-
Landfills. Municipal and private facilities used for burying terials other than ordinary sewage are put down the drains.
wastes are also sources of groundwater contamination. Some household products are toxic. Tanks at industrial
Many materials received by landfills in the past are now facilities may receive the usual spectrum of chemicals,
recognized as hazardous materials. Construction of some including toxins that are not quickly biodegraded.
older landfills, as well as the operation of these facilities, Additionally, these toxins may be relatively mobile in soil
failed to provide even minimal protection from the potential and not subject to the processes that attenuate the concen-
migration of their contents. Typically, ordinary municipal trations of sewage organics. Because the septic tank system
garbage has been exempt from hazardous waste regulations, is specifically designed to promote subsurface migration of
yet this waste inevitably contains amounts of hazardous the water, the included hazardous materials may become a
materials discarded by households and industries. These serious problem for groundwater quality.
wastes include paints, solvents, pesticides, cleaners, and Agriculture. The pesticides and fertilizers used in farming
other household products that contain hazardous constit- have contaminated many water supplies. Ethylene, dibro-
uents and pose a threat of subsurface pollution when large mide, aldicarb, and others have become common contam-
amounts are collected in a landfill. Additionally, liquid inants in farming areas, and many wells have been
wastes may be disposed of directly to the landfill, or they contaminated with nitrates intended for plants. Fertilizers
may arise from chemical or biological transformations of and pesticides are spread widely on the soil in large
landfill material. Often the leachate from the landfill per- amounts. Irrigation water dissolves these and carries them
colates through the waste mass, picking up hazardous con- downward as it infiltrates. Manufacturing, loading, and
stituents along the way and eventually affecting the mixing sites serving agriculture have produced some highly
groundwater. localized point sources of contamination. Loading of planes
Spills. Accidental spills can release chemicals and create for aerial application of pesticides, for example, has pol-
major problems. With the current attention being given to luted some airport areas.
hazardous materials handling, spills from overturned trucks Urban Runoff. Modern cities are built on the assumptions
or ruptured drums are now managed with specific protocol. that separate systems for wastewater and stormwater col-
In the past, however, response was often limited and chem- lections are best. In this design, sewage from homes and
ical spills were not properly mitigated. industries is collected in an enclosed system and treated,
Tanks. The wide use of underground storage tanks for while the much larger amount of clean rain water is col-
fuel and waste storage throughout the United States has lected in an open system and channeled to rivers, lakes, or
resulted in significant contamination to our nation’s ground- the ocean. Recent studies are casting some doubt on this
water. Tank systems without the proper leak detection, spill assumption. Runoff from cities contains significant quanti-
and overfill protection, and corrosion protection are a con- ties of contaminants. Lead, discharged in automobile ex-
tinued threat to human safety and the environment. Since haust collects in dust on surfaces, may appear in high
there is no comprehensive inventory for all the tank systems concentrations in the first flush of runoff at the beginning
installed, the possibility exists that leaking tanks exist on of the rainy season. Petroleum from spills and drippings in
‘‘undeveloped properties.’’ the street may also be present. Runoff water will stand on
Septic Tanks. Many households and industrial facilities the soil for some period, and may infiltrate to contaminate
have used septic tanks for on-site disposal of waste from groundwater.
wash areas and bathrooms. These systems are designed to Deep Well Injection. Hazardous waste is sometimes
hold the wastes in an underground tank, where sedimen- pumped into the ground. The wells used for this purpose
tation and anaerobic microbial activity remove some of the are thousands of feet deep, and some effort has been made
contaminants. The partially treated water is released to establish the fact that there is no connection between the
through perforated pipes to a subsurface ‘‘leach field.’’ The strata receiving the chemicals and shallower aquifers being
soils in the leach field filter the waste and provide an en- used for water supply. In some cases, the connections have
vironment appropriate for further microbial degradation. in fact been present, hidden by the complexity of the sub-
The system is specifically intended to promote infiltration surface geology and the difficulty of making observations.
of water, which is the bulk of the waste. Septic tanks are The wastes may return to the shallow water supplies
successful and appropriate systems where population den- through fissures, abandoned wells with corroded castings,
sity is low, soil conditions are good, and the waste being or sometimes through the annular space surrounding a
treated is only water with biodegradable contaminants. poorly installed injection well.
However, public health problems occur where septic tanks Illegal Dumping. Probably the most common form of il-
are too numerous, the water table is too high, or subsurface licit disposal is the inclusion of hazardous materials in mu-
channels carry leachate directly to a water supply aquifer. nicipal garbage. If the amounts are small, it is relatively easy
On many occasions, the transport of infectious organisms to conceal containers of chemicals in the solid waste going
has caused epidemics, making septic tanks the number one to the dump. Disposal of this kind is a significant factor in

19 䡲 ENVIRONMENTAL CONSIDERATIONS 335
the production of hazardous leachates by municipal land- immiscible, they will form a layer of pollutant on top of the
fills. Illegal dumping often produces large acute releases. water table and move according to their own pressure gra-
Unethical individuals may wait for dark to deposit barrels dient. A layer of pure hydrocarbons contains a large mass
of material in the countryside. These people rarely take care of pollutants, which can contaminate correspondingly large
to see that the barrels are intact and closed so they can be amounts of water as it moves and dissolves.
picked up; more often they are tipped over and leaking. Gases. Gases move faster than water under comparable
Smaller-scale, chronic dumping occurs. Homeowners or pressures. They respond readily to pressure and can be
businesses may carelessly discard used motor oil or contam- pushed outward from a point of generation. Since a volume
inated gasoline. It has been suggested that ‘‘every company of gas is much lighter than the same volume of water, it is
has its back 40’’ where materials were dumped in the past. less affected by gravity. It moves up, if it is less dense than
air, or down if it is more dense. Molecular diffusion, from
Composition of Hazardous Chemicals areas of high concentration toward areas of low concentra-
Among the most obvious characteristics of matter is its tion, may also occur. Methane, generated by biological ac-
physical state. While solids retain their shape and volume, tivity, is commonly encountered in landfills that receive
liquids retain their volume but not their shape. As a result, municipal waste or other decomposable organic matter.
liquids may flow through soils. Gases retain neither volume Houses near landfills have often been threatened by meth-
nor shape and flow readily. These characteristics are fun- ane in basements or other enclosed areas. Accidents have
damental in determining the fate and transport of pollutants even occurred at the exposed surfaces of landfills. In one
that enter the soil. Solids may be large objects, such as those case, children playing with matches ignited the gas and
often disposed of in municipal landfills. They may also be were burned. Methane migration also has the undesirable
finely divided particulate matter like soils. Liquids may be secondary effect of carrying other gases along with it. Vinyl
solvents or petroleum products, or more commonly, water chloride, which is a microbial breakdown product of the
that is carrying dissolved pollutants. Gases are sometimes common solvent trichloroethylene, is often present in land-
released directly to the soil, but they will more often be fills. Transportation of this gas with methane is particularly
involved in subsurface migration of hazardous wastes be- alarming because it is a known human carcinogen (cancer
cause evaporation, microbiological activity, or chemical re- causing). Methane has carried vinyl chloride into the base-
actions generate them. ments of houses near landfills. Benzene, xylene, and other
Solids. Solids have the unique characteristic that only toxic compounds have also been detected. Water vapor also
their surfaces will participate in chemical reactions or sup- moves in the pores of soil and waste, often driven by tem-
port microbiological growth. Solids in either a buried waste perature differences. A mass of organic matter undergoing
mass or natural soils strongly influence the composition of microbial decomposition will warm considerably. Water
water passing through their pores, since the solid itself may evaporating from the mass will spread to cooler regions and
dissolve. Where the waste is contaminated, the solids may condense.
absorb and release pollutants. Because the specific surface Hazard Classification. Wastes deemed hazardous are reg-
area of the solid may be large, the total effects on water ulated extensively. The Environmental Protection Agency
quality can also be large. An important characteristic of sol- (EPA) defines hazardous waste by its characteristic, process,
ids is their relative immobility. Since solid contaminants and use. Hazardous waste characteristics are defined by
rarely move far from the site of disposal, the disposal of their ignitability, corrositivity, reactivity, and toxicity. There
solid material, if it does not later dissolve, threatens ground- are specific analytical methodologies for determining these
water quality less than the disposal of liquids. characteristics. A waste is considered ignitable if it has a
Liquids. The movement of liquids is the most common flashpoint less than 140⬚F or if it can ignite through friction,
kind of subsurface migration of hazardous wastes. Move- moisture, or spontaneous chemical changes. Wastes with a
ment occurs in response to several forces. Gravity will cause pH of less than 2.0 or above 12.5, or the ability to corrode
liquids to move downward. If the soil is saturated, liquid steel (SAE 1020) at a rate greater than 0.250 inches per
waste will move with the slope of the water table. Since year at a test temperature of 130⬚F, are classified as corro-
water has an affinity for dry soil, it will move from wet soil sive. A waste that can explode, react violently with water,
to dry soil, just as it soaks into a dry sponge set against a or can form potentially explosive mixtures or toxic gases,
wet sponge. The most common kind of subsurface pollut- is classified as reactive. Since solid wastes may produce
ant is a contaminant dissolved in water. Where it is not toxic leachates, proper waste characterization is critical
removed by interaction with the soil, the contaminant can prior to removing, transporting, and disposing of a waste.
pollute large volumes of soil and groundwater. A stream of The EPA outlines specific test procedures to determine the
contaminants moving away from a point source of pollution amount of extractable hazardous materials in a waste. For
gradually broadens, just as a plume of smoke spreads after example, the toxicity characteristic leaching procedure
it leaves the chimney. Other groundwater problems arise (TCLP) is a common analytical method for determining a
from the presence of a pure liquid. Gasoline and other pe- waste’s toxicity. When performing a phase II or phase III
troleum hydrocarbons are common examples. If they are environmental site assessment, information about the type

of contaminant is crucial. If the source and nature of the ‘‘volume of which (including the volume of the under-
material are known, the sampling and analysis are limited ground pipes connected thereto) is ten percent or more
to the parameters of the known contaminants and regula- beneath the surface of the ground.’’ Excluded from the def-
tory requirements. Otherwise, a full spectrum of analyses inition are:
may be required, consisting of analysis for hazardous sub-
stances. 䡲 Farm or residential tanks with the capacity of 1100
gallons or less holding motor fuel used for noncom-
UNDERGROUND STORAGE TANKS mercial purposes
The regulation of underground storage tanks (USTs) in the 䡲 Tanks storing heating oil used on the premises
United States has become a very critical issue and a matter where it is stored
of national concern. There are a great number of USTs in
use and many have had undetected leaks of hazardous sub- 䡲 Tanks on or above the floor of underground areas,
stances. More than one million underground storage tanks such as basements or tunnels
in the United States contain petroleum or hazardous sub- 䡲 Septic tanks and systems for collecting storm water
stances regulated by EPA. Many of these tanks have leaked and wastewater
or are currently leaking. Given the contents of these tanks,
releases from USTs can threaten human health and safety, 䡲 Flow-through process tanks
since releases can contaminate soil and drinking water sup- 䡲 Emergency spill and overfill tanks
plies. Leaking USTs continue to pose a serious threat to
groundwater and drinking water in many parts of the coun- Regulated substances include hazardous chemical prod-
try. Historically, tanks were placed underground to store ucts regulated under CERCLA, and petroleum products, in-
materials that were hazardous because of their flammability cluding crude oil and refined products that are liquid at
or combustibility. Many tanks were installed underground standard conditions of temperature and pressure. All new
on the premise that they would never develop leaks. tanks must have leak detection when they are installed. The
Until 1984, only state and local regulations covered EPA has identified the following methods that owners and
USTs. In many cases, they only covered the installation, fire operators may use to meet the federal leak detection re-
safety, and prevention of explosion hazards but did not con- quirements:
sider groundwater protection. In November 1984, amend-
䡲 Secondary containment with interstitial monitoring:
ments to the Resource Conservation and Recovery Act
Secondary containment often uses a barrier, an outer
(RCRA) directed the EPA to establish regulations for mon-
wall, a vault, or a liner around the UST or piping.
itoring leaks and cleaning up contamination from existing
Tanks can be equipped with inner bladders that pro-
tanks, and to establish standards for the construction and
vide secondary containment. Any product leaked from
installation of new tanks. The amendments also required
the inner tank (or piping) is directed towards an ‘‘in-
tank owners to notify various state agencies of the existence
terstitial’’ monitor located between the inner tank (or
of their tanks. Several factors have combined highlighting
piping) and the outer barrier. Interstitial monitoring
the problem of leaking USTs before the public; programs
methods range from a simple dipstick to a continuous,
now mandated by the EPA are resulting in more reported
automated vapor or liquid sensor permanently installed
release incidents; the ability to detect hydrocarbons in the
in the system.
groundwater and soils has greatly increased over the last
several years; and lending institutions, property owners, 䡲 Automatic tank gauging system: A probe permanently
and developers are now realizing the extent of potential installed in the tank is wired to a monitor to provide
liability under the Comprehensive Environmental Response, information on product level and temperature. These
Compensation, and Liability Act (CERCLA), or Superfund systems automatically calculate the changes in product
law. Since state or local regulations may differ from the fed- volume that can indicate a leaking tank.
eral requirements, it is important to determine which re-
䡲 Vapor monitoring: Vapor monitoring measures prod-
quirements apply to the USTs in the appropriate state.
uct ‘‘vapors’’ in the soil around the UST to check for a
Figure 19.1 shows the geographical distribution of the
leak. This method requires installation of carefully
number of reported USTs in the U.S. and its territories.
placed monitoring wells. Vapor monitoring can be per-
Regulated Tanks formed manually on a periodic basis or continuously
using permanently installed equipment.
Since property that is purchased for development may con-
tain an underground storage tank, the purchaser and de- 䡲 Groundwater monitoring: Groundwater monitoring
veloper should be aware of the regulatory requirements measures the presence of liquid product floating on the
associated with them. RCRA defines USTs as ‘‘any one or a groundwater. This method requires installation of mon-
combination of tanks (including underground pipes con- itoring wells at strategic locations in the ground near
nected thereto)’’ that contain a regulated substance and the the tank and along the piping runs. To discover if

F IGURE 19.1 Geographical distribution of active underground storage tanks (USTs).

leaked product has reached the groundwater, these not more than one tank diameter below finished grade.
wells can be checked periodically by hand or continu- Tanks can be found in mounds, partially buried below
ously with permanently installed equipment. grade in some installations. If traffic travels over or above
the tanks, they may be paved over. Manholes, caps, or other
䡲 Statistical inventory reconciliation: In this method, a
devices to cover or protect tanks and associated piping sys-
trained professional uses sophisticated computer soft-
tems, such as fill connections or gauge pipes, may be pres-
ware to conduct a statistical analysis of inventory, de-
ent. Some large tanks may have a manhole to allow access
livery, and dispensing data, which must be supplied
to the tank.
regularly.
䡲 Other methods meeting performance standards: Any Releases/Mitigation
technology can be used if it meets a performance stan- Corrosion is the most common cause of UST leakage for
dard of detecting a leak of 0.2 gallons per hour with a steel tanks and piping. Even as late as the 1970s it was
probability of detection of at least 95% and a probabil- common practice to bury unprotected steel tanks. Surpris-
ity of false alarm of no more than 5%. Regulatory au- ingly, studies have indicated little correlation between the
thorities can approve another method if it can be product stored in USTs and their corrosion. Yet, soil and
demonstrated that it works as well as one of the meth- groundwater conditions can speed the corrosion of USTs.
ods above and complies with any condition the au- In northern climates, road salt percolates into the soil and
thority imposes. groundwater and accelerates the corrosion of USTs. Metal
failure is frequently observed at connections and pipe fit-
Identification/Detection tings; although mechanical stresses are contributing factors,
Determining the existence of USTs on an undeveloped tract the most common cause of failure is corrosion from the
of land can be a difficult task, since records of installation contact of two dissimilar metals. Overfills, spills, and other
and use may not exist, as there was no requirement to no- accidental releases resulting from poor oil delivery trans-
tify state agencies of the existence of USTs. This is one of fer procedures are another major contributing factor to
the reasons why phase I environmental site assessments are environmental contamination from UST operations. Large
so important for properties planned for development. This releases due to overfill, or small releases due to connect-
assessment should be performed as early as possible in the disconnect spillage over a long period of time, can be
development planning stage. Ideally it will be performed equally serious.
prior to property acquisition to ensure that any identified Generally, contamination from USTs will leach into the
environmental concerns can be economically mitigated or vadose zone and become adsorbed onto clays or form a
controlled during property development. Interviews with thin film on the larger grain-size fraction of soils. Often, if
past and present owners may reveal that USTs were installed the spill is small, the contaminant will remain in the sur-
on the property. Searches and reviews of local and state rounding soils of the UST and remain above the ground-
regulatory agency records may reveal that USTs were in- water table. Sometimes in very clayey soils the
stalled and the installation work was inspected by the local contamination will pool under the UST, captured by the
fire marshal or a leak was investigated by county or state clay layer. For large releases, the contamination may migrate
environmental agencies. Historical research into prior land to the zone lying immediately above the water table. De-
use may indicate that past operations such as farming, quar- pending on the physical properties, such as density, viscos-
rying, or air strip landing that are suspect of potential UST ity, and water solubility, the contaminant may sink to the
use, occurred at the site. Finally, visual inspection of the bottom of the groundwater aquifer or float on top of the
property may identify situations or locations suspect of the water table. Other factors, such as groundwater flow veloc-
presence of USTs. Visual evidence of the presence of USTs ity and soil porosity, have a definitive effect on the migra-
may include vent or fill pipes protruding from the ground; tion, areal extent, and concentrations of contamination in
the presence of fill materials such as sand or gravel or other groundwater. For example, denser, less volatile compounds,
materials not indicative of native soils or geology; mounds such as No. 2 diesel fuel, will spread slower than the more
of earth with no explanation of origin; evidence of staining; volatile chlorinated solvents like trichloroethylene.
dead or dying vegetation; or hydrocarbon type odors. Typically, investigations of the degree and extent of sub-
With the lack of historical or visual evidence of UST surface contamination from UST leakage begins with a hy-
existence, there are methods of determining the subsurface drogeologic investigation and sampling survey. Soil borings,
presence of metallic structures. Underground tanks can be sampling, and the installation of groundwater wells are
found in various sizes, shapes, and construction materials. well-established techniques that give direct observation of
Metal tanks are usually of welded construction and some subsurface contamination conditions. If the contamination
may have some type of exterior coating or protection is extensive, a detailed, exhaustive, and expensive investi-
against corrosion. Newer tanks may be fabricated of fiber- gation and sampling program is required to define the areal
glass, epoxy, or other nonmetallic materials. Depth of the extent of subsurface contamination plumes. Upon deter-
tank burial varies; however, the top of the tank is usually mination of the extent of contamination, remedial actions

and requirements can be determined. Depending on the plying to hazardous material demolition will be cited in this
extent of contamination, remediation can range from the chapter.
removal of free product within the soils surrounding Although asbestos and lead-based paint tend to have the
the UST pit to long-term pump and treat methods of con- most significant cost implications when demolishing exist-
taminated groundwater remediation. The estimation of ing structures, the following hazardous materials should
remedial costs is practically impossible without detailed de- also be identified and handled in accordance with the most
lineation of the extent of contamination. Small fuel oil stringent prevailing regulation for the site:
releases may be reduced to acceptable levels through
continuous pumping or even hand-bailing. In other cases, 䡲 PCBs (typically found in light ballasts)
partial product recovery, followed by the excavation of 䡲 Chlorofluorocarbons (typically found in refrigera-
contaminated soil may be required. The disposal of con- tors and air conditioning units)
taminated soils is dependent on the level and types of
contamination. Highly contaminated soils may require 䡲 Mercury (typically found in thermostats)
transportation and disposal at an approved hazardous waste 䡲 Radioactive sources (typically found in smoke de-
treatment or disposal facility, while soils having acceptable tectors)
levels of contamination may be transported to locally ap-
proved landfills for disposal. 䡲 Household chemicals, cleaners, and pesticides (typ-
ically found in kitchens, bathrooms, basements, ga-
Demolition of Structures rages, and out buildings)
Often, the development of land will require the demolition
of the existing structures. Similar to environmental site au- Disposal criteria of the above (or other) materials may
dits, surveys of the existing structures should be performed vary widely between states and local jurisdictions. For ex-
to determine if hazardous materials are present. ample, state and local jurisdictions may consider some of
Although there are several reasons to perform these sur- the above-listed materials as falling under ‘‘conditionally ex-
veys, the predominant reason is that regulations in most empt small-quantity generators’’ (or even falling under the
states require the safe handling and disposal of hazardous homeowner exclusion), and the materials need only be dis-
materials. This is particularly true of asbestos, lead-based posed of properly in a state-licensed or permitted solid
paint and ozone-depleting substances, for which most states waste management facility, along with all the other con-
and/or the federal government have regulatory require- struction debris. While other state and local jurisdictions
ments that affect disposal. Other reasons for knowing the may require that these materials be removed and separated
location(s) of hazardous materials within the existing struc- from the construction debris and taken to a hazardous
tures are: waste disposal facility. The danger in not determining dis-
posal criteria before demolition, in addition to harming
䡲 To protect the developers’/contractors’ workers humans or the environment, is that a large quantity of
demolition debris with a relatively small amount of hazard-
䡲 Reduce potential financial liability to the developer
ous material could result in authorities declaring the entire
(‘‘not knowing’’ is not an excuse)
wastestream as hazardous, thereby requiring more expen-
䡲 Minimize the amount of hazardous waste generated sive disposal. In 2001, it cost approximately $750 to dis-
(and disposal costs) pose of 40 cubic yards of construction debris and $4500
to dispose of 40 cubic yards of hazardous waste.
䡲 Ensure that hazardous materials are not spread
Under Section 608 of the Clean Air Act of 1990, the EPA
throughout the site
established regulations (40 CFR Part 82, Subpart F) that
䡲 Protect the public and environment at large require service practices that maximize recycling of ozone-
䡲 Eliminate public outcry and bad press by doing the depleting compounds (chlorofluorocarbons and hydro-
right thing chlorofluorcarbons) during the servicing and disposal of
air-conditioning and refrigeration equipment. A certified
Based on the previous use of a property and its struc- technician must perform recovery of the refrigerant, and
tures, there can be many types of hazardous materials in a recovery can be performed on site or at a disposal facility
structure. A qualified environmental firm should be hired (Reference: http://www.epa.gov/docs/ozone/title6/608fact.
and consulted not only to identify these materials, but also html).
to recommend a method for the proper demolition and dis- Since the presence of asbestos-containing materials
posal of these materials. The treatment and disposal of haz- (ACM) and, in some cases, lead-based paint (LBP) in struc-
ardous materials in structures varies by region and state, so tures to be demolished (or renovated) can place a greater
it is recommended that the environmental firm be knowl- financial liability on the developer for the risks to workers,
edgeable with respect to all regulations, but particularly to the public, and the environment, these materials will be
state and local regulations. Pertinent federal regulations ap- discussed in greater detail.

ASBESTOS in the lining of the abdominal cavity (peritoneum). It is

Asbestos concerns in land development consist primarily of important to note that many cases of Mesothelioma are as-
the control of airborne fiber releases during the demolition sociated with relatively low levels of asbestos exposure as
of existing structures that possess ACMs, excavation and well as exposures of even short duration. Additionally, the
disturbance of naturally occurring asbestos, and the re- latency period for Mesothelioma is long, with cases reported
moval of asbestos-containing debris from dumps or piles with as many as 40 years passing between exposure and
located on the property. In each case, provisions for the the onset of the disease. Mesothelioma is an incurable form
control of airborne asbestos fiber releases, exposure to of cancer and usually fatal within 1 to 2 years from diag-
workers, and the proper containerization, transportation, nosis.
and disposal of asbestos-contaminated materials are re- The EPA requires the control of airborne visible emis-
quired. sions of asbestos under the National Emission Standards for
‘‘Asbestos’’ is a broad term for a group of naturally oc- Hazardous Air Pollutants (NESHAPS) regulations (40 CFR
curring hydrated silicates that crystallize in a fibrous habit. 61, Subpart M). For the most part, it will be the NESHAPS
Asbestos fibers in ores cannot be inhaled until released and regulations that a developer will be required to follow when
made airborne during excavation, mining, and processing. demolishing structures. Many local jurisdictions ensure that
The family of asbestos minerals is subdivided into two ma- asbestos concerns are addressed during building demolition
jor groups, serpentine and amphiboles. Chrysolite asbestos, (or renovation) by requiring an asbestos survey as part of
also known as white asbestos, which accounts for over 90% the demolition permit process. It is important to note that
of the world’s production of asbestos, is the sole member under NESHAPS, certain building material forms of ACMs
of the serpentine asbestos group. Amphibole asbestos in- within a structure do not need to be removed before dem-
cludes crocidolite, amosite, anthophyllite, actinolite, and olition. Rather, under certain conditions, they can be in-
tremolite. Two of the amphiloboles amosite (or brown as- cluded in the wastestream with the other building
bestos) and crocidolite (or blue asbestos) are commercially demolition materials and taken to an approved construction
valuable forms of asbestos. Although asbestos use dates debris landfill for disposal. It is highly recommended that
back centuries, it was not until the Asbestos Hazard Emer- a developer contact a local knowledgeable environmental
gency Response Act, effective in 1987, that public aware- firm to assist in this process, as they should know local
ness and attention became focused on managing and regulations and understand what the regulators require with
mitigating ACMs. The mineral was attractive for use be- this process. The EPA also requires the proper containeri-
cause of its ability to insulate against heat, cold, and noise, zation, trasportation, and disposal of asbestos-containing or
incombustibility, good dielectric properties, great tensile asbestos-contaminated materials at approved landfills. In
strength, flexibility, and resistance to corrosion. Subse- addition, the EPA, through its regulation 40 CFR 763,
quently, it is found in many building materials. Additionally, among other items, requires training for asbestos inspectors
asbestos is naturally occurring and can be found in many and workers, which most states regulate through a licensing
parts of the United States. program.
The Occupational Safety and Health Administration
Health Effects (OSHA) also has published regulations for the protection of
Asbestos is a known human carcinogen (cancer-causing workers from exposures to asbestos. These include control
substance). Exposure to asbestos fibers can cause several measures that establish controlled work areas, wetting ACM
different types of asbestos-related diseases. The primary ex- to preclude fiber releases, the wearing of personal protective
posure route of concern is inhalation; however, asbestos equipment in the form of full body protective suits and
fibers can be ingested. Asbestos is not normally absorbed respiratory protection, decontamination of workers and
through the skin. Exposure to large concentrations of as- equipment, and the collection of worker exposure and en-
bestos can result in the disease asbestosis. Asbestosis, a vironmental air samples. These control requirements can be
chronic scarring disorder of the lower respiratory tract, oc- found in OSHA regulations 29 CFR 1910.1001 and 29 CFR
curs when asbestos fibers lodge in the lungs. The latency 1926.1101.
period (or period of time it takes to develop) for asbestosis Although asbestos has been used in many products over
is 5 to 10 years with heavy exposure but can take up to 20 the years, the construction business has been the main con-
to 40 years to develop. Lung cancer is another disease that sumer of asbestos-containing materials. Table 19.1 lists
can be developed through exposure to asbestos. The latency ACMs that are common in a structure and the approximate
period for lung cancer caused by inhalation of asbestos is cost to abate.
usually at least 15 years with a peak of 30 to 35 years. A Identification of asbestos or ACMs consists of the sam-
unique form of cancer, which is directly related to asbestos pling and laboratory analysis of suspect materials. The
exposure, is Mesothelioma. Mesothelioma tumors are the primary methods of asbestos identification involve micro-
uncontrolled growth of cancerous cells in the lining of the scopic inspection of bulk samples or pieces of suspect ma-
chest cavity (pleura), between the chest walls and lungs, or terials. Polarized light microscopy (PLM) is probably the

TABLE 19.1 Common ACM and Associated Abatement Costs

ASBESTOS CONTAINING MATERIAL COST TO ABATE1,2 UNIT3
Floor tile and mastic $3.50 SF

.....................................................................................................................
Floor tile $2.50 SF
.....................................................................................................................
Mastic $1.50 SF
.....................................................................................................................
Pipe insulation $17.17 LF
.....................................................................................................................
Pipe joint insulation $29.00 EA
.....................................................................................................................
Boiler insulation $12.00 SF
.....................................................................................................................
Roofing materials $4.00 SF
.....................................................................................................................
Asbestos siding shingles (transite) $5.50 SF
.....................................................................................................................
Vapor barrier $3.50 SF
.....................................................................................................................
Wall board $5.50 SF
.....................................................................................................................
Surfacing material (troweled or spray-applied) $10.25 SF
.....................................................................................................................
Ceiling tile $4.00 SF
.....................................................................................................................
Bulk insulation $12.50 CF
1
Cost varies widely between areas of country, and time of year. These costs only reflect an approximation of a typical unit cost to remove ACM and should not be
relied upon to cost or estimate a project. Not included in these costs are such items as mobilization, monitoring, and other costs outside the actual removal of
ACM.
2
In 2001 dollars, based on historical records at Dewberry & Davis LLC.
3
SF ⫽ square feet, LF ⫽ linear feet, CF ⫽ cubic feet, EA ⫽ each.
most common type of laboratory identification of asbestos a local environmental firm knowledgeable in local condi-
and the least costly type of analysis. tions and able to assist a developer in determining the pres-
Phase contrast microscopy (PCM) is used in determining ence of naturally occurring asbestos and the process of
asbestos exposure concentrations to workers occupationally working with it should be consulted prior to construction
exposed to asbestos. The analysis of air samples for asbestos activities commencing.
involves collecting the fibers on filters connected to air sam-
pling or suction pumps that are set at a given flow rate to LEAD-BASED PAINT
collect an adequate volume of air for analysis. Lead-based paint (LBP) concerns in land development con-
The more sophisticated types of microscopic analysis sist primarily of the determination of whether LBP in a
such as transmission electron microscopy (TEM) and scan- structure’s demolition debris (wastestream) will cause that
ning electron microscopy (SEM) are used to detect asbestos wastestream to be classified as a hazardous waste. Soil
that is present in a very tight matrix or very bound ACM. should also be tested around structures to determine if it is
TEM is also used in the analysis of air samples collected to contaminated by LBP from the structure. It will be more
determine airborne asbestos fiber concentrations. Note: cost effective to determine if lead-contaminated soil is a
TEM and SEM analysis costs are several times that of PLM result of LBP from a structure versus other sources of con-
and PCM, and generally are not required for demolition tamination.
projects.
Before development or property acquisition, or even the Exposure and Risk
digging or excavation of a piece of property, investigation A highly toxic heavy metal, lead was a major component
into the area geology should be performed as part of the of household paint until banned from residential use in
environmental assessment and survey. The county soils sci- 1978. As LBP ages, lead dust, chips, or flakes may enter
ence office should be contacted and the county soil survey the environment and can be ingested or inhaled. Medical
reviewed to determine if soils or geology within the area research has determined that lead exposure—even at ex-
have characteristics of naturally occurring asbestos. Again, tremely low levels—can decrease intelligence, inhibit school

performance, and impair memory attention and language Leaching Procedure test (TCLP). This is further discussed
function. Young children, pregnant women, and women in in 40 CFR 261.24.
the childbearing years are particularly at risk from toxic Basically, performing a TCLP test to determine the dis-
lead. As a result, lead-based paint and dust is recognized posal criteria involves the estimation and quantification (by
as a potential health hazard in buildings and other struc- percentage) of all building materials (regardless whether
tures. Figure 19.2 shows peeling lead-based paint on a painted), and the collection of these building materials in
structure. their representative quantities for submission to a laboratory
Because of these concerns, Congress passed ‘‘The 1992 for analysis. The laboratory will take these various materials
Residential Lead-Based Paint Hazard Reduction Act’’ (42 and composite them (in their specified representative quan-
U.S.C. 4851 et seq., PL 101-550). This Act is commonly tities) in a 100-gram sample and perform the TCLP test. If
known as ‘‘Title X’’ (ten) by the industry. Title X established the result equals or exceeds 5 mg/L, the wastestream is
the framework for informing the public, the training and considered hazardous, and if under 5 mg/L, the waste-
certification of inspectors, contractors and laboratories, and stream is nonhazardous and can be taken to a construction
protection of abatement workers. Therefore, states have and and demolition landfill for disposal, in accordance with
will be reacting to Title X and other concerns for protecting state and local regulations.
our nation’s children from lead-based paint and dust by If the TCLP test equals or exceed 5 mg/L, it is probably
enacting legislation. The developer is probably most af- more economical for the developer to perform specific LBP
fected by the legislation promulgated by Title X with respect testing to determine which components contain the LBP,
to protection of workers during the demolition of struc- and abate (remove) those components prior to demolition.
tures, and the proper disposal of demolition debris. The If a wastestream is predicted as hazardous due to LBP, then
Housing and Urban Development’s (HUD) webpage regard- abatement of the LBP is generally recommended prior to
ing LBP is probably the best to access, review, and link to the demolition of the structure to reduce the amount of
other websites, such as the EPA and the OSHA websites on hazardous waste. As noted above, it costs approximately
LBP facts, programs, and regulations (http://www.hud. $750 to dispose of 40 cubic yards of demolition debris in
gov/offices/lead/, enter their ‘‘reference library’’). a construction landfill as opposed to $4500 per cubic yard
in a hazardous waste landfill. At present (Spring 2001),
Testing and Mitigation there is proposed legislation that could eliminate the TCLP
The objective, as with the other hazardous materials listed testing for lead-based paint in renovation or demolition
above, is to predict prior to demolition the disposal criteria projects at a federal level. It is important to note that dif-
of a wastestream from the demolition of a structure(s) and ferent state and local jurisdictions and landfills may impose
to do everything legally possible to dispose of the waste- various requirements on disposal material. It is highly rec-
stream in a properly permitted construction and demolition ommended that developers consult and hire an environ-
landfill, as opposed to a hazardous waste landfill. The test, mental firm that understands this issue—federal, state, and
which determines if LBP in a structure will cause the dem- local requirements—and can perform any required sam-
olition debris (wastestream) of that structure to be consid- pling and analysis.
ered hazardous, is called the Toxicity Characteristic Regardless of impending regulations for disposal, OSHA
requires the protection of workers during the demolition of
structures containing lead in paint. These requirements can
be reviewed in 29 CFR 1926.62, Lead in Construction. An
environmental firm can assist a developer in meeting these
requirements.
The developer should also consider testing soil around
structures for lead, resulting from the leaching or deterio-
ration of LBP from the structure. This is a simple test where
soil samples are taken from the drip lines around a struc-
ture, and bare soil areas in yard areas. These samples are
taken from the top 0.5 inch of soil, typically composited,
and sent to a laboratory for total lead analysis. A lead hazard
is present if sample results equal or exceed 1,200 parts per
million. Lead contamination in soil resulting from LBP can
be treated under the LBP regulations found in TSCA as
opposed to the requirements under CERCLA, which tends
to be more costly and may take more time to abate and
monitor. Again, an environmental firm should be hired to
consult the developer regarding this process, as different
F IGURE 19.2 Lead-based paint peeling from a structure. states and local jurisdictions may view this process differ-

ently. The environmental firm should also be knowledgea- lem. Additionally, this failure to warn can be interpreted as
ble in collecting, processing, and analyzing the soil samples. fraud and/or misrepresentation. It is suggested that builders
If a developer intends to reuse a structure (i.e., renovate), make specific reference to radon in the context of warning
surface by surface inspection should be performed to de- about the dangers of radon exposure. It is then up to the
termine exact locations of LBP. This will be necessary to buyer to decide if they wish to pursue the issue further. A
protect workers performing the work during renovation, as builder can further protect his interests by also stating that
well as to inform the future occupants of the structure (if the buyer cannot make the sale contingent simply on the
the LBP was not removed during the renovation). In addi- results of short-term screening.
tion, like asbestos abatement, LBP abatement requires strict The EPA has developed a web page that goes into greater
clearance criteria. If the structure is to be reused as a resi- detail for radon issues and that should keep the reader/
dence, the clearance should be conducted in accordance developer appraised of new information regarding radon.
with the risk assessment protocol found in 24 CFR Part 35. This webpage can be accessed at the following address:
The developer is required to disclose to the buyer any www.epa.gov/iaq/radon.
known locations of LBP. Since most developers will want to Radon is a naturally occurring colorless, odorless, taste-
work with raw land, this process is beyond the intent or less gas produced from the radioactive decay of radium,
scope of this book. However, regulations and guidance on which in turn results through several intermediate steps
this topic can be found in 24 CFR Part 35, 40 CFR Part from the radioactive decay of uranium. Radon occurs nat-
745, and the ‘‘Guidelines for the Evaluation and Control of urally in geologic formations containing uranium, granite,
Lead-Based Paint Hazards in Housing.’’ These documents shale, phosphate, or pitch blend. Since uranium and ra-
can be accessed on the HUD webpage noted above. If LBP dium are common elements throughout the entire earth’s
remains in a structure after renovation, the location of LBP crust, radon occurs naturally in varying concentrations
must be disclosed to the buyer. If the developer intends to throughout most soils. In addition, water from under-
reuse structures on a property, it is recommended that an ground aquifers or wells may carry radon produced from
environmental firm be hired to perform the testing and risk the surrounding rock. Radon is a chemically unreactive, in-
assessment, and if LBP is present, design any required LBP ert gas. Since radon is not chemically bound or attached to
abatement, and assist with the disclosure requirements. other substances, it can move easily through all gas per-
If a structure is ‘‘historic’’ (generally defined as being on meable materials. Radon and its by-products are a lung can-
or eligible for the historic register) and to be included as cer risk and may cause genetic damage. Typically, exposures
part of the development, other regulations and require- to radon gas occur in confined areas such as buildings and
ments will apply. (Because of their age, most historic struc- basements where the gas can accumulate. Naturally emitted
tures contain LBP.) If this is the case, and the developer is radon gas is unlikely to accumulate to hazardous concen-
truly interested in restoring an historic structure, it is rec- trations in outdoor air or in the general atmosphere of a
ommended that the developer immediately hire a knowl- development site.
edgeable ‘‘historic architect,’’ generally found in a cultural
resources firm, and an environmental firm and LBP abate- Health Risk and Effects of Exposure
ment contractor with specific expertise with renovations in The primary known health risk associated with exposure to
historic structures containing LBP. A historic renovation, es- radon is an increased risk of developing lung cancer. De-
pecially in those structures containing LBP, has become a termining actual risk estimates for radon exposure is a dif-
specialty expertise in the LBP marketplace and is beyond ficult task. Scientists still disagree on appropriate risk
the intent and scope of this book. models. Many factors influence if any one individual will
develop lung cancer, including the amount and duration of
RADON exposure, smoking history, genetic predisposition, and
When considering land development and the sale of new many others. Most scientists agree that radiation exposure
construction, the developer, architect, and builder can face of any kind should be kept as low as reasonably achievable.
numerous areas of potential liability. High radon levels may One thing of which we are certain is how exposure to
breach warranties concerning the habitability of a property radon and its decay products causes damage to lung tissue.
or good workmanship. Builders are advised not to include, The EPA estimates that 5000 to 20,000 lung cancer deaths
contractually, any warranties covering radon. All express per year in the United States alone may be directly attrib-
warranties should be clear and specific, leaving little or no uted to radon exposure. In 1988, the U.S. Surgeon General’s
room for interpretation to include radon. office called radon ‘‘the nation’s number one environmental
Negligence claims can be made against the developer or health hazard.’’ It is the alpha radiation particles released
builder for failure to use reasonable care when selecting the by radon and its polonium daughters that pose the major
site for construction. An architect may be sued for negli- risk. Since alpha particles are large and slow moving, they
gence in his design of the property. Furthermore, the are stopped by our first layer of skin and pose little threat
builder could be found negligent for not alerting buyers to to us externally. However, when radon gas is inhaled,
the possible existence of, and dangers of, a radon gas prob- whether unattached or attached to dust, smoke, or other

aerosols, it easily adheres to lung tissue. The alpha particle Mitigation

then decays, resulting in one of two occurrences, either the The most practical approach to radon mitigation is to pre-
cells are completely destroyed or the DNA of the cell is vent radon from entering a building. This can be done in
damaged. When this happens over a prolonged period, cell a variety of ways, most involving combinations of tech-
damage or mutations can occur, eventually leading to a can- niques.
cerous condition. Scientists have also found that the com- For example, before installing a concrete floor, prepare
bination of radon exposure and smoking greatly increases the subgrade with 4 inches of crushed stone and a plastic
the risk of cancer. membrane. Crawlspaces should be isolated from the rest of
the structure and vented to the outside. Major entry routes;
Detection e.g., plumbing and electrical lines, floor crack, etc., should
EPA has set an action level of 4.0 picocuries per liter (pCi/ be sealed with a polyurethane caulk (see Figure 19.3). This
L) for continuous long-term exposure to radon gas. Addi- sealing process, however, normally only reduces levels a few
picocuries and is more commonly used as a precursor to
tionally, the Radon Abatement Act of 1988: Amendment of
other mitigation techniques as opposed to being used alone.
Toxic Substance Control Act (15 U.S.C. 2661 et seq. PL 100-
551) calls for a long-term national goal for all buildings
nationwide to have indoor radon levels as low as the am-
bient air levels outdoors. When initial short-term testing
shows levels above this guideline, EPA suggests a follow-up
long-term test.
As the radon industry develops, an increasing number
of detection devices and instruments are becoming com-
mercially available. They are categorized as passive and ac-
tive methods of short- and long-term measurement. Passive
methods usually require no external power. They take ad-
vantage of normal indoor airflow to obtain the necessary
sampling. Some short-term passive measurement methods
are charcoal absorption canisters, electrets, and continuous
monitors. The electrets can be used both for short- and
long-term sampling. The alpha track detector is a long-term
passive monitor. Active methods draw air through them to
collect a sample through a scintillation cell or to allow for
deposit of radon decay products onto a filter paper. These
devices are used primarily for shorter-term testing (less than
one week).
When planning development at an undeveloped site, it
may be difficult to predict whether a potential radon gas
problem will exist in the structures that are to be built on
the property. In this case, some investigation as to the po-
tential for radon in the site geology and neighboring prop-
erty structures will be required. In addition to the
above-referenced EPA website, other sources of information
in determining site radon potential include the local, or
State Health Departments and the U.S. Geological Survey.
Typically, State Health Departments maintain a listing of re-
ported radon testing results within buildings throughout
the area. The county’s soil science office may also possess
radon gas potential data for the area geology. The U.S. Ge-
ological Survey develops regional radon potential maps or
maps defining geological formations, which may be indic-
ative of potential radon gas production. If testing or site
investigation confirms the potential for elevated concentra-
tions of radon gas in development and/or new construc-
tion, remedial steps or design modifications are usually
advised to maintain radon levels below the EPA ‘‘action F I G U R E 1 9 . 3 (a) Points of entry of radon into a building; (b)
level’’ of 4 pCi/L of air. Subslab depressurization system.

The most common method used today involves a com- air in concentrations that can be harmful to human health
bination of sealing and a sub-slab depressurization system or the environment.
(see Figure 19.3). In existing buildings, PVC pipe (normally The EPA, through the Clean Air Act (CAA) [42 U.S.C.
4 in.) is inserted vertically through the concrete slab into 7401 et seq.], has divided the United States into Air Quality
the aggregate layer below. A fan is fitted into the piping Control Regions (AQCRs). The EPA also establishes Na-
network and the piping exits the building, preferably tional Ambient Air Quality Standards (NAAQS) for air pol-
through the roof or out the sidewall. Activation of the fan lutants. Each AQCR is evaluated for compliance with the
causes soil gas (including radon) to be drawn through the NAAQS. Each state is required to develop and submit to
stone under the slab into the piping and vented outdoors. the EPA State Implementation Plans (SIPs) for complying
This method can be modified for use in venting hollow with NAAQS. The CAA amendments of 1990 divide areas
cinder block walls as well as crawlspace areas. Sometimes, not in compliance with NAAQS into categories and extend
it is necessary to reverse the airflow, thereby pressuring the deadlines for compliance. These ‘‘non-attainment’’ areas are
subslab rather that depressurizing. This particular tech- classified in order of significance as marginal, moderate, se-
nique has proven to reduce indoor radon levels up to 99%. rious, severe, and extreme. To map a state’s compliance with
There are a number of other methods for reducing radon the standards set by the 1990 amendments, visit the EPA’s
in buildings. Depending on the source or route of entry, a environmental mapping website, Air Graphics, at http://
combination of methods such as natural or forced ventila- www.epa.gov/agweb, or to map the current air quality by
tion, drain tile suction, block wall ventilation, or subslab region or state, visit EPA Air Now at http://www.epa.gov/
suction may be employed. EPA document OPA-86-005, Ra- airnow.
don Reduction Methods—A Homeowners Guide, describes The Clean Air Act also includes the regulation of air
these methods in detail and can be obtained by calling the pollution generated from ‘‘mobile’’ and ‘‘stationary’’ sources
EPA’s hotline at (202) 554-1404 or by accessing EPA’s web- through pollution emission limitation standards. It also in-
page for Radon (http://www.epa.gov/iaq/radon). cludes requirements for the prevention of significant dete-
rioration of air quality in regions where the ambient air
AIR QUALITY quality is well within limits. Existing pollution sources are
Air pollution sources to be considered in land development covered in the SIP. The EPA develops standards for cate-
consist of new processes or sources resulting from the com- gories of new sources. These standards are referred to as
pletion and start-up of facilities, generation of air pollutants New Source Performance Standards (NSPS). The CAA
during development and construction, and air pollution amendments of 1990 require air emission operating permits
sources originating from surrounding or nearby properties. nationwide and cover primarily all stationary sources. The
Air pollutants generated during development may include CAA designates 189 substances as Hazardous Air Pollutants
asbestos fiber releases, lead dust emissions, hydrocarbon (HAP). Periodically, the EPA reviews the HAP list and may
emissions from heavy equipment, or dust as a result of de- add pollutants. Air quality control in land development in-
molishing structures or disturbing soil. New processes or volves the evaluation of three major categories of sources:
operations upon completion of the development such as
exhaust stacks, incinerators, welding or auto body shops, 䡲 Air quality control during actual development
photo processing labs, manufacturing facilities, etc., must construction must be considered. Fugitive dust during
include the installation of appropriate air pollution control excavation and grading activities and the excavations of
systems in land planning and design. A thorough environ- naturally occurring asbestos or the demolition of exist-
mental assessment will identify which activities or processes ing structures with asbestos-containing materials or
will require air pollution control measures upon completion lead-based paint, are also examples of potential air pol-
of development. Local regulatory agencies can identify any lutants during development.
requirements for restriction or control of air pollution emis-
sions that may be generated during development and/or 䡲 Air quality control in the design of new processes
construction operations. The environmental assessment will or facilities is required to ensure compliance with
also identify any off-site sources contributing pollutants to emission standards and NAAQS. Dry cleaning, photo-
the air quality of the development property. Building de- labs, and auto painting are examples of these types of
signs can then incorporate the appropriate controls in operations, which may affect development objectives.
building heating, ventilation, and air conditioning systems 䡲 Land design and development must consider air
to insure the indoor air quality of structures. pollution originating from adjacent properties or other
Air contaminants (pollution) are categorized as particles sources that may affect the new development.
and gases, including dusts, smoke, fumes, mists, and va-
pors. Some examples of common air pollutants are carbon The effects of air pollution are dependent on many en-
monoxide, hydrocarbons, lead, nitrogen oxides, ozone, par- vironmental factors, including topography, wind speed and
ticulate matter, and sulfur oxides. Air pollution can be de- direction, temperature and vertical changes in atmospheric
fined as the presence of one or more contaminant in the temperature, sunlight, precipitation and elevation at which

air contaminants are released. These factors are all consid- that are also noise generators, such as shopping centers and
ered when predicting air pollution concentrations and their light industrial facilities in the vicinity of airports or high-
effect on human health. Condition, age, sensitivity, duration ways.
of exposure, and individual susceptibility are some of the Therefore, it is important for the engineer to understand
factors that affect health conditions related to air pollution. the basic principles of noise production and abatement and
With so many variables, it is very difficult to predict the understand thoroughly the local jurisdictional requirements
end effect of air pollution on communities, populations, or imposed on the project site. The purpose of this section is
the environment. The safest way to control adverse effects to provide information on noise pollution: types of noise;
is to minimize to the extent possible (zero is most preferred) measuring noise; and noise control measures.
the emission of hazardous air pollutants at the source.
Air pollution effects and control must be considered Noise Pollution
early in land planning and development design. Along with Noise can be a nuisance and is considered pollution be-
specific strict regulatory requirements for the control of air cause of its potential impacts on human health. These im-
pollution emission, the effects of air pollution originating pacts include hearing impairments and psychological stress.
off-site from adjacent properties to the development struc- The major sources of community noise are transportation
tures and future occupants of the property must be inves- and construction related. Noise does not need to be ear-
tigated and controls included in the design. piercing to be annoying. Studies conducted have produced
Since various states or local areas may have different varying results, but it has been generally found that:
compliance criteria, it is important for a developer to con-
sult with a firm specializing in air quality compliance. This 1. Hearing damage from exposure to excessive noise
is especially so if development permits require the calcu- is a cumulative process; both level and exposure times
lation of various air pollutant loads into the environment are important factors.
and appropriate methods to minimize those pollutant loads. 2. At a given level, low-frequency noise tends to be
less damaging than noise in the mid-frequency range.
NOISE
Land development engineers must be aware of the impor- 3. Individuals are not all equally susceptible to noise-
tance of noise impacts associated with construction and the induced hearing loss.
surroundings of the property being developed. In addition, 4. The hearing loss that results from noise tends to
noise-generating neighbors such as airports, railways, high- be most pronounced near 4000 Hz and above, but it
ways, and light industrial facilities can adversely affect the spreads over the frequency range with increased expo-
development potential of property and must also be con- sure time and level (Peterson, 1980).
sidered. The engineer should become thoroughly familiar
with the noise-related requirements of the jurisdiction in Exposure to a relatively high level of noise will result in
which the project is located, since many communities now some immediate hearing loss. However, if the individual is
have specific requirements, especially for residential hous- not exposed to that level of noise for a period of time,
ing. These requirements might involve something as com- gradually one recovers the lost hearing ability. Yet, if one is
plex as the initiation by the developer of noise-impact repeatedly exposed to that level, the recovery will not be
studies, detailing the impact of development on adjacent complete and hearing loss becomes permanent. Although
areas and on how existing and anticipated noise levels are many factors interrelate to cause this loss, it is most affected
handled to lessen impacts to the proposed development. by the level of noise and the duration pattern of exposure.
Many local jurisdictions have noise impact legislation in Often hearing loss is not detected since damage is progres-
the zoning ordinances or may even have specific noise or- sive. Currently the OSHA has set permissible noise expo-
dinances. In addition, during the site approval process, the sures as shown in Table 19.2 (Harris, 1992).
jurisdiction may make specific requirements relating to Background noise is defined as noise from all sources un-
attenuation/mitigation of noise. This may come in the form related to a particular sound that is the object of interest.
of development requirements incorporated into the design. Background noise may include airborne, structureborne,
Proper land use planning and the judicious use of zoning and instrument noise (Harris, 1991). It is, therefore, all-
regulations can have a significant impact on preventing the inclusive. Ambient noise is defined as the composite of air-
development of noise-related problems. Several land-use borne sound from many sources, near and far, associated
strategies have been utilized to restrict the development of with a given environment. No particular sound is singled
land that borders the right of way of the noise-generating out for interest (Harris, 1991).
source. One such strategy is to allow noise compatible de- Community Noise. Community noise is an all-
velopment. For example, constructing structures that nor- encompassing term used to identify noise intrusions from
mally are unoccupied, such as warehouses and storage several sources. Traffic or highway noise is probably the
facilities, or constructing structures that contain activities most prominent. Current and future highway and trans-

interference, sleep disturbance, or simply the interference

T A B L E 1 9 . 2 Permissible Daily
with a desire for a tranquil environment. The most com-
Noise Exposures monly used measure of this is the percentage of the area
NOISE LEVEL ALLOWABLE DAILY population characterized as ‘‘highly annoyed’’ (% HA).
(dB) EXPOSURE (hr) Highway Noise. Numerous research efforts have been di-
rected to all of the major components of motor vehicle
85 16 noise sources; these include engines, exhausts, tires, and
(but periodic testing is transmissions. In addition, special studies have been di-
required) rected at truck noise propagation. Standards have been
..................................................... adopted for new vehicles and generally have been effective
90 8 in reducing levels of noise.
.....................................................
The DNL procedures are used to compare community
92 6
..................................................... response estimates based on characteristics of the intruding
95 4 noise, consideration of background noise levels, and of
..................................................... community factors (Gordon, 1971). The use of computer-
97 3 based highway noise prediction models has developed into
.....................................................
a specialty within the engineering profession. It is recom-
100 2
..................................................... mended that the land design engineer rely on the services
102 1.5 of such individuals, or firms, that provide expertise in this
..................................................... field, when situations warrant.
105 1 Aircraft Noise. There is little the land development en-
.....................................................
gineer can do, in terms of noise abatement, regarding air-
110 0.5
..................................................... craft noise. It is recommended that if the project under
120 1 minute or less consideration lies within 15 miles of an airport, the engi-
neer obtain initial data to ascertain if there are any impacts
to the site. Estimates of the noise exposure near an airport
are usually available from the airport manager or from the
portation planning must include a detailed evaluation of Federal Aviation Administration (FAA). Figure 19.4 shows
noise during design and routing of new facilities. Land use a typical aircraft contour map for a major airport.
planning, through land use controls, can also have a major Part 150 of the Federal Aviation Regulation (FAR Part
impact. National standards exist that are intended to guar- 150) sets up the recommended standards for airport noise
antee quieter vehicles by legislating allowable noise emis- exposure maps. It identifies land uses that are normally
sion. In addition, legislation is being instituted at various compatible with various levels of DNL exposure. Levels be-
levels of government to protect residents by way of noise low DNL 65 dB are usually acceptable for all land uses and
codes, noise ordinances, or specific requirements during the can accommodate structures without noise protection mod-
plan approval process. Aircraft flyover noise and runway ifications. When more levels are expected between DNL 65
noise operations are also monitored and legislated. All ma- and 75 dB, restrictions are usually placed on residential and
jor airports have available noise contour maps that identify educational use facilities. Above DNL 75 dB, all residential
noise contours based on runway geometry, flight opera- uses, even with noise attenuation measures, are considered
tions, and aircraft noise. These are frequently updated to unacceptable. A variety of nonresidential open spaces, com-
account for the trend to lower noise levels of newer plane mercial, and manufacturing land use are considered as com-
fleets. patible in areas with DNL greater than 75 dB.
Day–Night Average Sound Level (DNL) is generally con- Several computer programs have been developed to pre-
sidered as a uniform description of cumulative noise ex- dict noise levels at airports. NOISEMAP and Integrated
posure, and research shows that it correlates with health Noise Model (INM) take specific input data and produce
and welfare effects. It is known as a metric and is employed DNL values and contour lines similar to elevation contours
to determine community (population) dose-response and on topographic maps. These contours are usually at 5-dB
annoyance of sound events. The DNL is intended to take intervals.
into account both the noise levels of all individual events In addition, the engineer should ascertain from the air-
that occur during a 24-hr period, as well as the number of port operator if any new runways are planned. Information
times these events occur (Federal, 1989). The DNL includes should be sought on the number of nighttime operations
a 10-dB penalty for all noise events between 10 P.M. and and the flight paths of each runway. Also, the engineer
7 A.M. should ascertain if there are any planned changes for future
Typically, the response to noise is annoyance and can be operations. This information should be transmitted to the
considered a general adverse reaction. It can include speech client.

F IGURE 19.4 Typical airport noise contour map. (Provided by Dayton International Airport)
While there is little the land development engineer can measurements provide levels of a person’s hearing sensitiv-
do on the site for abatement of aircraft noise, some miti- ity. Measurement of noise serves to support and evaluate
gation can result from incorporating the noise suppression community noise abatement programs.
techniques for building construction that are used for high- The most common measurement of noise is the A-
way noise. These are discussed in detail in the previous weighted sound level, frequently abbreviated dB(A) or dBA.
section on highway noise abatement and in the section later It is measured with a sound level meter using the A-
in this chapter on building construction. weighing filter. This filter is used as a standard in sound
Railway Noise. Noise from railway operations can be mit- measuring equipment since it follows closely the response
igated through many of the same techniques used to sup- characteristics of the human ear.
press highway noise. The land development engineer The evaluation of noise impact on hearing loss requires
should develop a basis of data if the subject site is within more than a single measurement of sound level. Noise ex-
3000 ft of a railway line, including rapid-rail transit lines. posure measurements on individuals need to be measured
If the site falls within 3000 ft, the rail operator should be in doses and the devices that perform such measurements
contacted and information obtained on the number of are called noise dose meters (or dosimeters). Dosimeters can
nighttime operations and any plans for future operations. be worn on an individual for an extended period (e.g., car-
ried in a shirt pocket for several days), or they can be fixed,
Measuring Noise mounted models that record for extended periods. The
Noise measurement is performed to provide definitive most common dosimeters measure noise in dB(A).
quantities for description and to rate sounds. The measure-
ments that are taken can be used to improve building Noise Control
acoustics or to permit precise, scientific investigation of The source and impacts of noise must first be characterized
annoying sounds (noise). Due to the psychological and in order to identify noise control measures. Incorporating
physical differences between individuals, the degree of noise abatement elements into the design of the project can
annoyance cannot be scientifically measured; however, eliminate the need to retrofit such elements after major de-
noise measurements provide an objective way of comparing sign elements have been locked-in or, in a worst case,
annoying sounds. Such measurements can also provide an retrofitting abatement measures after a project is under con-
indication of when a sound can cause hearing loss. These struction or completed.
Basically there are three ways to control noise: identifies acceptance ranking for barriers of different ma-
terials.
1. Control noise at the source The aesthetics of the barrier design also has a major ef-
2. Control noise along the path from the source to fect on the perceived effectiveness as well as on its general
the receiver acceptance. Aesthetical treatments include type, color, ma-
terial selection, concurrent landscaping, and surface texture.
3. Control noise at the receiver Recent trends in concrete barriers have resulted in attractive
Noise control terminology often makes reference to SPR installations that complement the total landscape treat-
(Source, Path, Receiver). The source of noise can be con- ments. One state, Colorado, has found that a psychological
trolled through better muffling, realigning or relocating the attenuation occurs of up to 7 dBA in perceived effectiveness
source, or through use of different tires on trucks, for ex- from well designed aesthetics. Placing murals or graphics
ample. Acoustical materials can be installed along the noise on the barrier can also be used to increase attractiveness.
path to block or redirect the sound, such as sound walls or Figure 19.5 through 19.8 show typical installations of
acoustical windows. For transportation noise, little can be various types of barriers. It is important for the engineer to
done at the receiver since in most cases it is the inner ear. give consideration to the following list when considering
Generally, the most cost-effective approach in terms of the design of barriers:
dollars/decibel reduction is to control noise at the source. Earth Berms
Many times, however, the only practical approach may be 䡲 Figure 19.5 shows a typical cross-section drawing
to provide control along the path. In highway noise abate- for a 12-ft high earth berm barrier. If the side slopes
ment, it will take years of research to develop quieter tires are 2:1, the base width is 51 ft. For maintenance pur-
for trucks (control at the source), so the only real option is poses many consider 2:1 slopes to be too steep for safe
to block or dampen the noise along the path via earthen mowing, with a preferred slope of 3:1. This increases
sound berms, barriers, or acoustic windows. The engineer the base width to 75 ft. This loss of land area can
sometimes can control noise at the receiver by reorienting cause severe impact to development. A combination of
buildings during the initial design stage. a short barrier wall on top of the landscaped berm
Noise Barriers. Noise or sound barriers are the most com- might provide a good compromise. Figure 19.5 shows
monly used abatement measure. A sound barrier is a device such an installation.
that is placed between the noise source and the receptor in 䡲 Concern should be given to proper compaction,
order to cause transmission loss or diffraction. The barrier particularly if a steep slope is allowed.
causes diffraction of sound waves, either around or over it,
and causes transmission loss of sound through it. Most bar- 䡲 Earth berms can provide a nearby site for disposal
riers in the U.S. are constructed of wood, metal, concrete, of excess site dirt. However, if the site does not pro-
earth (berm), or some combination of these. vide such an excess, the transportation and placement
An important element in the selection of the type of cost must be taken into account for project budgeting.
noise barriers to use is the perceived effectiveness. Appear- 䡲 Earth berms can also provide an attractive project
ance or the attractiveness of the materials used to construct approach feature, particularly when properly land-
the barrier affects the perceived effectiveness of the barrier. scaped.
It is generally concluded that the most attractive barriers Concrete Barriers
are earth berms. As detailed later, earth berms require sig- 䡲 The access to the barrier site is important if large
nificant horizontal land area to enable the height to be suf- panels are used. If heavy precast panels are used, con-
ficient to provide abatement. Table 19.3 (Cohn, 1981)
T A B L E 1 9 . 3 Acceptance Ranking for

Various Types of Barriers
ACCEPTANCE
BARRIER MATERIAL RANKING
Earth berm 1
.....................................................
Wall/berm combination 2
.....................................................
Wood 3
Reproduced with permission from Cohn, Louis F. 1981. Highway Noise
Barriers N.C.H.R.P. #87I. Washington, D.C.: Transportation Research
Board. F IGURE 19.5 Noise barrier: combination earth berm and wall.
䡲 Damage (denting) can occur after installation. This

can be significant if replacement parts and materials
become unavailable.
Wood Barriers
䡲 Problems can develop with wood shrinkage, warp-
ing, and separations. Figure 19.8 shows a typical wood
barrier.
䡲 In some cases extra vertical bracing might be
needed to keep the decking from separating.
All Barriers
䡲 Care must be exercised to identify any existing util-
ities that might require relocation.
䡲 The later retrofit of new utilities can result in high
F IGURE 19.6 Noise barrier: exposed aggregate concrete. costs if the utilities have to be installed around the
barriers.
䡲 Difficulty in mowing can occur, particularly if the
struction costs can be excessive if the contractor ex- slopes are in excess of 3:1.
pects difficulty in transporting. On-site storage of 䡲 Litter accumulation and excessive weed growth can
panels can be a problem. Figure 19.6 shows a typical cause higher maintenance cost.
concrete barrier.
䡲 Vandalism, such as graffiti, can also cause high
䡲 Sufficient soil boring information is needed to al- maintenance cost.
low proper footing design.
䡲 It can be costly to provide maintenance services
䡲 Difficulty can result when lateral support is behind barriers. In some examples of barriers in use, a
needed, particularly in unstable soil conditions. break to allow maintenance vehicles to pass can be ef-
䡲 Significant costs can result if deep piles are needed. fective. Care must be given to block noise through a
Metal Barriers second duplicate barrier section.
䡲 Problems can result if care is not given to barrier Trees as Barriers. Trees or landscaping as a technique for
material color during fabrication. Figure 19.7 shows a noise abatement is generally over-rated and can be exag-
typical metal barrier. gerated. A dense growth of trees can result in as much as
5 dBA per 100 ft of depth, up to 10 dBA total (Cohn,
䡲 Panels can be damaged during installation and par- 1981).
ticularly during inventory storage on site. It is generally felt that as much as 500 to 1000 feet of
䡲 Expansion and contraction after installation can re- such foliage is needed, but this can cause severe impact to
sult in detached panels. site development. As indicated previously, if a certain
amount of open space (or undistributed area) is required,
F IGURE 19.7 Noise barrier: metal. F IGURE 19.8 Noise barrier: wood.

this area, if heavily treed, can serve such a purpose. Care There are numerous elements of building construction
must be taken to ensure that such foliage has a high pro- that can be incorporated in reconstruction of existing build-
portion of nondeciduous variety, otherwise, the noise im- ings or in new construction. These include the use of
pact will be high in winter months. Trees, in combination gypsum board for exterior walls, building insulation,
with a noise barrier such as a wall or an earthen berm, can double-pane glass for windows, heavy weight doors, sealant
be attractive and can lessen noise impacts. for air gaps, weather stripping and gaskets. Note: the acous-
It is important to note here that psychological impacts tical benefits of insulating glass are not as effective as
can be important in developing an attractive project. The double-glazed construction, since the airspace between the
spatial relationships of the project can be important, espe- panes of insulating glass is only a fraction of an inch; how-
cially with regard to site elements such as pedestrian facil- ever, newer, specially-designed sound insulating windows
ities (hiking or biking trails, for example). Generally, this is are available. These are usually two panes of glass in fixed
considered visual enclosure of space. If one can design an and sealed sashes separated by a 2- to 4-inch airspace.
attractive area, including elements of landscaping, attractive These sashes usually contain a minimum 3⁄16 inch thick
views, the emphasis of changing topography, and the inclu- glass.
sion of hydrological events such as water ponds, the visual Typically, basements are considered to be unoccupied
impact can psychologically lessen noise impacts. Such water and do not include insulating elements. However, if base-
elements can include required stormwater facilities to result ment areas are to be used as living areas, it is recommended
in an additional positive result. that insulating materials be utilized, particularly for win-
Noise Abatement in Building Construction. As indicated dows.
above, there are several means of abatement for noise. We Modifying existing structures or constructing new build-
have discussed the use of physical barriers to achieve such ings with air conditioning can have a positive effect on in-
abatement. Also discussed above is the suppression of noise ternal noise abatement. The best units are central station
through land use and zoning and other means of good plan- equipment, which, with an appropriate distribution system
ning and innovative design techniques. This section covers and/or terminal units, provide year-round air treatment.
a third means, that is, reduction of interior noise in struc- Acoustically-lined fresh-air intake and exhaust-air ducts to
tures through sound treatment in building construction. central fans are recommended (Cohn, 1981).
Covered here are building sound treatments to reduce noise Additional benefits can result in using high sound in-
through modifications to existing buildings as well as the sulation materials. Construction elements that provide pro-
use of design details for future buildings. One study has tection from noise also can reduce heating and air
found that up to 15 dBA of interior noise reduction is pos- conditioning cost by as much as 50%. It should be noted
sible for structures through proper sound-insulating con- that although the use of such installations can reduce winter
struction techniques (Cohn, 1981). maintenance costs, if non-opening windows are used, the
A standard rating system has been developed to rate the summer maintenance costs can increase since open-air ven-
speech privacy provided by a barrier. It rates the sound tilation is denied.
transmission loss for typical building materials. This sound Exterior noise can be transmitted through building com-
transmission class (STC) is used to rate the acoustical per- ponents such as connecting passageways or through fresh
formance of building construction elements. It is based on air intakes and exhaust ducts. Therefore, it is important to
air tightness, mass, and how noise absorbent the core ma- consider insulating attic space vents and interior duct sys-
terial is. tems.
In general, measures to lessen noise impacts can be both Highway noise and its abatement is probably the one
exterior and interior. For exterior building construction el- area of this subject that has been researched the most, and,
ements, consideration should be given to the structural consequently, the area where positive impacts have been
frame, exterior walls, windows, exterior doors, roof, ceil- seen to the greatest extent. This section is not intended to
ings, and construction of floors or specifically underfloors. cover all of the technical aspects of noise analysis and abate-
For interior elements, consideration should be given to in- ment; it is intended, rather, to provide information so that
terior surfaces of exterior walls and ceilings and environ- the land design engineer can include measures in the plan-
mental controls such as air conditioning. ning and design of the project. At the same time, it is im-
Windows and doors are the most effective areas for portant for the engineer to recognize when a problem exists
sound insulation, since they are receptor areas where most or may exist that requires the services of others more highly
of the noise enters a structure. Conventional window design trained in this field.
has low-noise (sound) transmission loss because of the sin-
gle thickness of the glass, and the fact that glass is not a REFERENCES
good insulator by itself. Doors allow transmissions of noise 24 CFR Part 35, 2001.
through air gaps around the sashes and through single- 29 CFR Part 763, 2001.
thickness door panel construction. 29 CFR Part 1910.1001, 2001.

29 CFR Part 1926.62, 2001. Engineers N.C.H.R.P. #117, Highway Research Board, Washington,
29 CFR Part 1926.1101, 2001. D.C., 1971.
40 CFR Part 61, Subpart M, 2001. ‘‘Guidelines for the Evaluation and Control of Lead-Based Paint
in Housing,’’ 1995, Revised 1997.
40 CFR Part 82, Subpart F, 2001.
Harris, Richard W., Arboriculture: Integrated Management of Land-
40 CFR Parts 260-299 2001.
scape Trees, Shrubs and Vines, 2nd ed., Prentice Hall, Englewood
40 CFR Part 261.24, 2001. Cliffs, N.J., 1992.
40 CFR Part 763, 2001. Harris, David A., Noise Control Manual, Van Nostrand Reinhold,
40 CFR Part 745, 2001. New York, 1991.
The American Heritage Dictionary, Houghton Mifflin Company, Harry M. Freeman, editor in chief, Standard Handbook of Hazard-
1985. ous Waste Treatment and Disposal, McGraw-Hill, New York, 1989.
The 1992 Residential Lead-Based Paint Hazard Reduction Act Hopcroft, Vitale, and Anglehart, Hazardous Material and Hazard-
(42 U.S.C. 4851 et. seq. PL 101-550), 1992. ous Waste, R.S. Means Company, Inc., Kingston, Mass., 1989.
Barry, T. M., and J. A. Reagan, FHWA Highway Noise Prediction Lieter, Jeffrey L., editor in Chief, Underground Storage Tank
Model, U.S. Department of Transportation, Washington, D.C., Guide, Thompson Publishing Group, Salisbury, Md., 1988.
1978. O’Brien, James P., and William Harris Frank, Environmental Due
Bolt Beranek and Newman Inc., Highway Noise Generation and Diligence, The Bureau of National Affairs, Inc., Washington, D.C.,
Control, Transportation Research Board, Washington, D.C., 1977. 1989.
Bowlby, William, ed., Sound Procedures For Measuring Highway Parkin, William P., Marburg Assoc., Site Auditing: Environmental
Noise, U.S. Department of Transportation, Washington, D.C., Assessment of Property, Specialty Technical Publishers Inc., Van-
1982. couver B.C. Canada, 1991.
The Clean Air Act (CAA) (42 U.S.C. 7401 et. seq. PL 101-549), Patty’s Industrial Hygiene and Toxicology, Third Revised Edition,
Wiley-Interscience: New York, 1978.
1990.
Peterson, Arnold P.G., Handbook of Noise Measurement, GenRad,
Cohn, Louis F., Highway Noise Barriers N.C.H.R.P #87, Transpor-
Inc., Concord, Mass., 1980.
tation Research Board, Washington, D.C, 1981.
Radon Abatement Act of 1988 Amendment of Toxic Substance
Cooke, Susan M., and Matthew Bender, The Law of Hazardous Control Act (15 U.S.C. 2661 et. seq. PL 100-551), 1988.
Waste, Matthew Bender & Co. Inc., New York, 1992.
Rom, William N., M.D., 1992. Environmental and Occupational
Corbitt, Robert A., Standard Handbook of Environmental Engineer- Medicine, Second Edition. MPH: New York, 1992.
ing, McGraw-Hill, New York, 1990.
Rothenburg, Eric B., and Dean Jeffrey Telego, Environmental Risk
Devinny, Everett, Lu, and Stollar, Subsurface Migration of Hazard- Management, RTM Communications Inc., Alexandria, Va., 1991.
ous Wastes, Van Nostrand Reinhold, New York, 1990. Salvato, Joseph A., P.E., Environmental Engineering and Sanitation,
The Environmental Audit Handbook, Business & Legal Reports, 3d ed., Wiley-Interscience, New York, 1982.
Inc., Madison, Conn., 1990. Transportation Research Board, Issues in Transportation Noise Miti-
Gordon, Colin G., William J. Galloway, B. Andrew Kugler, and gation: Highway and Railway Studies TRR #983, Transportation Re-
Daniel L. Nelson, Highway Noise, A Design Guide For Highway search Board, Washington, D.C., 1984.

PART V
FINAL DESIGN
STEP 5: FINAL DESIGN view and approval by local governing agencies, which au-
thorizes the final commencement of construction. The site
After the client and local governing agencies have reviewed plan developed during the final design represents the final
and accepted the schematic design and preliminary engi- documentation of the land development design process.
neering study, the civil engineers prepare the final design. The main components of final design are chronicled in the
The final design reflects the detail necessary for project re- ensuing pages.

FINAL DESIGN

CHAPTER 20
SUBURBAN STREET DESIGN

J. Thomas Tanner, P.E.
INTRODUCTION degree. More emphasis is placed on pedestrian safety, local

Most of the design criteria for high-speed, high-volume service, land accessibility, and the preference by residents
highways has been established by organizations such as the for a pleasant environment.
American Association of State Highway and Transportation In many localities the actual construction and the cost
Officials (AASHTO), the Institute of Transportation Engi- of construction of the street network of a development pro-
neers (ITE), and the Federal Highway Administration ject is the responsibility of the developer. Once the streets
(FHWA). Design criteria for low-speed roads is typically are constructed, they are then accepted as part of the local
established by local municipal or state agencies by modi- or state street network system, and the costs of repair and
maintenance become the responsibility of public agencies.
fying the criteria for highways. However, recent revisions to
Maintenance costs, in most cases, are funded through local
the popular AASHTO design manual, A Policy on Geometric
and state taxes. Higher order roads on the other hand are
Design of Highways and Streets have incorporated discussions
typically constructed with state and federal funds and main-
and provided design guidance regarding residential type
tained with state funds.
streets in urban settings. Many local agencies have adopted
It becomes imperative for the streets to be designed and
AASHTO criteria entirely or with modifications to reflect
built according to the governing criteria. Failure to do so
regional philosophies and conditions. AASHTO criteria rep-
results in additional costs in design and construction in
resent the consensus of state transportation agencies and order to have the street accepted into the state or local
the FHWA. They provide a consistent basis for highway system. Nonstandard design may also cloud liability in ac-
design with appropriate variations for climates terrain and cident cases. Some developers choose to provide private
economic factors. streets. The cost burden for repair and maintenance will
The FHWA publishes the Manual on Uniform Traffic then be the responsibility of the private owner(s).
Control Devices (MUTCD). This manual has been officially
adopted by most states and has become an important legal HIERARCHY OF STREETS
document because it assures that pavement marking signing Several different classification systems exist for grouping
and signaling devices will be uniformly and consistently highways and streets. The various systems are used by dif-
applied. Local jurisdictions, in most instances, are required ferent agencies and other interest groups to establish a com-
by state law to conform to the MUTCD. Use of this standard mon base according to a particular interest, function, or
applies to both the selections of appropriate traffic control operation of the road. The various systems include: group-
devices and to design and application of markings and ing for administrative purposes to identify the levels of gov-
signs. ernment responsible for construction and maintenance;
High-speed, high-volume highway design is mostly gov- grouping according to eligibility for various sources of fund-
erned by vehicle and driver characteristics. Local urban ing; grouping by traffic volumes for traffic operations;
street design is governed by the same criteria but to a lesser grouping according to geometric design for setting design
355
356 F I N A L D E S I G N
standards and priorities; and grouping by character of ser- Between these two extremes are the collection and distri-
vice provided by the road as a functional classification. Ge- bution roads that link the two functional extremes.
ometric design category is of interest to design engineers Functional classification is divided into rural and urban
and the lowest category for residential, commercial, or in- systems, which possess different vehicle and traffic charac-
dustrial access is one of particular interest to land planners teristics. The systems differ in travel patterns, the density
for development projects. of the streets and highways within the network, and the
The American Association of State Highway and Trans- type of land served by the network. As might be inferred,
portation Officials (AASHTO) handbook A Policy on the population density sets the distinction. Comparatively
Geometric Design of Highways and Streets 1990 includes dense areas, as designated by state or local officials, with
a detailed discussion of functional highway systems. populations of 5000 or more people are considered urban.
AASHTO describes a typical trip as including the following Population is used to further divide this category into two
six stages of travel movement or service to facilitate vehic- subcategories: urbanized areas, those with populations of
ular movement: (1) main movement, (2) transition, (3) dis- 50,000 and over, and small urban areas, defined by a pop-
tribution, (4) collection, (5) access, and (6) termination. ulation between 5000 and 50,000. As shown in the
The roadway functions and traffic volumes are directly re- AASHTO handbook, the urban functional system divides
lated to the movement hierarchy served. Figure 20.1 illus- streets into principal arterial, minor arterial, collector, and
trates the hierarchy of movement and depicts the use of local functions.
roadways within a typical trip. In many land development The urban principal arterials provide service to major
projects the majority of the planning and design focuses on centers of activity and are the corridors that accommodate
the roads pertaining to the latter parts of the travel move- the highest traffic volume. A high proportion of the urban
ment; i.e., terminal access, collection, and occasionally dis- area travel occurs on the limited arterial system. In the ur-
tribution. banized areas it is these streets that provide linkage to the
The highway and street network provide travel mobility rural arterial roadways. The principal arterial system is com-
and access to property. Mobility is an all encompassing de- posed of several types of roadways with full control of ac-
scription that includes riding comfort, absence of speed cess, such as interstate highways and other freeways, and
changes, operation speed, and travel time. At one end of other principal arterial streets with partial or no control of
the functional category is the high-access, low-mobility lo- access. The spacing of these principal arterials varies with
cal roads and streets. The other extreme is the high- the density of the urban areas.
mobility, low-access arterial highways such as freeways. Next in the hierarchy of the urban functional system is
the minor arterial street system. These distributor streets
provide greater access to adjoining land than that afforded
by the principal arterial system. Traffic movement, as com-
pared to the principal arterial system, is greatly impeded.
Minor arterial streets provide travel between communities
and possible connections to rural collector roads. Typically,
such roads provide the boundaries of identifiable neigh-
borhoods. Their spacing relates to the density of the de-
veloped area. Spacing ranges from 1⁄2 mile to 3 miles. In
fully developed areas the spacing normally does not exceed
1 mile.
The urban collector street system provides for land ac-
cess and traffic flow in all land use areas. These streets link
the local street system with the principal and minor arterial
street systems. Collector streets through predominantly res-
idential areas serve as the main access to the development
from the arterial or another collector. The residential col-
lector street has average daily traffic (ADT) counts of 1000–
3000 vehicles per day (VPD). Single-family dwelling units
may have direct access on these roads where traffic volumes
are on the lower end of this range. However, as traffic vol-
umes increase, perhaps due to the length of the collector
or the land use it serves, direct access becomes less desir-
able and left turn movements are often restricted. An option
FIGURE 20.1 Hierarchy of movement. From A Policy on Ge-
ometric Design of Highways and Streets, copyright 1990 by the American to consider is to design the development project such that
Association of State Highway and Transportation Officials, Washington, D.C. the collector accesses multifamily residential dwelling units
Used by permission. with off-street parking such as townhouses and condomin-

20 䡲 SUBURBAN STREET DESIGN 357
iums, schools, and other public facilities. As the collector viously that are higher in the order within the functional
street traffic volumes approach 3000 VPD, access to single- system. Whereas collector streets are the main routes that
family units becomes undesirable; however, access to small provide access to the development, local streets provide ac-
public and local commercial/retail facilities would still be cess to the properties within the development. In residential
considered appropriate. areas, the volume of local streets is usually less than 1000
Lowest in the hierarchy is the urban local street system. VPD.
The main function of the local street is access to the land Figure 20.2(a) schematically shows the functional clas-
adjoining the roadway and linkage to streets mentioned pre- sification of streets and the interconnection of the street
FIGURE 20.2 (a) Functional classification at the subdivision scale; (b) Access versus movement. From Institute of Transportation Engineers:
Residential Street Design and Traffic Control, 䉷 1989, p. 20. Reprinted by permission of Prentice Hall, Englewood Cliffs, NJ. And from DeChiara, J., and
L. Koppelman. 1984. Time Saver Standards for Site Planning. New York, New York: McGraw-Hill. Reproduced by permission of McGraw-Hill.

hierarchy. For example, it is impractical to connect a local DESIGN CONSIDERATIONS

street to a principal arterial. Figure 20.2(b) relates move- Traffic Volumes
ment to access for each of the functional classifications. A
The design capacity—that is, the traffic volume that can be
summary of the characteristics of the AASHTO classification
supported by a street—depends on factors such as width,
appears in Table 20.1.
horizontal curvature, vertical curvature, longitudinal street
Other organizations besides AASHTO have developed a
grades, superelevation, roadside obstructions, intersections,
functional system that relates to residential and suburban
and traffic control measures. These criteria are usually spec-
settings. The National Association of Home Builders, the
ified as minimums for residential access streets and are de-
American Society of Civil Engineers, and the Urban Land
termined by the need for fire access and whether on-street
Institute formed a task force to assimilate data and publish
parking is permitted. For collectors and arterials, it is nec-
a manual to aid in appropriate local street design. This man- essary to design the street for the traffic it is expected to
ual entitled Residential Streets, 2nd ed. (1990), defines the maintain at some future date.
street categories as arterial, collector, subcollector, and ac- A traffic impact analysis performed during the early
cess. Accordingly, residential streets are included in all planning stages provides a basis for design. The traffic study
groups except arterial. The definition of arterial and collec- includes estimates of additional traffic generated based by
tor streets correlates to the AASHTO definition. A subcol- the new development. The study’s level of detail and the
lector street acts as a partial-collector, partial-access street methods used for projecting traffic volumes depend on the
by providing access to lots and carrying through traffic to type of project, its size, and its location. Of interest in the
the lesser-access street. The access street carries no through design are the traffic volumes in terms of peak hour volume
traffic. It serves only to access the lots located along it. and average daily traffic. The projected peak hour traffic
Streets such as cul-de-sacs, dead-end streets, loop roads, volume dictates street geometry.
and courts fall into this category. Methods used for estimating traffic volumes on local and
Ultimately for land development projects, street classi- collector residential streets may be different than those used
fication will fall into the domain of the local controlling for streets higher in the functional hierarchy or for
body. Description and definition of the street categories are commercial/industrial projects. Whereas the higher-order
usually found in local subdivision ordinances and stan- streets require detailed traffic analysis and future traffic vol-
dards. In all likelihood the categories will be defined ac- ume projections, volumes on residential streets are typically
cording to function and in part by anticipated traffic based on averages of vehicle trips per type of dwelling unit.
volumes. Regardless of the basis for grouping, categories Table 20.2 provides estimates on the number of trips gen-
should follow a pattern similar to those outlined above. erated for various land uses.
Placing priority on function when designing local access The trip rates shown in Table 20.2 are ‘‘trip-ends.’’ A trip-
streets requires that the designer consider many related fac- end is ‘‘a single or one direction vehicle movement with
tors apart from average daily traffic. Land development pro- either the origin or destination (exiting or entering) inside
jects are only pieces in the regional development scheme. a study site.’’1 For example a person leaves home for work
Design of streets within a project should, therefore, conform
to the overall street system for the entire neighborhood.
Such factors as economy, efficiency, safety, and viability lead 1
Trip Generation 5th ed., Institute of Transportation Engineers, Washington, D.C.,
to functionally well-designed streets. 1991.
TABLE 20.1 Summary of Characteristics of the Functional System

STREET
CLASSIFICATION SERVICE AREA RELATIVE VOLUME LOS*/OPERATING SPEED ACCESS CONTROL
Principle Arterial Through movements; High High Full to Partial

Major activity centers
.....................................................................................................................
Minor Arterial Lesser activity centers High to Medium High to Moderate Some limitation
.....................................................................................................................
Collector Regional and some Medium to Low Moderate to Low None
local land access
.....................................................................................................................
Local Neighborhood land access Low Low None
* Level of Service—a qualitative measure of the operating conditions

TABLE 20.2 Weekday Vehicle Trip Generation for Selected Land Uses (given as trip-ends)
Single-Family Detached 9.6/DU

.....................................................................................................................
Residential Planned Unit Development 7.4/DU
.....................................................................................................................
Residential Condominium/Townhouse 5.8/DU
.....................................................................................................................
Apartment 6.5/DU
.....................................................................................................................
Mobile Home Park 4.8/DU
.....................................................................................................................
General Office Building
.....................................................................................................................
10,000 ft2 Gross Floor Area 24.6
.....................................................................................................................
.....................................................................................................................
.....................................................................................................................
.....................................................................................................................
.....................................................................................................................
Shopping Center (excluding Christmas season)
.....................................................................................................................
100,000 ft2 70.1
.....................................................................................................................
500,000 ft2 38.7
.....................................................................................................................
1,000,000 ft2 32.1
.....................................................................................................................
Business Park 14.4/1000 ft2 Gross Floor Area
.....................................................................................................................
Industrial Park per employee 3.3/employee
.....................................................................................................................
County Park 3.0/acre
(Source: ITE, TRIP Generation 1991)
and returns later in the day constitutes two trip-ends for 䡲 Future background traffic—increase in traffic ex-
that dwelling unit. This Trip Generation manual contains trip pected to occur at the time of development (not in-
rates for nearly every type of land use. The reader should cluding traffic generated by new development)
refer to this manual to estimate trip generation in more
䡲 Site traffic—traffic explicitly generated by new de-
specific detail.
velopment project
Depending on the nature of the project, its location rel-
ative to the transportation network, and other factors, a 䡲 Total future traffic—sum of the future background
traffic analysis would include data such as current daily traffic and site traffic
traffic volumes, existing peak hour turning volumes, esti-
mated site traffic generation, directional distribution of site Traffic volume is a result of traffic demand. Land use,
traffic, estimated trip generation for nonsite development, socioeconomic conditions and the amount and type of
estimated total future traffic, and projected levels of service. available transportation affect travel demand. Land use dic-
Part of the street design, such as number of lanes, turn tates the location and intensity of the activity, and socio-
lanes, and intersection control would be based on this data. economic factors determine the magnitude and extent of
Figure 20.3 is an example from a traffic study showing im- population activity. The two factors are integral components
pact of a new project on the traffic. in the development of trip generation models.
The traffic study typically projects the volume for four Trip generation models predict how many trips each ac-
types of traffic: tivity produces and the origin and destination of such trips.
Forecasting travel demand with elaborate trip generation
䡲 Existing traffic—volume of traffic vehicles that are models or with tables, such as Table 20.2, depends on the
using the road prior to improvements and modifica- level of detail required for the study. The travel demand
tions analysis is a key element of transportation planning,

FIGURE 20.3 Peak hour traffic for a proposed development. (Courtesy of Barton-Aschman Asoc., Inc. Washington, D.C.)

whether for long-range wide-area comprehensive plans or some minimum standard of driver behavior and vehicle
for short-range plans for a traffic corridor or specific facility. performance.
Transportation impact analysis for various types of land Individuals vary, and therefore, as an added measure of
development projects above a certain size, when required, safety, designers must design for below-average driver char-
are normally performed by traffic engineering consultants. acteristics, with the presumption that a high majority of
Traffic volumes are necessary to determine the impact a drivers will have these minimum threshold characteristics.
development project has on existing streets. New develop- Drivers’ fundamental characteristics include perception,
ment generates more traffic and, consequently, may alter identification, emotion, and volition (PIEV).
prevailing traffic patterns. Traffic volumes fluctuate daily Perception includes seeing and observing objects. Iden-
and seasonally depending on the area served by the street. tification consists of comprehending an encountered object
Major corridors serving commercial and business areas have and its surrounding elements. Emotion involves judgment
peak volumes in morning and late afternoons. Retail areas and the process of decision-making leading to responsive
have peak volumes on weekends and evenings, especially actions. Volition or reaction is the driver’s will to react to
during holidays. Many local agencies require off-site con- or execute the actions decided during the emotion process.
struction of financial contributions to alleviate the impact The total time elapsed through the PIEV process is referred
of development on nearby collector and arterial streets. to as the PIEV time, or more commonly the perception–
Two parameters frequently referenced in the design of reaction time.
major roads are the average daily traffic (ADT) and design PIEV time varies with the complexity of individual sit-
hourly volume (DHV). The ADT is the traffic volume uations. Factors such as the use of drugs and alcohol, age,
counted over a number of 24-hr periods divided by the fatigue, and physical impairments cause increases in PIEV
number of 24-hr periods. The ADT is a parameter used to time. Studies conducted in laboratory situations determined
measure and evaluate existing traffic flow and to plan for PIEV time as lying in a range from 0.5 to 7.0 seconds.
future roads. ADT volumes do not reflect the specific var- Highway agencies typically use PIEV times of 2.5 seconds
iation in volumes during peak hours. Design for the ex- for stopping distance and 2.0 seconds for determination of
pected greatest peak volume would not be cost effective. adequate sight distance at intersections. The latter is short-
Therefore a cost-effective design must be one based on a ened because the driver anticipates a possible reaction at
traffic volume that may be only occasionally exceeded. intersections. Similarly, familiarity with common signs and
The DHV is the projected hourly volume used for setting traffic markings reduces PIEV time because perception,
the geometric design. It provides a base to account for identification, and emotion occur almost instantaneously.
change in demand on a roadway over a projected design
period. Data collected from rural arterial streets for a wide Vehicle Characteristics
range of traffic volumes over a wide geographic area has Roads are designed to accommodate the characteristics of
shown that there are approximately 30 hours in a year the vehicles using it. There is a wider range of vehicle types
where the road carries the highest hourly volume (HV). The using arterial roads as compared to vehicle types using local
traffic volume for the remaining hours of the year is nearly streets. In addition, the frequency of occurrence of specific
uniform relative to the 30 highest hours. Based on these vehicle types is higher on arterial roads. For example, a
results, the 30th highest hourly volume for the projected large truck (e.g., moving van) is only occasionally found on
design year is determined as the DHV. That is, the projected residential streets but large trucks are common on arterial
hourly volume of traffic will be greater than the DHV only streets. Therefore, for economic reasons, streets higher in
29 hours in the year. In urban areas the 30th HV is selected the functional hierarchy must be geometrically and struc-
as the DHV as a general rule. However, unique land use turally designed to accommodate larger vehicles. In com-
and other special situations such as major seasonal recrea- parison, the design requirements for local streets may not
tion areas may warrant deviations from this general rule. In have to be as stringent. For example, lane widths for local
many instances the DHV is taken as a percentage of the streets may not be as wide as arterials, and curve radii may
ADT. On urban highways the DHV is normally between 8 be shorter and gradients steeper. Local requirements for
and 12% of the ADT. pavement structure and operating room for fire apparatus
often provide more than adequate design for other similar
Driver Characteristics vehicles.
The characteristics of vehicles and drivers using the road- The largest vehicle type that is most likely to use the
way directly affect the geometric design. Driver behavior roadway with regular frequency is selected as the design
and response to various situations vary as conditions vary. vehicle. The physical and operating characteristics of the
Behavior and response for the same situation and condition design vehicle are then used to establish critical geometric
vary for the same driver at different times due to physical and structural design features of the road. Local streets, like
condition and mental attitudes. Likewise, the performance any roadway, must accommodate the predominant vehicles
of vehicles varies due to size, weight, power, mechanical using this type of functional street. The predominant ve-
condition, and the driver. Road design must account for hicle on local streets is the private passenger car, including

small-, medium-, and large-size cars, vans and pickup system are the monotony of the layout and the lack of dif-
trucks. In high-density developments (e.g., townhouses, ferentiation of function between individual streets within
condominiums), the travelways are typically not publicly- the system. The system also invites through traffic. These
owned and maintained. Consequently, design criteria for drawbacks can be overcome with imagination and by var-
minimum widths and radii of curvature are even less than iations from the typical grid. Figure 20.4 illustrates the sim-
that prescribed for local public streets. However, the design ple grid pattern and modifications such as using secondary
engineer must consider the use of these streets and travel- loop roads to provide a more attractive environment.
ways by emergency vehicles, moving vans, refuse trucks, Curvilinear Patterns. Many medium to large projects de-
school buses, and other large vehicles. Table 20.3 shows velop a curvilinear type of street pattern. Such a pattern
the acceptable dimensions of design vehicle types and the discourages ‘‘cut-through’’ traffic, optimizes land use and
designation for each vehicle type commonly used in traffic minimizes cut and fill grading operations during construc-
engineering (e.g. an intermediate semi-trailer is designated tion by taking advantage of the existing topography for
as a WB-40). streets and, also, lot orientations and configurations. Such
patterns create a sense of neighborhood on a small scale by
Circulation and Access collecting the lots into small groupings through the use of
The traffic circulation and the access often determine a land smaller elements of street patterns such as cul-de-sacs,
development’s consumer appeal. In purely residential de- loops courts, and short streets (see Figure 20.5). The com-
velopments, the recommended practice is to discourage bined use of the smaller street elements with curvilinear
outside-generated through traffic by limiting the number of street patterns is evident in the aerial photograph of Figure
access points to the arterials or collectors or by designing 40.22. Such a pattern’s drawback is the confusion created
the internal streets in short, narrow, curvilinear, discontin- that may result when attempting to traverse the area. Ex-
uous patterns. Although multiple access points might en- tensive curvilinear patterns are not recommended for com-
courage through traffic, they do provide for less congestion mercial and industrial developments.
because of more dispersion of the traffic from within the Circulation and access may be considered from two dif-
residential development. In mixed-use developments and ferent scales as they apply to the development’s proposed
commercial/retail projects, the access and circulation pat- public street system and as they apply to a specific land
parcel. In both situations, circulation and access are con-
tern is more complex. Circulation and access is important
strained by the existing street network, adjacent property,
to facilitate the traffic flow through the commercial and re-
and the intended type of land use for the proposed devel-
tail sections. However, the commercial and retail traffic
opment.
should not be directed through residential areas. Proper
Frequently, providing for adequate circulation and access
planning of the development necessitates that the residen-
requires improvements to existing infrastructure elements
tial section be located apart from the business areas to re-
beyond the limits of the site, and these are often financed
duce the high traffic volume’s impact. As previously
by the developer. Turn lanes added to the existing street or
mentioned, through traffic can be discouraged by street ge-
signalization of an intersection to improve capacity and
ometry and configuration, but this strategy is most effective
safety are examples of such required offsite improvements.
if the alternative minor arterials have adequate capacity and Necessary considerations for circulation and access include
provide a good level of service. the following:
Street circulation is site oriented to a degree. Where and
how the streets are oriented depend on the interrelation- 䡲 Will the intersection of the proposed street ad-
ships of various aspects such as lot layout, topography, versely impact existing intersections?
noise levels, accident potentials, and other factors. To ac-
䡲 Is there adequate horizontal and vertical sight dis-
commodate access and circulation demands, street net-
tance at the new access point?
works have evolved into patterns that fit certain situations
and lend themselves to particular solutions. The grid pattern 䡲 Will turn lanes be required?
is a series of parallel streets intersecting at right angles cre-
䡲 Will any intersections require signal control?
ating rectangular blocks. The grid is best suited for use in
high-density areas with widely distributed traffic flows. Grid 䡲 Will any streets within the development be re-
systems provide easily recognizable orientation for users. quired to terminate at a particular point on the bound-
Their simplicity in providing access is a definite advantage. ary to allow for access to adjacent properties for future
The grid system simplifies surveying and maximizes the development?
number of houses fronting on a street.
Considerations for access to a particular parcel such as
Grid street systems dictate the topography by forcing a
entrances (driveways) into commercial/retail sites should
specific grading design in order to obtain buildable lots. address:
Therefore, they are best suited for generally flat areas. Im-
posing a grid system on rolling terrain in most cases re- 䡲 An adequate driveway length (i.e., throat length) to
quires extensive grading. Other drawbacks to this type of allow for vehicle queuing into and out of the parcel

TABLE 20.3 Design Vehicle Dimensions

DIMENSION (FT)
OVERALL OVERHANG
DESIGN VEHICLE TYPE SYMBOL HEIGHT WIDTH LENGTH FRONT REAR WB1 WB2 S T WB3 WB4
Passenger car P 4.25 7 19 3 5 11
......................................................................................................................
Single unit truck SU 13.5 8.5 30 4 6 20
......................................................................................................................
Single unit bus BUS 13.5 8.5 40 7 8 25
......................................................................................................................
Articulated bus A-BUS 10.5 8.5 60 8.5 9.5 18 4a 20a
......................................................................................................................
Combination trucks
Intermediate semitrailer WB-40 13.5 8.5 50 4 6 13 27
Large semitrailer WB-50 13.5 8.5 55 3 2 20 30
‘‘Double Bottom’’ semi- WB-60 13.5 8.5 65 2 3 9.7 20 4b 5.4b 20.9
trailer—full-trailer
Interstate Semitrailer WB-62* 13.5 8.5 69 3 3 20 40–42
Interstate Semitrailer WB-67* 13.5 8.5 74 3 3 20 45–47
Triple Semitrailer WB-96 13.5 8.5 102 2.5 3.3 13.5 20.7 3.3d 6d 21.7 21.7
Turnpike Double Semitrailer WB-114 13.5 8.5 118 2 2 22 40 2 c
6c 44
......................................................................................................................
Recreation vehicle
Motor home MH 8 30 4 6 20
Car and camper trailer P/T 8 49 3 10 11 18 5
Car and boat trailer P/B 8 42 3 8 11 15 5
Motor home and boat trailer MH/B 8 53 4 8 20 21 6
(From A Policy on Geometric Design of Highways and Streets, Copyright 1990 by the American Association of State Highway and Transportation Officials, Wash-
ington, D.C. used by permission.)
* ⫽ Design vehicle with 48⬘ trailer as adopted in 19872 STAA (Surface Transporation Assistance Act)
** ⫽ Design vehicle with 53⬘ trailer as grandfathered in 1982 STAA (Surface Transportation Assistance Act)
a
⫽ Combined dimesion 24, split is estimated.
b
⫽ Combined dimesion 9.4, split is estimated.
c
⫽ Combined dimesion 8, split is estimated.
d
⫽ Combined dimension 9.3, split is estimated.
WB1, WB2, WB3, WB4 are effective vehicle wheelbases.
S is the distance from the rear effective axle to the hitch point.
T is the distance from the hitch point to the lead effective axle of the following unit.
䡲 Is the driveway entrance too close to other drive- Pedestrians

way entrances or to an intersection that causes con- Pedestrian safety is a concern on any roadway where a com-
flicts in turning movements? bination of vehicular traffic and people occur. Pedestrian
䡲 If there is a median in the driveway, is it visible by density substantially increases in the lower classifications of
the vehicles turning into the entrance? streets in both residential and commercial areas. In residen-
tial areas there is an added emphasis on child safety. Not
䡲 Are the profile and cross section of the driveway to be overlooked is the safety concerns of pedestrians in
adequate and compatible with the roadway conditions? parking areas. Parking areas are complex in that the driver,
although proceeding slowly, must contend with numerous
Consider circulation within the parcel: vehicle and pedestrian movements occurring nearly simul-
taneously. Pedestrians’ movement along and randomly
䡲 Is a loop road or perimeter road appropriate? crossing travelways, vehicles entering and exiting parking
䡲 Does the parking area need to be partitioned or spaces, as well as the movement and turns of the normal
somehow sectioned to facilitate traffic flow? traffic, all contribute to parking area hazards.
Planning for the pedestrian is a high priority in the de-
䡲 Are the landscaped islands adequately sized (e.g., sign of roadways at the local level. Pedestrian safety provi-
radius and widths) and located for visibility and circu- sions included in roadway planning are sidewalks,
lation? crosswalks, curb cuts, and ramps for the physically disa-

FIGURE 20.4 Grid pattern and variations. (DeChiara J, Kop-

pelman L: Time Saving Standards for Site Planning, 1984, McGraw-Hill.
Reproduced with permission of McGraw-Hill.)
FIGURE 20.5 Smaller elements of street patterns. (DeChiara

J, Koppelman L: Time Saving Standards for Site Planning, 1984, McGraw-
Hill. Reproduced with permission of McGraw-Hill.)

bled. Another such provision is special walkways for pedestrian circulation to these locations, when possible, adds
destrian freeway crossings. Traffic control features aid both to the appeal and safety of the land development project.
pedestrian traffic and vehicular traffic. One of the most dangerous maneuvers for pedestrians is
Sidewalks should provide a continuous path to service to cross a wide street at an unsignalized intersection. One
areas such as community centers, schools, parks, and shop- option to increase pedestrian safety is to locate nubs near
ping areas. Most ordinances require sidewalks on at least the ends of the street as shown in Figure 20.6. This not
one side of the street. In some residential areas the ordi- only reduces the pedestrian crosswalk but also creates an
nance may require a paved trail in lieu of or in addition to illusion of a narrower street to the driver, who instinctively
the conventional sidewalk. Conventional sidewalks typically reduces his/her speed.
are adjacent and parallel to streets and travelways, whereas
paved trails meander along natural pedestrian circulation Intersections and Curb Cut Ramps
routes. The most obvious indication of a sidewalk or trail
deviating from natural circulation is the worn earthen path. Curb cut ramps are a requirement by local ordinances at
Besides being an eyesore, it may create problems for the most intersections and crosswalk areas (see Figure 20.7).
private owners whose property is being trespassed. Most localities provide standards detailing their dimensions
Gradients for paved trails and sidewalks should be lim- and intersection locations. Issues for consideration in the
ited to a maximum of 8 to 10% for extended lengths. In placement and design of curb cut ramps are:
hilly areas, steep gradients are acceptable for short sections.
䡲 Curb cut ramps should not be located in sump
Steps are a consideration in lieu of steep gradients. Since
areas where drainage inlets are located.
many paved trails are used as bike paths, for pedestrian
safety, steps and steep gradients should be adequately 䡲 Curb cut ramps are to be provided on traffic is-
marked with signs and possibly markings on the pavement lands located within the crosswalk areas.
as a warning.
䡲 Curb cut ramps should be located away from areas
Another provision is the need for landing and staging
where parked cars will obstruct the path.
areas at bus stops. Unfortunately, bus routes through new
residential developments are rarely established prior to 䡲 Curb cut ramps should be located at best pedes-
completion of the development. Providing landings and pe- trian sight distance location.
FIGURE 20.6 Nubs.

FIGURE 20.7 Curb cut ramp locations.
Typical curb cut ramp details and recommended dimen- ject. Besides providing adequate stopping site distance on
sions are shown in Figure 20.8 horizontal curves, SSD also must be considered on vertical
curves and at intersections. These topics will be addressed
Stopping Site Distance later in this chapter.
Stopping sight distance (SSD), a major design considera- The minimum stopping distance is the summation of the
tion, is the minimum distance needed for a driver to react distances the vehicle travels while a driver is reacting to a
and safely cause the vehicle to stop before reaching an ob- situation and the distance the vehicle travels from the mo-
FIGURE 20.8 Curb ramps. From A Policy on Geometric Design of Highways and Streets, copyright 1990 by the American Association of
State Highway and Transportation Officials, Washington, D.C. Used by permission.

ment its brakes are applied, until it is completely stopped. ability of off-street parking, family demographics, availabil-
The first distance segment is a function of the reaction time ity of shopping, and public services. The type of local street
of the driver. For most circumstances, the reaction time is is also a major consideration. For the lower hierarchy
assumed to be 2.5 seconds. However, this assumed incre- streets, many of the cross-section elements and their di-
ment increases in more complex situations. The second dis- mensions are usually included as part of the subdivision
tance segment, the breaking distance, is subject to the ordinance.
vehicle speed and the friction between the tires and pave-
ment. Profile Grade Line
The SSD (i.e., minimum stopping distance) is given in
Eq. (20.1). One important element identified on the typical section
drawings is the profile grade line (PGL), an arbitrarily se-
V 2mph lected reference point showing the proposed street eleva-
SSD ⫽ 1.47tsec Vmph ⫹ (20.1) tions. In the profile view, the PGL appears as a line; in the
30(f Ⳳ G)
typical section, the PGL appears as a point (labeled as P in
where SSD ⫽ stopping sight distance (ft), t ⫽ reaction time Figure 20.13). The PGL is selected for the convenience of
(seconds), V ⫽ initial travel speed (mph), f ⫽ coefficient of design, stakeout, and construction. It can be the centerline
friction between tires and road, and G ⫽ longitudinal street of the road, edge of pavement, top of curb, or any other
slope (ft/ft). The first term on the right side of the equality designated point as long as the horizontal and vertical re-
represents the distance the car travels during the reaction lationship between the selected point and other elements of
time. The next term represents the braking distance. The the typical section are known.
Ⳳ (plus/minus sign) in front of the G term accounts for
the direction of the vehicle on a longitudinal slope. A ⫹ Lanes
(plus sign) is used for a vehicle traveling uphill and the ⫺
The local subdivision ordinance typically specifies the min-
(minus sign) is used for vehicles in the downhill direction.
imum number of lanes and their widths for a street, and
Uphill grades reduce the stopping distance, while the re-
this is a function of the anticipated traffic volume. Traffic
verse is true for downhill grades. On two-way streets the
volume is directly related to land use. Therefore, local de-
controlling stopping distance is the downhill direction.
sign standards may categorize the streets according to the
Table 20.4 summarizes the required stopping site dis-
number of dwelling units it serves. In commercial or retail
tance on wet pavements. Due to the reduced friction be-
areas, traffic volume may be related to the number of square
tween tires and wet pavement, the coefficient of friction for
feet of the retail/commercial neighborhood. Therefore,
wet pavement is used as the governing parameter for setting
street lanes and their widths could be indirectly related to
adequate stopping site distances.
the size of the building.
To provide a minimum level of service2 on a local street,
CROSS-SECTIONAL ELEMENTS FOR LOCAL STREETS
the design must incorporate one unobstructed moving lane.
Cross-sectional elements of a road include pavement, travel As the development density of the area increases, so must
lanes, shoulders, medians, side slopes, curb and gutters, the number of travel lanes. The length of travel also impacts
drainage ditches (median and side ditches), sidewalks, and on the number of travel lanes needed to maintain a satis-
right-of-way widths. The specific elements included in any factory level of service. Local streets are usually short, and
road depend on the function and the particular locality. some inconvenience to users of the street is acceptable. Ad-
Design of such elements entails establishing the widths, ditional lanes are required in those cases where on-street
depths, and cross slopes. These cross-sectional elements parking is allowed. However the width of the parking lane
and their dimensions are identified on a detail drawing is narrower than the travel lane. Some general guidelines
called the typical cross section. require parking lane widths on local streets to be 8 ft, while
It is possible for a project to require several typical cross collector streets require an additional 1 ft of width in these
sections. The cross-sectional elements may change to ac- lanes. Both collector and local streets should provide a min-
count for changes in lane additions, lane widths, super- imum of 10-ft lane widths for moving traffic. Where only
elevation, and other factors. Each detail should identify the two lanes are proposed, a 22-ft minimum is the require-
location of the typical section by specifying the beginning ment of most jurisdictions. Considering these recommen-
and end stations. Typical section details are used by the dations, lane widths on local streets vary from 22 to 24 ft
surveyor to set the road, by the contractor to construct and (not including the parking lane). A typical range for collec-
by the design engineer to plot cross-section drawings for tor street lanes with no parking is 22 to 26 ft.
computing earthwork quantities. Public review agencies use
the typical section details to determine that the road design
conforms to the local standards.
Many factors influence the cross-sectional design of local 2
Level of service (LOS) is a qualitative measure of the operating conditions of the
streets. These include the density of the development, avail- street. Oversimplified, it is a measure of the freedom of movement.

TABLE 20.4 Stopping Sight Distance (Wet Pavements)

ASSUMED STOPPING SIGHT DISTANCE
SPEED BRAKING
BRAKE REACTION
DESIGN FOR COEFFICIENT DISTANCE ROUNDED
SPEED CONDITION TIME DISTANCE OF FRICTION ON LEVEL COMPUTED FOR DESIGN
(MPH) (MPH) (SEC) (FT) F (FT) (FT) (FT)
20 20–20 2.5 73.3–73.3 0.40 33.3–33.3 106.7–106.7 125–125

.....................................................................................................................
25 24–25 2.5 88.0–91.7 0.38 50.5–54.8 138.5–146.5 150–150
.....................................................................................................................
30 28–30 2.5 102.7–110.0 0.35 74.7–85.7 177.3–195.7 200–200
.....................................................................................................................
35 32–35 2.5 117.3–128.3 0.34 100.4–120.1 217.7–248.4 225–250
.....................................................................................................................
40 36–40 2.5 132.0–146.7 0.32 135.0–166.7 267.0–313.3 275–325
.....................................................................................................................
45 40–45 2.5 146.7–165.0 0.31 172.0–217.7 318.7–382.7 325–400
.....................................................................................................................
50 44–50 2.5 161.3–183.3 0.30 215.1–277.8 376.4–461.1 400–475
.....................................................................................................................
55 48–55 2.5 176.0–201.7 0.30 256.0–336.1 432.0–537.8 450–550
.....................................................................................................................
60 52–60 2.5 190.7–220.0 0.29 310.8–413.8 501.5–633.8 525–650
.....................................................................................................................
65 55–65 2.5 201.7–283.3 0.29 347.7–485.6 549.4–724.0 550–725
.....................................................................................................................
70 58–70 2.5 212.7–256.7 0.28 400.5–583.3 613.1–840.0 625–850
(From A Policy on Geometric Design of Highways and Streets, Table III-1, p. 120, AASHTO, Washington, D.C., 1990).
Cross Slope used on collector streets. Their use is mostly in commercial

A ‘‘normal crown’’ section street has a high point in the areas where the traffic volumes are much higher and turn-
middle (usually at the centerline) with the pavement cross ing movements are more frequent and complex.
slopes extending toward the outer edges of the pavement. Design considerations include the spacing of median
In most conditions the cross slopes are uniform across the breaks. Median breaks allow traffic turning and crossover
total width of one direction of the pavement. However, for movements into and out of entrances, essentially providing
multilane roads, the cross slope remains uniform across a more accessibility. Additionally, median breaks are necessary
lane width, and any changes in the cross slope should occur for most intersecting streets. Guidelines for spacing between
at the edges of a travel lane. median breaks are provided by the governing public agency.
For many of the minor streets (i.e., local and collector), These guidelines may only prescribe minimum distances for
cross slopes for lanes on a normal crown section street are ordinary conditions and may be modified by the reviewing
typically 1⁄4 in. per foot (2.08%) sloped towards the outer agency to accommodate the specific conditions. Each juris-
edge of pavement. This cross slope is sufficient to direct diction has minimum spacing requirements. This spacing is
stormwater runoff into the gutters or to the side ditches subject to the traffic volume on the through street, traffic
and yet does not cause any significant driver discomfort volume making the turning movement, whether the turning
because of the slight tilt of the vehicle. Cross slopes change movements are signalized and the design speed of the
when superelevation requirements are incorporated into the through street. The design engineer must assess the impact
design. of the median openings on the level of service (LOS) of the
through street. A street with a higher number of median
Medians openings and crossovers can significantly reduce the LOS,
Medians are used to increase the separation distance be- especially during peak volumes of traffic.
tween opposing traffic and also to provide refuge for pe- The minimum spacing of median breaks can be viewed
destrians. In urban areas, medians may be raised concrete as the sum of the dimensions of median features that are
curbs approximately 4 ft wide. Wider median strips are typ- required between two intersections. These elements include
ically grass strips with a ditch. In rural areas and for high- setback of the median noses to allow for proper turning
speed roads, medians can be 30 ft and wider. Medians are radius at the intersections, length of each of the required
typically not used on local streets and are only occasionally left turn lanes (especially when the median is of such nar-

row width that the turn lanes must be back-to-back), and separate traffic lanes from pedestrian walkways, contribute
length of the median transition between the left turn lanes. to the aesthetic appearance, and reduce maintenance. Sev-
Figure 20.9 illustrates the typical median geometry between eral different types of curbs are often utilized depending on
two intersections and how it can dictate the minimum spac- the locality and design speeds. Figure 20.10 shows various
ing between intersections and median breaks. In some types of curbs.
cases, where a median width is approximately 28 ft or For low-design-speed roads, barrier curbs are typically
greater, the required left turn lanes may be configured such used, while high-design-speed roads utilize the mountable
that they overlap each other for some distance, thus allow- curbs. These curbs are frequently used with traffic islands
ing a reduction in the overall intersection spacing. and along medians. Some localities permit the use of the
In any event, the minimum spacing dictated by the me- combination curb and gutter where the gutter forces flow
dian features discussed above must be compared to the lo- away from the face of the curb. These ‘‘spill’’ type gutters
cal standard for intersection to median break spacing. The facilitate drainage by forcing the flow away from the curb
greater of the two should then be used to dictate design. to prevent ponding water in the gutter area. Such curbs are
On commercial and retail projects there will be a desire normally used only in parking areas where the pavement
to have numerous median openings to allow for land access. typically has a nonuniform cross slope throughout the park-
However, local conditions and the reviewing agency may ing area.
restrict the number of openings, and this can impact the
layout design of the project. The project coordinator needs Sidewalks and Utility Strips
to verify with the review agencies the location of the median Sidewalks are typically placed away from the curb near the
openings early in the planning stage (see Figure 20.9). right-of-way line. In residential developments, the area be-
Another situation occasionally overlooked is when a site tween the inside edge of the sidewalk and the curb is typ-
has frontage on an existing road with a median. In devel- ically a grass strip used for placement of utility lines to
oping the site, a median break is anticipated in order for avoid placing them beneath pavement. However, in com-
the opposite side traffic to access the site, only to discover mercial and retail areas, this strip is typically paved for
that the reviewing agency will not allow a median break at maintenance reasons. A utility strip width of 2 to 4 ft is
that location. Again, the project coordinator needs to verify reasonable; however, in areas of high land values, this may
such requirements with the reviewing agency early in the not be practical. The ITE (1989)3 recommends a minimum
planning stages. width of 5 to 6 ft to allow for tree planting.
Curb and Gutter
In most urban areas, curb or combination curb and gutter
streets are preferred. Their purpose is to facilitate drainage, 3
Guidelines for Subdivision Residential Street Design, ITE, Washington, D.C., 1989.
FIGURE 20.9 Median break spacing.

FIGURE 20.10 Common types of curb and gutter. From A Policy on Geometric Design of Highways and Streets, copyright 1990 by the
American Association of State Highway and Transportation Officials, Washington, D.C. (figures b through h) Used by permission.
Sidewalk widths of 4 ft are adequate in moderate-density slopes are at a 2H:1V ratio. However, roads with higher
residential areas. At locations of high pedestrian traffic, side- design speeds (V) may require flatter slopes. The type of
walk widths of 6 to 10 ft should be considered. The side- mowing equipment also factors into determining the max-
walk cross slope is inclined down towards the curb and imum slope gradients. Drainage ditches at the toe of the
should be less than 3⁄8 in. per foot of width. Sidewalk slope control surface water from the pavement in excavated
widths and requirements for utility strips are dictated by areas or through an adjacent property along embankment
local standards. For economic reasons, sidewalks may only areas.
be required on one side of the street in low- to moderate-
density residential areas. Frequently, no sidewalks are re- Pavement
quired around cul-de-sacs. In commercial areas, sidewalks
Pavement thickness is subject to prevailing soil conditions,
may be required on both sides of the street.
climate, vehicle design loadings, and type of pavement.
There are two basic types of pavement: flexible and rigid
Shoulders, Side Slopes and Ditches
(see Figure 20.11).
In some low-density residential areas and in most rural ar- Flexible pavement consists of two or more of the follow-
eas, shoulders rather than curbs are normally used. Shoul- ing layers:
ders are 6 ft or wider and typically gravel. High-speed
highways will have wider shoulders and are generally paved 䡲 Subgrade—the natural soil material where the
with asphalt. upper layers rest
Cross slope of the shoulder is more steeped than the
䡲 Subbase—an optional layer used to augment the
cross slope of the normal street section. Typical cross slopes
strength of the subgrade. It consists of a compacted
are two to three times greater than normal pavement cross
granular material that may be treated with admixtures
slope, on the order of 5⁄8 in.:1 ft. Where roads are super-
to achieve certain strength characteristics required in
levated, shoulder cross slopes are dictated by the vertical
specific conditions. Additionally, the subbase acts to re-
angle between the outside edge of pavement and the begin-
duce frost action or as a filter to prevent intrusion of
ning of the shoulder—that is, the algebraic difference be-
fine-grained roadbed soils into the base course.
tween the pavement cross slope and the shoulder cross
slope. 䡲 Base course—constructed on top of the subbase or
Side slopes are used for connecting the road section into subgrade. It consists of granular material such as
natural ground. The slope gradient (H) depends on the an- crushed stone or gravel. The specifications for the base
gle of repose of the soil. In many cases the constructed course are more rigorous than that of the subbase in

Some local criteria may provide a range of alternative

pavement designs for local and residential streets that can
be used directly or modified, if necessary, to accommodate
specific site conditions.
Right-of-way Widths on Local Streets

Right-of-way widths on local streets need be only wide
enough to accommodate the pavement and other facilities
and uses provided by the land development project or as
required by the approving governmental agency. Items for
consideration when making a determination on the proper
width include water mains, storm and sanitary sewers,
power lines, other utilities, roadway signs, and sidewalks.
In climates susceptible to heavy snow fall, provisions for
storage of plowed snow could affect right-of-way widths.
Local controls and requirements of planning boards and
other government bodies often dictate predetermined
widths without regard to functional needs.
Typical Section Drawing

The cross-sectional elements are part of the street design.
Their defined interrelationship is based on the functional
category of the street, the design standards of the local ju-
risdiction and the specific requirements of the site. This
information should be depicted on the typical section dia-
gram and included as part of the construction drawings.
The numerous variations of a typical section are based on
FIGURE 20.11 Typical pavement sections: (a) asphalt (flex-
ible); (b) concrete (rigid). (Yoder: Principles of Pavement Design, 2 / E.
Reprinted by permission of John Wiley & Sons.)
terms of strength, hardness, gradation, and aggregate

types.
䡲 Surface course—top course of the pavement section
consisting of a mixture of mineral aggregates and as-
phaltic materials. The purpose of the surface course is
to provide a smooth riding surface, resist the wear and
tear from traffic, provide skid resistance to vehicles,
and prevent excessive water from penetrating into the
base course.
Depending on the site conditions and the performance

of the subgrade, the reasonable range of thickness of the
subbase is 6 to 8 in. Base course thickness ranges from 3
to 6 in. and surface course is 1 to 2 in. for lower-category
type roads.
Rigid pavements typically consist of a pavement slab of
Portland cement concrete and a subbase layer. However, the
subbase layer is omitted when the subgrade material is
granular. Depending on the amount of steel reinforcement,
rigid pavement can be classed as plain concrete, simply re-
inforced concrete and continuously reinforced concrete.
Subbase depths under reasonable conditions may range
from 4 to 8 in., and the concrete thickness can range from FIGURE 20.12 Cross-section elements—nomenclature for
6 to 12 in. urban streets. (Used by permission of CH2M Hill Evanston, Ill.)

the amount and type of traffic and vary from project to speed is not a significant controlling design factor in setting
project. Several typical sections may be necessary for a seg- the alignment. Rather, the alignment is determined by the
ment of a road of the same project. Several variations of a designer’s ability to take advantage of the existing topog-
typical section are shown in Figure 20.12. Figure 20.13 is raphy, while maintaining a safe functional street. The hor-
an example of a typical section drawing. izontal alignment is comprised of two basic types of
geometric sections: straight tangents and circular curves.
HORIZONTAL ALIGNMENT The circular curve used on local streets is a simple curve.
The street layout is constrained by topography, points This is a section of a circle having a constant radius as
where the proposed streets can or must connect to existing opposed to spiral curves, which are curves of nonuniform
street networks, and where proposed streets of the devel- radius. Figure 20.14 shows the basic elements of the cir-
opment must extend to provide access to adjacent land. The cular curve that are important to street design.
optimal layout of the development must produce maximum Two tangent sections of different directions are joined
lot yield (buildable lots) with consideration for aesthetics together by a constant radius arc at two points. The point
and market attraction. All of these constraints factor into where the tangent ends and the curve begins is labeled the
the horizontal alignment of the proposed streets. Addition- point of curvature (PC). The point where the curve ends
ally, required improvements to any existing streets may af- and the next tangent begins is labeled the point of tangency
fect the proposed street layout. (PT). The tangents intersect at the point of intersection (PI).
Circular Curves. The alignment of a street or roadway in The deflection angle (⌬) is the angle formed between the
the horizontal plane is critical to the subdivision of land. two tangents at the PI. The angle formed by a tangent and
For arterial streets and highways, this alignment has an af- a line from the PC or PT to the radius point is always 90⬚.
fect on design speed and sight distance. For a local street, Any angle other than 90⬚ produces a flaw in the geometry
FIGURE 20.13 Typical section.

FIGURE 20.14 Elements of a circular curve.
and is not a true representation of the circle-tangent rela- Middle ordinate (MO) is the distance from the mid-
tionship. point on the curve to the midpoint on the long chord
冉冉冊冊
Two of the seven basic components of the circle have
been identified (radius and deflection angle). The remaining ⌬
MO ⫽ R 1 ⫺ cos (20.6)
components are: 2
Length of curve (L) is the arc length from PC to PT The length of the arc of a simple curve is proportional
to the length of a full circle of the same radius as the central
L ⫽ ⌬(in Radians) ⫻ R (20.2) angle subtended by the arc is proportional to 360⬚. Simply
Tangent distance (T ) is the distance from the PI to the stated,
PC or PT (both distances are equal)
២
冉冊
AB D
⌬ ⫽ (20.7)
T ⫽ R Tan (20.3) 2␲R 360⬚
2
Long chord (C ) is the distance measured along a
straight line from the PC to PT The degree of curvature, like the radius, is a measure of
the sharpness of curvature. The degree of curve by arc def-
C ⫽ 2R sin 冉冊 ⌬
2
⫽ 2T cos 冉冊⌬
2
(20.4)
inition is the amount of central angle (⌬) subtended by 100
២⫽
ft of arc (see Figure 20.15). Letting the arc distance AB
100 ft in Eq. (20.7) defines the degree of curve, D, as
External distance (E ) is the distance from the PI to the
midpoint on the curve 5729.58
D⫽
冉冊
(20.8)
R
⌬
冢冣
1
E⫽R ⫺1 ⫽ T tan (20.5)
⌬ 4 As example, a curve with a 1637-ft radius is equivalent
cos
2 to a 31⁄2⬚ curve (i.e., 5729.58 ⫼ 1637). A smaller 572.96-

FIGURE 20.15 Degree of curve by arc definition.
ft radius requires a 10⬚ angle to create a 100-ft arc length

(see Figure 20.16). Notice that according to Equation (16.8)
and the example, as the radius decreases the degree of curve
increases. This definition for degree of curvature serves for
streets and highways, while a definition based on a 100-ft
chord length defines degree of curve for railroad curves.
Compound Curves
Connecting simple curves in series with the radius points
on the same side of a common tangent forms curves known
as compound curves. Each curve has a different radius and
connects at a common point of tangency referred to as the
point of compound curvature (PCC). As shown in Figure
20.17, the two radius points and the PCC are collinear. In
a compound curve, there are three pairs of tangents: the FIGURE 20.16 Comparison of degree of curvature with ra-
dius of curvature.
tangents, t1 and t2, associated with each individual curve,
and the long tangent, T, which includes both curves. Unlike
the simple curve, the long tangents may not be equal. The high-density developments where the road alignment may
following equations are used in computing elements of the be constrained by other physical features. At low speeds,
compound curve with respect to the nomenclature of Fig- encountered on local streets, the effects of a sudden change
ure 20.17. in curvature at the PCC may not be as pronounced as on
⌬ ⫽ ⌬L ⫹ ⌬L (20.9) high-speed highways. To decrease rider discomfort through
RS ⫺ RL cos ⌬ ⫹ (RL ⫺ RS) cos ⌬S a compound curve, the radii of the two curves should not
TL ⫽ differ considerably. AASHTO recommends that the ratio of
sin ⌬
RL ⫺ RS cos ⌬ ⫺ (RL ⫺ RS) cos ⌬L the flatter radius to the sharper radius be less than 2:1 at
TS ⫽
冉冊
sin ⌬ intersections. On high-speed highways the ratio is reduced
⌬L TS sin ⌬ ⫺ RS (1 ⫺ cos ⌬) to 1.5:1.
tan ⫽
TL ⫹ TS cos ⌬ ⫺ RS sin ⌬
冉冊
2
⌬S R (1 ⫺ cos ⌬) ⫺ TL sin ⌬ Reverse Curves
tan ⫽ L Two consecutive curves having their radius points on op-
2 RL sin ⌬ ⫺ TL cos ⌬ ⫺ TS
posite sides of the common tangent is known as a reverse
Compound curves are typically used near at-grade in- curve. These curves join at a common point of tangency
tersections and to accommodate the desired street align- called the point of reverse curve (PRC). To be geometrically
ment, especially in difficult topographic areas and in correct, the two radius points and the PRC must be collin-
Superelevation
A force is imposed on an object whenever it is subjected to
a change in momentum. This change in momentum is a
result of a change in the magnitude or direction of the ve-
locity. For a vehicle traveling along a curve, the magnitude
of the velocity is the speed and the direction of the velocity
is a line tangent to the curve in the direction of motion.
Assuming a vehicle maintains a constant speed through a
curve, the velocity changes direction by virtue of the cir-
cular path. The result is a force that tends to push the
vehicle radially outward. This radially outward force, the
centrifugal force, must be countered by the weight of the
vehicle and side friction at the tires for dynamic equilibrium
to exist. Superelevation is the raising of the outside edge of
pavement on a circular curve to help counterbalance the
centrifugal force.
Figure 20.19 depicts the forces acting on the vehicle.
Writing the equations of equilibrium with respect to the
incline,
Wv 2
cos␣ ⫽ W sin ␣ ⫹ Wfs cos ␣ (20.10)
gR
where W ⫽ weight of the vehicle, v ⫽ velocity of the vehicle
FIGURE 20.17 Elements of a compound curve.
ear. Reverse curves are not recommended on high-speed

highways or roads where superelevation is required. In such
instances it is desirable to insert a minimum tangent length
of 100 ft between curves to allow for transition of super-
elevation between the curves. This is also a safer design for
the driver to negotiate the vehicle through the directional
change. When installed with the tangent section between
curves, the result is two simple curves used to change the
direction of travel. Figure 20.18 shows a schematic of a
reverse curve.
FIGURE 20.19 Forces acting on a vehicle traveling along a

FIGURE 20.18 Elements of a reverse curve. curved path.
(fps), R ⫽ radius of curvature, g ⫽ acceleration constant, slope relative to the direction of the curve. For the condi-
fs ⫽ coefficient of side friction, ␣ ⫽ transverse angle of tion of negative superelevation, there is a minimum radius
inclination of the road, which can be simplified to of curvature where the combined effects of the centrifugal
force and the adverse slope are greater than what the force
V 2mph of the side friction can counter, and superelevation is re-
⫽ e ⫹ fs (20.11)
15R quired. Or stated another way, there is a maximum radius
of curvature that is suitable for the negative superelevation
by dividing through by W cos ␣ and recognizing that tan
and the design speed. AASHTO recommends the values
␣ ⫽ e (the rate of superelevation in feet per foot of width)
given in Table 20.5.
V is in miles per hour and g ⫽ 32.2 ft/sec2. The left side
Superelevation is a function of the tires and pavement,
of the equation represents the radial force due to change in
velocity direction, and the right side represents the coun- weight of the vehicle, and speed of the vehicle. Each of
teracting effects of the weight of the vehicle and the side these factors varies from vehicle to vehicle and from day to
friction developed between the tires and pavement. day. Therefore, there cannot be one single superelevation
The coefficient of side friction, fs, depends on the con- that will cover the entire range of variables. Maximum su-
ditions of the roadway surface, tires, and vehicle speed. Al- perelevation rates are set to account for the uncertainties in
though a constant for a given set of conditions and vehicle, these variables. In urban areas where superelevation is used,
fs is not a constant for all conditions nor for all vehicles the recommended upper limit of the rate of superelevation
using the road. Ideally, as a vehicle travels at a constant is 0.04 ft/ft to 0.06 ft/ft. Solving for R in Eq. (20.11) gives
speed on an appropriately superelevated curve, only the the minimum radius or maximum degree of curvature for
horizontal weight component counters the centrifugal force a given design speed determined from some maximum rate
and no steering effort is required. Inevitably, steering is re- of superelevation and the maximum side friction that may
quired as the vehicle speed varies from the theoretical ve- be developed given the range of climatic conditions and
locity and consequently side friction develops. When the range of vehicle speeds. These limiting values are listed in
centrifugal force is less than the sum of the horizontal Table 20.6.
weight component and fs, the vehicle will tend to slide Superelevation is rarely a design requirement for minor
down slope. Likewise, on a road with inadequate super- roads such as local streets and collectors. The reason is that
elevation, a vehicle at high speeds will tend to move toward superelevation, in its attempt to improve riding comfort,
the outside of the curve and potentially off the road. promotes speeding and hence is a safety liability on resi-
If, as with many local streets, normal crown section is dential streets. At design speeds of 25 mph, the reduction
maintained throughout the curve, the cross slope of the in riding comfort for non-superelevated pavement is not
outer pavement section has an adverse or negative cross significant. However, others might argue that superelevation
TABLE 20.5 Maximum Curvature for Normal Crown Section

RESULTING SIDE FRICTION
FACTOR, F,
AVERAGE MINIMUM WITH ADVERSE CROWN
DESIGN RUNNING MAXIMUM CURVE
SPEED SPEED CURVE RADIUS AT DESIGN AT RUNNING
(MPH) (MPH) (DEGREES) (FT) SPEED SPEED
20 20 3⬚23⬘ 1,700 .031 .031

.....................................................................................................................
30 28 1⬚43⬘ 3,340 .033 .031
.....................................................................................................................
40 36 1⬚02⬘ 5,550 .034 .031
.....................................................................................................................
50 44 0⬚41⬘ 8,320 .035 .031
.....................................................................................................................
55 48 0⬚35⬘ 9,930 .035 .031
.....................................................................................................................
60 52 0⬚29⬘ 11,690 .035 .030
.....................................................................................................................
65 55 0⬚26⬘ 13,140 .036 .030
.....................................................................................................................
70 58 0⬚23⬘ 14,690 .037 .030
(From A Policy on Geometric Design of Highways and Streets, Table III-13, p. 172, AASHTO, Washington, D.C., 1990.)

T A B L E 2 0 . 6 Maximum Degree of Curve and Minimum Radius Determined for Limiting

Values of e and f, Rural Highways and High-speed Urban Streets
ROUNDED
DESIGN MAXIMUM MAXIMUM MAXIMUMa
SPEED MAXIMUM MAXIMUM Total DEGREE OF DEGREE OF RADIUS
(MPH) E F (E ⴙ F ) CURVE CURVE (FT)
20 .04 .17 .21 44.97 45.0 127

30 .04 .16 .20 19.04 19.0 302
40 .04 .15 .19 10.17 10.0 573
50 .04 .14 .18 6.17 6.0 955
55 .04 .13 .17 4.83 4.75 1,186
60 .04 .12 .16 3.81 3.75 1,528
.....................................................................................................................
20 .06 .17 .23 49.25 49.25 116
30 .06 .16 .22 20.94 21.0 273
40 .06 .15 .21 11.24 11.25 509
50 .06 .14 .20 6.85 6.75 849
55 .06 .13 .19 5.40 5.5 1,061
60 .06 .12 .18 4.28 4.25 1,348
65 .06 .11 .17 3.45 3.5 1,637
70 .06 .10 .16 2.80 2.75 2,083
.....................................................................................................................
20 .08 .17 .25 53.54 53.5 107
30 .08 .16 .24 22.84 22.75 252
40 .08 .15 .23 12.31 12.25 468
50 .08 .14 .22 7.54 7.5 764
55 .08 .13 .21 5.97 6.0 960
60 .08 .12 .20 4.76 4.75 1,206
65 .08 .11 .19 3.85 3.75 1,528
70 .08 .10 .18 3.15 3.0 1,910
.....................................................................................................................
20 .10 .17 .27 57.82 58.0 99
30 .10 .16 .26 24.75 24.75 231
40 .10 .15 .25 13.38 13.25 432
50 .10 .14 .24 8.22 8.25 694
55 .10 .13 .23 6.53 6.5 877
60 .10 .12 .22 5.23 5.25 1,091
65 .10 .11 .21 4.26 4.25 1,348
70 .10 .10 .20 3.50 3.5 1,637
.....................................................................................................................
20 .12 .17 .29 62.10 62.0 92
30 .12 .16 .28 26.65 26.75 214
40 .12 .15 .27 14.46 14.5 395
50 .12 .14 .26 8.91 9.0 637
55 .12 .13 .25 7.10 7.0 807
60 .12 .12 .24 5.71 5.75 996
65 .12 .11 .23 4.66 4.75 1,206
70 .12 .10 .22 3.85 3.75 1,528
(From A Policy on Geometric Design of Streets and Highways, Table III-6, p. 154, AASHTO, Washington, D.C., 1990.)
NOTE: In recognition of safety considerations, use of emax ⫽ 0.04 should be limited to urban conditions.
a
Calculated using rounded maximum degree of curve.
is a necessity on low-speed streets for the safety of the ve- creases or decreases from one curve to the subsequent
hicle and occupants. Rather than superelevate the road be- curve.
yond normal section cross slopes, a compromise is to A transition is divided into two segments: tangent runout
superelevate the road only to the extent where the outside and superelevation runoff. Tangent runout is the length of
cross slope equals the cross slope of the inside lanes at road where the pavement section changes from normal
normal section. In practice, this is referred to as reverse crown to adverse crown removed or vice versa. (Adverse
crown. On some roads, such as major collectors and minor crown removed is where the outer section of the pavement
arterials, superelevation is a requirement, and the design of the curve is horizontal—i.e., the cross slope is 0%.) Su-
must conform to the applicable criteria. perelevation runoff is the length of the road where the pave-
ment section changes from adverse crown removed to full
Transitions Into and Out of Superelevated Sections superelevation and vice versa. Figure 20.20 shows a street
Superelevation is attained through a smooth gradual pro- transitioning from normal crown to full superelevation by
cess as the outer edge of pavement is gradually lifted up rotation about the centerline.
(while the inner edge maintains normal cross slope) until a The length of tangent runout and superelevation runoff
uniform cross slope exists across the full width of pave- depends on the initial cross slope of the pavement, cross
ment. Further superelevation is then accomplished by ro- slope at full superelevation, pavement widths and design
tating the pavement about the centerline, the inner edge of speed. Table 20.7 is the recommendation by AASHTO.
pavement or the outer edge of pavement (see Figure 20.20). Many local and state highway agencies have developed min-
The length of road between the point where superelevation imum superelevation runoff lengths of about 100 to 200 ft
begins and full superelevation is attained is called the runoff regardless of the pavement widths and superelevation rate.
length or transition. Another point of consideration is the location of the
Transition sections are required where the cross slopes transition. It may be divided equally on either side of the
of the road change, such as from normal crown to full su- PC (or PT) or offset such that most of the transition occurs
perelevation going into a curve or from full superelevation on the tangent section and full superelevation is attained a
to normal crown coming out of a curve. Also, transitions short distance into the curve. Design standards of the re-
exist in compound curves where the superelevation in- viewing agency should specify the transition location. One
FIGURE 20.20 Transition to full superelevation by rotation about the centerline.

TABLE 20.7 Length Required for Superelevation Runoff—Two-Lane Pavements

L–LENGTH OF RUNOFF (FT) FOR
DESIGN SPEED (MPH) OF:
SUPERELEVATION
RATE 20 30 40 50 55 60 65 70
12-ft lanes
.02 50 100 125 150 160 175 190 200
.....................................................................................................................
.04 60 100 125 150 160 175 190 200
.....................................................................................................................
.06 95 110 125 150 160 175 190 200
.....................................................................................................................
.08 125 145 170 190 205 215 230 240
.....................................................................................................................
.10 160 180 210 240 255 270 290 300
.....................................................................................................................
.12 195 215 250 290 305 320 350 360
10-ft lanes
.02 50 100 125 150 160 175 190 200
.....................................................................................................................
.04 50 100 125 150 160 175 190 200
.....................................................................................................................
.06 80 100 125 150 160 175 190 200
.....................................................................................................................
.08 105 120 140 160 170 180 190 200
.....................................................................................................................
.10 130 150 175 200 215 225 240 250
.....................................................................................................................
.12 160 180 210 240 255 270 290 300
(From A Policy on Geometric Design of Streets and Highways, Table III-15, p. 178, AASHTO, Washington, D.C., 1990.)
of the reasons for avoiding short sharp circular curves, bro- Sight distance for a horizontal curve is the chord length
ken back curves, and short compound curves is the prob- of the centerline of the inside lane of the pavement with
lem of transitioning into and out of superelevation. the stopping distance measured along the arc length of the
It must be recognized that this is not the only way to curve. This is the actual distance the vehicle travels during
attain superelevation. Depending on the cross-section ge- the reaction and stopping time. Figure 20.21 illustrates the
ometry of the road (e.g., the presence of medians), the ro- location of the sight distance line and the stopping distance.
tation point may vary. The reader is referred to AASHTO The relationship between the middle ordinate distance,
manuals, local design manuals, and other engineering texts
for detailed discussion.
Stopping Sight Distance (SSD) on Horizontal Curves

In residential areas, children play in or near the street and
pedestrians tend to cross the streets at their convenience
rather than at designated crosswalks and intersections. Such
common situations emphasize the need for adequate SSD.
Assessing adequate stopping site distance is further com-
plicated by on street parking and trees planted along the
side and median of the road. Often adequate stopping site
distance is provided with the initial design and the planting
of trees and shrubs is placed later. As the trees and shrubs
mature, stopping site distance is significantly reduced.
FIGURE 20.21 Sight distance along a horizontal curve. From
Other factors impacting site distance include barriers to the A Policy on Geometric Design of Highways and Streets, copyright 1990 by
line of sight such as ground slopes, existing buildings, and the American Association of State Highway and Transportation Officials,
vertical grades in combination with horizontal curves. Washington, D.C. Used by permission.

stopping distance and the curvature is obtained from Eqs. from the centerline of the travel lane to any object that
(20.4) and (20.7). might impede the line of sight is 16 ft in order to provide
冉冉冊冊
a 147-ft stopping sight distance.
28.65
MO ⫽ R 1 ⫺ cos SSD (20.12)
R VERTICAL ALIGNMENT
Vertical Curves
where MO ⫽ middle ordinate (ft), S ⫽ stopping distance
(ft), and R ⫽ the radius (ft). The reader must recognize that Street alignment in the vertical plane is accomplished by
the figure shows how to determine adequate site distance connecting straight tangent sections with parabolic curves
in the horizontal plane. Vertical alignment of the street is rather than circular curves. This permits the street align-
also a factor, and this method is not applicable if the hor- ment to better adapt to the topography for a smooth, safe,
izontal curve is near a vertical curve. and aesthetically pleasing design. Typically, street design will
Equation (20.13) shows how to determine the middle utilize equal tangent vertical curves, called symmetrical ver-
ordinate for a local street having a design speed of 25 miles tical curves. Unequal tangents—i.e., unsymmetrical vertical
per hour (mph) and no superelevation. curves—may be used to fit the alignment to uncommon
From Eq. (20.11), find the minimum radius for 25 mph site constraints.
using a side friction4 value of 0.252 (Table 20.8) and e ⫽ Figure 20.22 shows six types of vertical curves possible
0 for no superelevation. by combining positive and negative gradients. Figure 20.22
(top) shows crest vertical curves, and Figure 20.22 (bottom)
252 shows bottom sag vertical curves. A type I curve has a high
Rmin ⫽ ⫽ 165 ft (20.13)
point and a type IV curve has a low point.
15(0.252)
A vertical curve consists of two straight tangent segments
(Note, however, that this is a computed value and local at slope gradients, designated as g1 and g2, and the con-
criteria may dictate an absolute minimum value different necting vertical curve (see Figure 20.23). The curve is tan-
than this.) gent to the straight segments at the point of vertical curve
The stopping sight distance on level ground is deter- (PVC) and the point of vertical tangent (PVT). The tangents
mined by using Eq. (20.1) or from Table 20.4: intersect at the point of vertical intersection (PVI). The
length of the vertical curve is the horizontal distance be-
252
SSD ⫽ (1.47)(2.5)(25) ⫹ ⫽ 145 ft (20.14) tween the PVC and PVT. It is not measured along the curve
30(0.38) itself. For equal tangent vertical curves, the horizontal dis-
The calculated value of 147 ft is rounded to 150 ft to tances from the PVC to PVI and PVI to PVT are equal.
correspond with Table 20.4. The middle ordinate for use in The equation for a vertical curve is based on the general
locating the line of sight comes from the solution of Equa- equation of a parabola, given as
tion 20.15. Assume that the minimum radius of 165 ft is y ⫽ ax 2 ⫹ bx ⫹ c (20.16)
for the inside lane of a 22-ft-wide local street. The middle
ordinate is found to be 16 ft: where a, b, and c are constants characteristic of the vertical
MO ⫽ 165 冉 1 ⫺ cos
28.65(147)
165 冊 ⫽ 16.1 ft (20.15)
Referring back to Figure 20.21, the minimum distance
T A B L E 2 0 . 8 Side Friction Factors

for Selected Design Speeds
SIDE FRICTION
DESIGN SPEED FACTOR
20 mph 0.300
.....................................................
25 mph 0.252
.....................................................
30 mph 0.221
.....................................................
35 mph 0.197
FIGURE 20.22 Various types of vertical curves. From A Pol-
icy on Geometric Design of Highways and Streets, copyright 1990 by the
4
Side friction is the force between the tires and pavement due to the centripetal American Association of State Highway and Transportation Officials, Wash-
force on a vehicle moving through a circular curve. ington, D.C. Used by permission.
FIGURE 20.23 Schematic diagram for symmetrical vertical curve.
curve and depend on the length of curve, the slope gradi- AL

E ⫽ MO ⫽ (20.18)
ents, and elevations. As shown in Figure 20.23, y is the 8
elevation and x is the distance from the PVC to a point on
the curve. The relationship between the tangent offset, d, at any
Using the parabolic Eq. (20.16), the general equation for point on the vertical curve and the external is given as
冉冊冉冊
any vertical curve is 2
1 A 2 x
y⫽
1
2 冉冊
g2 ⫺ g1
L
x ⫹ g1x ⫹ PVCElev
2
(20.17)
d⫽
2 L
(x ) ⫽E
L/2
(20.19)
If x is the distance measured from the PVC, d is the

where y is the elevation of the point on the vertical curve vertical distance measured from the connecting tangent.
a horizontal distance x away from the PVC. Frequently in Likewise, if x is measured from the PVC, d is the distance
highway design manuals and textbooks, the algebraic dif- measured from the tangent connecting the PVT. Note that
ference of the gradients, g2 ⫺ g1, is designated as A. the offsets from the two tangents are symmetrical with re-
Figure 20.23 shows the application of the mathematical spect to the PVI.
terms. The first term, the tangent offset ⫽ Ax 2 /2L, repre- Using the derivative of x with respect to y in Eq. (20.17),
sents the vertical distance from the point on the curve to the distance from the PVC to the high point/low point of
the tangent represented by g1. The g1x term is the vertical a crest/sag curve is
distance between the point on the tangent and the PVC,
and the summation g1x ⫹ PVC, gives the tangent elevation. g1L
x⫽⫺ (20.20)
The center of the parabola is midway between the ver- A
tex—i.e., PVI—and the long chord. The middle ordinate,
the vertical distance from the long chord to the curves equal Substitution of this value into Eq. (20.17) sets the ele-
to the external, is the vertical distance from the curve to vation at the high or low point. For type I and IV curves,
the PVI and is given as Eq. (20.20) shows that
If g1 ⫽ g2, the high/low point location is in the middle Alternatively, the elevations at these stations can be
of the curve. found by computing the tangent elevations of g1 and
g2 and subtracting the corresponding tangent offsets
If g1 ⫽ g2, the high/low point is located on the side of
using Eq. (20.19).
the PVI with the flatter gradient.
E X A M P L E 1 : A crest vertical curve (L ⫽ 500 ft) Tangent Elev at 10 ⫹ 25 (20.29)
has tangent gradients of ⫹3.5 and 02.0%. The PVI ⫽ PVC Elev ⫹ g1x
station is 11 ⫹ 50 with elevation 260.00. Find the
⫽ 251.25 ⫹ (0.035) (125)
station and elevation of the PVC and PVT, the station
of the high point, and the elevations at stations 10 ⫹ ⫽ 255.63
25 and 12 ⫹ 75.
SO LUTION : The station of the PVC and PVT are Tangent Offset ⫽
1
2 冉(0.02) ⫺ (0.035)
500 冊 (125)2
PVC Sta ⫽ PVI Sta ⫺ L/2 ⫽ (11 ⫹ 50)
⫽ ⫺0.86 ft
⫺ 1⁄2(5 ⫹ 00) ⫹ 9 ⫹ 00 (20.21)
PVT Sta ⫽ PVI Sta ⫹ L/2 ⫽ (11 ⫹ 50) Elev on Curve ⫽ Tangent Elev ⫹ Tangent Offset
⫹ 1⁄2(5 ⫹ 00) ⫽ 14 ⫹ 00 (20.22) ⫽ 255.63 ⫹ (⫺0.86) ⫽ 254.77 ft
The elevations of the PVC and PVT are Tangent Elev at 12 ⫹ 75 (20.30)
⫽ PVT Elev ⫹ g2x
PVC Elev ⫽ PVI Elev ⫺ g1(L/2) (20.23)
⫽ 255.00 ⫹ (0.02)(125)
⫽ 260 ⫺ (0.035)(250)
⫽ 257.50
⫽ 251.25
PVT Elev ⫽ PVI Elev ⫺ g2(L/2)
⫽ 260 ⫺ (.02)(250)
(20.24) Tangent Offset ⫽
1
2 冉(0.02) ⫺ (0.035)
500 冊 (125)2
⫽ ⫺0.86 ft
⫽ 255.00
Elev on Curve ⫽ 257.50 ⫹ (⫺0.86)
From Eq. (20.20), the distance from the PVC to
the high point is ⫽ 256.64
(0.035)(500) Note that in the preceding calculations, stations 10

xHP ⫽ ⫽ 318.18 ft (20.25) ⫹ 25 and 12 ⫹ 75 are 125 ft on either side of the
.055
PVI; hence, the corresponding tangent offsets are
The station of the high point is equal.
(9 ⫹ 00) ⫹ (3 ⫹ 18.18) ⫽ 12 ⫹ 18.18 (20.26)
One last note regarding vertical curves. In Figure 20.24,
Note that the high point falls to the right of the a line drawn tangent to the curve at T intersects the initial
PVI—i.e., the side with the flatter gradient. tangents, represented by g1 and g2, at PVI⬘ and PVIⴖ. Note
Using Eq. (20.17), the elevation at station 10 ⫹ that PVI⬘ is the midpoint between the PVC and T and PVIⴖ
25 is (recognizing that the distance from PVC to is the midpoint between T and the PVT. Generalizing, two
10 ⫹ 25 is 125 ft) tangents drawn from any two points on a parabolic curve
y⫽
2 冉
1 (⫺.02) ⫺ (.035)
500 冊
(125)2 (20.27)
intersect midway between the two points as measured along
the horizontal. The gradient of such a line tangent to the
curve is given as
⫹ (.035)(125) ⫹ 251.25
⫽ ⫺0.86 ⫹ 4.38 ⫹ 251.25 ⫽ 254.77 g⬘ ⫽ (g2 ⫺ g2) 冉冊x
L
⫹ g1 (20.31)
Similarly the elevation at station 12 ⫹ 75 is
冉冊
where g⬘ is the slope of the tangent line a distance x from
1 (⫺0.02) ⫺ (0.035) the PVC.
y⫽ (375)2 (20.28)
2 500 Occasionally a situation exists where a portion of an ex-
⫹ (.035)(375) ⫹ 251.25 isting vertical curve needs to be modified to accommodate
special field conditions. The following example shows how
⫽ ⫺7.73 ⫹ 13.12 ⫹ 251.25
to preserve part of the existing vertical curve using the pre-
⫽ 256.65 ceding discussion on intersecting tangents.
FIGURE 20.24 Tangents drawn from any two points on the vertical curve intersect at the midpoint.
E X A M P L E 2 : Construction has begun on a road part of the original 600-ft vertical curve is preserved.
that has a 600-ft vertical curve with PVI at station The location (i.e., station) and elevation of the point
25 ⫹ 00, elevation ⫽ 230.00, g1 ⫽ ⫹5%, g2 ⫽ ⫺3%. where this line is tangent to the curve is unknown.
This curve is based on connecting to a proposed road Set the unknown distance from the PVC as x and the
(design nearly complete but not approved) at eleva- unknown elevation as y.
tion 215.00 at station 30 ⫹ 00. Based on a change The slope of this line relative to the vertical curve
in the design of the connecting road due to newly is given by Eq. (20.31). Writing the slope of the tan-
discovered field conditions, the grade of the connect- gent line using the coordinates of the point at station
ing road has to be raised 3 ft. What can be done to 30 ⫹ 00 and the unknown point is
the design of the approved road to meet the new cri-
teria? Recognize that a major revision to the approved y1 ⫺ y
g⬘ ⫽ (20.32)
road will delay construction and require time to x1 ⫺ x
change the grading, drainage, and other plan sheets
(see Figure 20.25). where x1 is the distance from the PVC to station
30 ⫹ 00 and y1 is the elevation at station 30 ⫹ 00.
S O L U T I O N : To preserve as much of the design Setting Eq. (20.31) equal to Eq. (20.32) and substi-
of the approved road as possible, thus minimizing the tuting Eq. (21.17) for y produces an equation with
impact of the revision, draw a line from the new el- only the unknown variable x. The equation simplifies
evation of 218.00 at station 30 ⫹ 00 tangent to the to the quadratic form of
600-ft vertical curve. This will be the new tangent of
the revised vertical curve. By performing this step, ax 2 ⫹ bx ⫹ c ⫽ 0 (20.33)
FIGURE 20.25 Example for maintaining part of an existing vertical curve.
where minimizing the overall revisions that might be re-
冉冊
quired.
(g2 ⫺ g1)
a⫽
2L Sight Distance on Crest Vertical Curves
b⫽ 冉 (g2 ⫺ g1)
x1
L 冊 Design of vertical curves includes the provision for safe
stopping distances, rider comfort, and general appearance.
However, in most if not all cases, the stopping sight dis-
c ⫽ (⫺PVCElev ⫹ y1 ⫺ g1x1) tance is the controlling factor. The safe stopping distance
Using the quadratic equation with appropriate requires a minimum length of curve fitted to the given tan-
substitutions for a, b, and c gives two x values gent gradients and design speed.
Two cases exist with regard to the sight distance and the
⫺b Ⳳ 兹b 2 ⫺ 4ac length of the vertical curve.
x⫽ (20.34) Case I exists where the required sight distance, S, is less
2a
than the length of the vertical curve, L as shown in Figure
x ⫽ 1092 ft or 508.45 ft 20.26. The applicable equation is
The correct value for x is 508.45 ft. AS 2
L⫽ (20.35)
1. The slope of this tangent is found by substi- 200(兹H1 ⫹ 兹H2)2
tuting this value of x into Eq. (20.31), resulting
A 䡠 S2
in a slope of ⫺1.78%. The new PVI is located at L⫽ (for H1 ⫽ 3.5 ft, H2 ⫽ 0.5 ft)
the midpoint between the PVC and this point of 1329
tangency, which becomes the new PVT, or at sta-
where S ⬍ L.
tion 24 ⫹ 54.23.
Case II (shown in Figure 20.27) occurs when the re-
2. This method shows that 508.45 ft of the quired sight distance is greater than the length of the ver-
original vertical curve remains unchanged, thus tical curve, that is, S ⬎ L:

FIGURE 20.26 Stopping sight distance when S ⬍ L.
200 (兹H1 ⫹ 兹H2)2 (20.36) H2 ⫽ height of object (AASHTO recommends H1 ⫽ 3.5 ft,
L ⫽ 2S ⫺ and H2 ⫽ 0.5 ft).
A
1329 To find a minimum curve given g1, g2, and the design
L ⫽ 2S ⫺ (for H1 ⫽ 3.5 ft, H2 ⫽ 0.5 ft) speed requires knowing the stopping sight distance ob-
A
tained from either Eq. (20.1) or Table 20.4. Assume either
where L ⫽ length of the vertical curve, S ⫽ sight distance the S ⬍ L or S ⬎ L case and use the appropriate equation
in feet, A ⫽ algebraic difference in grade where A ⫽ G2 ⫺ (Eq. (20.35) or (20.36) according to the assumption) to find
G1 (grades are given in percent), H1 ⫽ height of eye, and curve length, L. If the computed curve length is contrary
FIGURE 20.27 Stopping sight distance when S ⬎ L.

to the assumed condition, use the other equation to recal- length of curve to the algebraic difference in tangent gra-
culate the correct length. dients, K ⫽ L/ A. Parameter K is a measure of curvature in
that the ratio represents the horizontal distance required
E X A M P L E 3 : Given g1 ⫽ ⫹3.5% and g2 ⫽ generating a 1% change in grade and A is the algebraic
⫺2% and a design speed of 45 mph, determine the difference of the tangent gradients in percent (%). As shown
minimum curve length. in Figure 20.28, a higher K value is indicative of a flat
vertical curve. For a given design speed, K is a constant and
S O L U T I O N : From Table 20.9, the upper value
for the SSD is 400 ft. Assume that S ⬍ L (see Figure is based on sight distance criteria. Therefore, given either
20.26) and compute L from Eq. (20.35): tangent gradients or a known curve length immediately es-
tablishes the other minimum vertical curve design param-
(3.5 ⫺ (⫺2.0))(400)2 eters. In lieu of using the equations to determine the
L⫽ ⫽ 662 ft (20.37)
minimum length of vertical curve, AASHTO provides K val-
1329
ues listed in Table 20.9 for various design speeds. These K
Since S (⫽ 400 ft) is less than L (⫽ 662 ft) the values can then be used to determine the minimum length
assumed case is correct. of vertical curve required for the given conditions. The K
Note that if Eq. (20.36) were used instead, then values in this table are derived from Eq. (20.35), which can
be written as L ⫽ KA where K ⫽ S2 /1329.
1329
L ⫽ (2)(400) ⫺ ⫽ 558 ft (20.38) Most design standards maintain absolute minimum dis-
3.5 ⫺ (⫺2) tances for the length of a vertical curve when S is greater
Here S (⫽ 400) is less than L (⫽ 558 ft) but the than L. For local and collector streets, this minimum may
equation was for S ⬎ L (see Figure 20.27), which typically be between 50 and 200 ft. Local ordinances or
contradicts the result. Therefore, case I is the correct state highway criteria may require additional increases in
value. stopping distance based on development density, local cli-
matic conditions, and other experiences. The engineer
A frequently used parameter for relating stopping sight should check the local design criteria to determine the min-
distances to the length of a vertical curve is the ratio of the imum vertical curve requirements.
TABLE 20.9 Design Controls for Crest Vertical Curves Based on Stopping Sight Distance
RATE OF VERTICAL CURATURE, K
ASSUMED STOPPING SIGHT (LENGTH (FT) PER PERCENT OF A)
DESIGN SPEED FOR COEFFICIENT DISTANCE
SPEED CONDITION OF FRICTION ROUNDED FOR ROUNDED FOR
(MPH) (MPH) F DESIGN (FT) COMPUTEDa DESIGN
20 20–20 0.40 125–125 8.6–8.6 10–10

.....................................................................................................................
25 24–25 0.38 150–150 14.4–16.1 20–20
.....................................................................................................................
30 28–30 0.35 200–200 23.7–28.8 30–30
.....................................................................................................................
35 32–35 0.34 225–250 35.7–46.4 40–50
.....................................................................................................................
40 36–40 0.32 275–325 53.6–73.9 60–80
.....................................................................................................................
45 40–45 0.31 325–400 76.4–110.2 80–120
.....................................................................................................................
50 44–50 0.30 400–475 106.6–160.0 110–160
.....................................................................................................................
55 48–55 0.30 450–550 140.4–217.6 150–220
.....................................................................................................................
60 52–60 0.29 525–650 189.2–302.2 190–310
.....................................................................................................................
65 55–65 0.29 550–725 227.1–394.3 230–400
.....................................................................................................................
70 58–70 0.28 625–850 282.8–530.9 290–540
a
Using computed values of stopping sight distance.

FIGURE 20.28 Representation of the L / A (⫽ K ) ratio.
Sight Distance on Sag Vertical Curves 400 ⫹ 3.5S

L ⫽ 2S ⫺ (20.40)
Factors controlling the lengths of sag vertical curves include A
sight distance related to automobile headlights, drainage,
and rider comfort. Equations for determining sag vertical where S ⬎ L.
curve lengths for minimum sight distances are based on the On sag curves, drainage is a more critical factor than for
illuminated area from the average car headlight beam. The crest vertical curves. AASHTO guidelines suggest providing
headlight beam is assumed to be 2 ft high and directed 1⬚ a minimum grade of 0.3% within 50 ft of the low point to
upward from the longitudinal axis of the vehicle. Additional ensure adequate drainage. This corresponds to a K value of
area illuminated by dispersion is ignored for establishing 167. Sag vertical curves with K values of 167 and greater
the site distance equations. Equation (20.36) applies to sag are an indication that the curve may be too flat in the sump
vertical curves. Table 20.10 contains the appropriate K val- area to properly drain. This can create safety and drainage
ues and stopping site distances for sag vertical curves. problems especially on streets with curb or curb and gutter.
The 167 value is not a minimum but rather a guide indi-
A 䡠 S2 cating that attention to grade lines is warranted.
L⫽ (20.39)
400 ⫹ 3.5S
E X A M P L E 4 : Given tangent grades g1 ⫽ ⫺3%
where S ⬍ L. and g2 ⫽ ⫹11% for a local category street and design

TABLE 20.10 Design Controls for Sag Vertical Curves Based on Stopping Sight Distance
RATE OF VERTICAL CURATURE, K
ASSUMED STOPPING SIGHT (LENGTH (FT) PER PERCENT OF A)
DESIGN SPEED FOR COEFFICIENT DISTANCE
SPEED CONDITION OF FRICTION ROUNDED FOR ROUNDED FOR
(MPH) (MPH) F DESIGN (FT) COMPUTEDa DESIGN
20 20–20 0.40 125–125 14.7–14.7 20–20

.....................................................................................................................
25 24–25 0.38 150–150 21.7–23.5 30–30
.....................................................................................................................
30 28–30 0.35 200–200 30.8–35.3 40–40
.....................................................................................................................
35 32–35 0.34 225–250 40.8–48.6 50–50
.....................................................................................................................
40 36–40 0.32 275–325 53.4–65.6 60–70
.....................................................................................................................
45 40–45 0.31 325–400 67.0–84.2 70–90
.....................................................................................................................
50 44–50 0.30 400–475 82.5–105.6 90–110
.....................................................................................................................
55 48–55 0.30 450–550 97.6–126.7 100–130
.....................................................................................................................
60 52–60 0.29 525–650 116.7–153.4 120–160
.....................................................................................................................
65 55–65 0.29 550–725 129.9–178.6 130–180
.....................................................................................................................
70 58–70 0.28 625–850 147.7–211.3 150–220
a
Using computed values of stopping sight distance.
speed of 30 mph. The PVI station is 9 ⫹ 27.6 at Likewise the PVT elevation is
elevation 659.8 ft.
PVTElev ⫽ (210)(0.11)
1. Establish a vertical curve to meet AASHTO ⫹ 659.8 ⫽ 682.9 ft (20.42)
criteria
One method to plot the vertical curve is to com-
2. Plot the curve in profile
pute the tangent offsets at selected stations and plot
3. Locate the station of the low point. these points on the profile. A smooth line can then
be drawn through the plotted points using an irreg-
1. From Table 20.10, the K value based on 30- ular curve. Using Eq. (20.19) and the fact that tangent
mph design is 30. The algebraic difference in grades offsets are symmetrical with respect to the PVI, a table
is (⫺3%) ⫺ 11% ⫽ 14%. Using the relationship L of values is created (see Table 20.11). (The table is
⫽ KA, the curve length is L ⫽ 30 ⫻ 14 ⫽ 420 ft. A for illustrative purposes; the procedure can be per-
vertical curve length of 420 ft sets the PVC and PVT formed quickly with a hand-held calculator.) The
station at 7 ⫹ 17.60 and 11 ⫹ 37.60, respectively. curve is plotted in Figure 20.29.
Notice that using K ⫽ 30 provides a stopping sight 3. The lowpoint is determined using Eq. (20.20).
distance of 200 ft, which is above the computed range
of 177.3 ft to 195.7 ft shown in Table 20.4. (⫺.03)(420)
x⫽⫺ ⫽ 90 ft (20.43)
2. With reference to Figure 20.29, the curve can 0.14
be easily plotted by computing several elevations
along the curve. The elevation of the PVC, deter- Note that the distance from the PVC to the
mined from the PVI elevation and the tangent gradi- lowpoint is equivalent to (g1%) ⫻ K. The station of
ent, is the lowpoint is (7 ⫹ 17.6) ⫹ (0 ⫹ 90.0) ⫽ 8 ⫹
07.6. Substituting the value of 90 ft into Eq. (20.17)
PVCElev ⫽ 210(0.03) ⫹ 659.8 ⫽ 666.1 ft (20.41) gives the lowpoint elevation as

FIGURE 20.29 Vertical curve for Example 4.
y⫽ 冉 0.11 ⫺ (⫺0.03)
2(420) 冊 (902) ⫹ (⫺0.03)(90)
intersections are used for joining local, collector and many
minor arterial streets, whereas the latter two types are more
generally used on high-speed highways or arterials. Except
⫹ 666.1 ⫽ 664.75 ft (20.44)
Another problem frequently encountered involving ver- TABLE 20.11 Tangent Offsets
tical curves is that of fitting the curve through a point with
a prescribed elevation. For this type of problem, use Eq. DISTANCE FROM PVC
OR PVT TANGENT OFFSETS
(20.17) and let y equal the prescribed elevation. Three of
the four remaining parameters g1, g2, L, or x in the equation 50 0.42
must be known to obtain a solution. .....................................................
100 1.67
.....................................................
150 3.75
GEOMETRIC PROPERTIES OF AT-GRADE INTERSECTIONS .....................................................
Intersections are points where two or more streets or high- 200 6.67
.....................................................
ways join or cross. The three basic types of intersections in
210 (PVI) 7.35
use are at-grade, grade separated, and interchange. At-grade

for certain unusual situations, the number of legs at any search Program publication 279, which addresses various
one intersection should not exceed four. intersection applications.
Intersections affect the overall performance of the inter-
secting roads. A measure of the operational performance Angle of Approach
includes the speed of movement through the intersection. Right-angle intersections provide a better view of traffic and
The movement speed determines the capacity and thus af- provide better turning movements than roads intersecting
fects the suitability of a street to function as intended. In at acute angles. A recommended practice is to limit the
other words, the level of service of a street is greatly affected angle of approach of the intersecting road to 60⬚ (relative
by the level of service of the intersection. Design features to the through street). In those situations involving inter-
that impact the design of at-grade intersections include ad- sections of legs at acute angles, the engineer should con-
equate corner sight distances, angle of approach, matching sider slight changes to provide the desired 90⬚ alignment.
pavement grades, radius of curvature of the curb returns, Figure 20.32 shows how an approach street with an
need for auxiliary lanes or channelization, and intersection acute angle of approach can be modified to obtain a 90⬚
control. intersection. On local roads, such an alignment is accepta-
Physical elements, traffic, human factors and economics ble. On higher-category streets, this type of alignment
encompass items for consideration in the design process of should be used cautiously. Although this type of alignment
at-grade intersections. For local streets in residential areas, may improve visibility and turning movements, there is a
the major design considerations are adequate corner site disadvantage to this alignment; it obscures traffic-control
distances, matching street grades, and minimum radius of devices, and vehicles approaching the intersection through
the curb returns. The complexities of intersection design the short radius curve tend to smooth out the curve by
increase as the traffic and pedestrian volume increases and encroaching into the opposite lane, creating a traffic hazard
the potential rate of conflicts between pedestrian–vehicle for vehicles turning from the main road.
and vehicle–vehicle increases. Within a relatively large project, adjusting lot lines and
The three basic types of at-grade intersection are the T- street configurations can attain proper alignment of inter-
intersection, four-leg intersection, and the multileg intersections. For those projects that must access near or at an
section. Each of these types has numerous variations. The existing intersection, local agencies may require extensive
T-intersection and four-leg intersection are the most prev- modifications of the intersection to accommodate the ad-
alent in the lower-category streets. ditional volume of traffic. This can be costly and should be
identified early in the project planning.
T-Intersections
The T-intersection, or three-leg intersection, is as simple as Intersection Sight Distance
the name implies. This intersection normally has an auto- Intersection sight distance for an at-grade intersection is
matic right-of-way assignment; however, some situations subject to the type of traffic control at the intersection. For
may warrant the elimination of this automatic right-of-way most land development projects, the most prevalent type of
assignment. One situation is to control speed through a traffic control is the stop control. The vehicle on the minor
particularly straight section of the road. The T-intersection street is required to stop completely, ensure that movement
has the least number of conflict points of any of the various through the intersection can be safely done without collid-
types of intersections and therefore provides a high level of ing with oncoming traffic, and then proceed.
safety. Figure 20.30 illustrates some of the basic T- The driver on the minor road must have an unobstructed
intersection variations. view for a sufficient distance in order to ensure that move-
ment through the intersection can be safely accomplished.
Four-Leg Intersections This sufficient sight distance depends on the speed of the
The four-leg intersection, like the three-leg intersection, oncoming vehicles and some nominal perception–reaction
may or may not have an automatic right-of-way assignment. time representative of most drivers as well as the physical
Depending on the design volume of traffic at the intersec- conditions of the intersection. Figure 20.33 shows the three
tion, control can be as simple as yield/stop at the lesser- types of movements for the stopped vehicle and the cor-
category street to signal control with auxiliary lanes and responding sight triangles.
islands to channel the turning movements. Variations of the
1. The vehicle can proceed through the intersection
latter situation typically occur at intersections of major
continuing along the minor street (four-legged intersec-
roads, such as collectors with minor arterials. Such inter-
tions only). This requires that the vehicle clear traffic
sections frequently are necessary at the fringe of large de-
approaching from either direction of the major street
velopment projects in high-density areas. Figure 20.31
and also vehicles turning left from the opposite direc-
illustrates some of the basic configurations of the four-leg
tion on the minor street
intersection.
Complete solutions and variations for various circum- 2. The stopped vehicle can turn left onto the major
stances are numerous. For special situations, the designer street, which again requires clearing traffic from both
might find helpful the National Cooperative Highway Re- directions
FIGURE 20.30 Types of T intersections. From A Policy on Geometric Design of Highways and Streets, copyright 1990 by the American
Association of State Highway and Transportation Officials, Washington, D.C. Used by permission.
FIGURE 20.31 General types of four-leg intersections. From A Policy on Geometric Design of Highways and Streets, copyright 1990 by the
American Association of State Highway and Transportation Officials, Washington, D.C. Used by permission.
FIGURE 20.32 Realignment of intersecting road to obtain a

90⬚ configuration.
3. The stopped vehicle can turn right, which requires

clearing traffic coming from the driver’s left.
The travel time for a vehicle to travel distances d1 and

d2 in the figure at the design speed is the same time as it
takes the stopped vehicle to clear the intersection.
The 20-ft setback shown on the minor street is the as-
sumed location of the driver’s eye. According to AASHTO
(1990), the 20-ft location is measured from the edge of
pavement or curb line and is 3.5 ft high. The unobstructed
sight line must be able to see an object 4.25 ft high.
AASHTO (1990) provides criteria for calculating the
time needed for several different types of vehicles to make
a crossing maneuver, and the reader is encouraged to refer
to this manual or local highway design criteria to establish
d1 and d2. Without the benefit of a specific method, a rea-
sonable rule-of-thumb applicable to local–local and local–
collector intersections is to allow 10 feet of distance for
every 1 mph of design speed. For example, an intersection
where the design speed of the major street is 35 mph re-
quires a sight distance of 350 ft.
Signal control intersections have signals for traffic control. FIGURE 20.33 Site triangle for three types of movements
Intersections of this type exist most often on streets at the through an intersection. From A Policy on Geometric Design of Highways
collector or arterial level. and Streets, copyright 1990 by the American Association of State Highway
and Transportation Officials, Washington, D.C. Used by permission.
The preceding discussions on sight distance for at-grade
intersections assume that grades on approach legs are level.
When this is not the case, there is a need for adjustments
to values affected by grades such as stopping sight distance. residential area. On local streets in residential areas, rec-
Also, it is reasonable to assume the height of eye at 3.5 ft ommended minimum spacing is 125 ft. On collector streets,
and height of object is 4.25 ft. Therefore, nothing in the spacing should be increased to 250 ft.
line of sight, such as fences and vegetation, should be In commercial areas, there are frequently numerous en-
higher than this value. trances to the office and retail areas accessing the main
street. Although these are not intersections as defined ear-
Spacing lier, the volume of traffic and the numerous turning move-
The type of control at the intersection influences spacing of ments require these entrances to be treated as intersections.
intersections. For example, several consecutive intersections The residential counterparts, that is, driveways, are not con-
with signal control where synchronization is necessary will sidered as intersections because of the low volume and few
be spaced farther than stop/yield control intersections in a consecutive turning movements. Recommended spacing of

commercial entrances is also around 200 ft, depending on transparent vehicle templates made to the same scale of the
the traffic on the serving road and the anticipated traffic site plan assist in checking these provisions. An example of
through each entrance. Spacing may be reduced if the turn- one template is shown in Figure 20.34. Other templates for
ing movements into and out of the entrances are limited to the vehicles listed in Table 20.12 are provided in the
the direction of flow of traffic; that is, right-in and right- AASHTO manual.
out movements. Dimensions for the appropriate design vehicle and the
Intersection spacing is always a matter for consideration minimum turning radii for 15 different vehicle types are
in maintaining safe streets and avoiding traffic queuing. Ex- listed in Table 20.12.
cessive queuing is not a critical design element on low vol-
ume streets. In most cases, intersection spacing of 125 ft Profile Grade Line (PGL) at Intersections
eliminates traffic flow problems. Such spacing also prevents Proper alignment of street profiles at intersections provides
corner cutting from one street to another. a smooth transition through the intersection. The profile
requirements of the intersecting side street vary significantly
Curb Return Radius depending on the type of intersection control, that is,
The ability for a vehicle to turn safely and effectively de- whether the intersection is signalized or has a stop sign,
pends on such factors as type of vehicle, pavement width, and, to a lesser extent, the design speed of the side street
curb return radius, speed through the turn, longitudinal and whether it is a three-leg or four-leg type of intersection.
and transverse pavement slope and skew angle of the in- If signalized, a portion of the traffic will arrive on the green
tersection. Ideally, as the vehicle makes a turning move- indication and continue through the intersection without
ment, it remains within the limits of the designated lane significantly slowing down. In this case, the design speed
limits. On local streets, for which the design vehicle is pre- through the intersection will impact the profile design. With
dominantly small and the design speeds and traffic volumes stop sign conditions, the design speed is negligible for the
are low, whether the vehicle stays within the confines of the PGL design.
designated travel lane is of minor consequence. The radius Ideally, the longitudinal approach gradient of the inter-
of curvature of the curb return affects the width of the en- secting street should be the same as the cross slope of the
trance of the street. Since pedestrian safety is paramount in through street. However this is rarely accomplished due to
residential areas and speeding is discouraged, short radius a mismatch of the main roadway cross slope with the site
curb returns are more desirable. and design constraints that may impact the approach gra-
In commercial and industrial developments, pavement dient of the side street. Some means is necessary to provide
widths and curb returns are matched to accommodate smooth transition between the PGL of the side street with
larger vehicles and reduce (or eliminate) the need for the the cross slope of the through street. For practical consid-
vehicle to encroach into other lanes during the turning erations, there are three basic methods in establishing the
movement. However, as the curb return radius increases, profile grade line for the intersecting street, as illustrated in
the entrance width increases and, consequently, lane des- Figure 20.35. The design standards for the review agency
ignations through the intersection are obscured. The need dictate which method, if any, and the acceptable values per-
for channelization by islands or special pavement markings mitted.
to delineate the travel lanes then becomes a consideration. Figure 20.35(a) shows the transition as just a grade
According to the ASCE/NAHB/ULI’s Residential Street break, that is, the algebraic difference of the gradients. This
Design, the recommended ranges for curb return radii are method is typically used for stop conditions and extremely
15 ft to 20 ft at local–local street intersections, 25 ft to 30 slow speeds through the intersection. This also includes the
ft for local–collector intersections, and 25 ft to 30 ft for speeds of the vehicles turning from the through street onto
collector–collector intersections. the side street. An algebraic difference of about 4 to 5%
However, most jurisdictions prescribe minimum radius may be permitted. Higher values of the grade break have
of curvature for the curb returns. The engineer should use been used; however, the bouncing effects of the car over
discretion in setting these radii. The curvature is based on the grade break could cause riding discomfort and cause
the largest type of vehicle that will frequently use the street, the underside of some vehicles to scrape the pavement.
pedestrian safety, and the cost for maintenance of the right In Figure 20.35(b) a short vertical curve of 50 to 100 ft
of way and the loss of usable land for development. provides a smoother transition when the grade break be-
When determining the curb return radii, consideration comes too large. For slow speeds through the intersection,
must be given for the largest vehicles that will use the street. the vertical curve site distance as dictated by Eq. (20.35)
Although large vehicles such as moving vans, motor homes, and (20.36) is negligible.
and buses are vehicles that occasionally traverse local streets Figure 20.35(c) provides the best possible way to con-
and would not be selected as the design vehicle for local nect the two PGLs for the combined conditions of higher
streets, consideration should be given to allow for their lim- design speeds of the side street, signalized control and for
ited use. Accomplish this by checking larger vehicle re- gradients with large algebraic differences. A section of
quirements regarding turning and clearance. The use of nearly level roadway at the side street provides a staging

FIGURE 20.34 Minimum turning path for WB-40 design vehicle. From A Policy on Geometric Design of Highways and Streets, copyright
1990 by the American Association of State Highway and Transportation Officials, Washington, D.C. Used by permission.
area for stopped vehicles, improves sight distance, allows Finally, note that as a minimum, the tangent point of the
the stopped vehicles to begin their movement without drift- vertical curve should be located outside the edge of pave-
ing backwards or from having to hold the brake pedal too ment (EP) of the through street.
stiffly to keep the vehicle from rolling during the red in- Matching the PGL alignment becomes more difficult
dication. Additionally, this method, with appropriate verti- when a superelevated through street must be matched to a
cal curves, provides a smoother ride through a four-leg side street with a longitudinal slope in the opposite direc-
intersection. Although not specifically addressed in most tion. Factors such as sight distance, design speed, tangent
design manuals, the length of the staging section should be gradients, intersection control, and other items must be
based on intersection conditions, good engineering judg- considered to determine a safe and cost effective design.
ment, and possibly stopping distance for the design speed. Frequently, a short vertical curve connecting the two op-

TABLE 20.12 Minimum Turning Radii of Design Vehicles
MOTOR
SEMITRAILER TURPIKE PASSENGER PASSENGER HOME
SINGLE SINGLE SEMITRAILER FULL INTERSTATE INTERSTATE TRIPLE DOUBLE CAR WITH CAR WITH AND
DESIGN VEHICLE PASSENGER UNIT UNIT ARTICULATED SEMITRAILER COMBINATION TRAILER SEMI- SEMI- SEMI- SEMI- MOTOR TRAVEL BOAT AND BOAT
TYPE CAR TRUCK BUS BUS INTERMEDIATE LARGE COMBINATION TRAILER TRAILER TRAILER TRAILER HOME TRAILER TRAILER TRAILER
Symbol P SU BUS A-BUS WB-40 WB-50 WB-60 WB-62* WB-67** WB-96 WB-114 MH P/T P/B MH / B
.............................................................................................................................................................................
Minimum design 24 42 42 38 40 45 45 45 45 50 60 40 24 24 50
turning radius (ft)
.............................................................................................................................................................................
Minimum inside 13.8 27.8 24.4 14.0 18.9 19.2 22.2 9.1 00 20.7 17 26.0 2.0 6.5 35
radius (ft)
(From A Policy on Geometric Design of Highways and Streets, Table II-2, p. 22, AASHTO, Washington, D.C., 1990.)
* Design vehicle with 48-ft trailer as adopted in 1982 STAA (Surface Transportation Assistance Act)
** Design vehicle with 53-ft trailer as grandfathered in 1982 STAA (Surface Transportation Assistance Act)

395
FIGURE 20.35 PGL for connecting streets at intersections.
posing slopes does not allow for sufficient sight distance or of warping done in the field to accommodate matching
does not provide a suitable landing area. Use of a longer pavements.
vertical curve may require extensive grading. It is good design practice in such situations to plot the
The situation becomes more complex for skewed inter- profiles of the curb returns. This helps for setting stakeout
sections or as the intersecting street is on a curve that con- grade for construction, ensures positive drainage around the
nects to the through street that is in superelevation or is in return, and permits a smooth continuous curb return. Se-
transition. For this reason, 90⬚ intersections are strongly lecting a mathematical vertical curve to the curb return pro-
recommended to reduce the design headaches associated file is desirable, but for the cases where a true mathematical
with the more complex situations. Furthermore, review fit cannot be accomplished, the designer draws a smooth
agencies are less receptive to such irregular designs. curve using a parabolic template. This is commonly known
Another frequently occurring problem in intersection de- as a spline curve. The curb return elevations are scaled di-
sign is matching the curb returns—especially when the ra- rectly from the smoothly drafted spline curve.
dius is very large and the arc length is long. It is not
uncommon for the contractor to have to warp the pavement Capacity at Intersections
at the intersections to match pavements and slopes. For the For those projects where the development is large enough
most part, a good alignment design minimizes the amount to impact significantly the traffic volumes on the existing

streets, or where the project includes intersections of high- conditional hazards, painted pavement markings or raised
volume roads such as collector–collector or collector– islands are installed to properly direct the traffic flow. Raised
minor arterial, the land design team should employ the islands also serve as pedestrian refuge points, separate op-
services of a traffic consultant to perform a traffic analysis. posing traffic, and serve as attractive aesthetic focal areas
Included in this analysis will be, in most cases, a capacity for the development when landscaped. In the latter case,
analysis. By definition, a highway facility’s capacity is the however, the landscaping must not impede site distances
maximum flow rate (in vehicles per hour) at which vehicles nor obstruct the driver’s view of pedestrians.
can reasonably be expected to traverse a point or uniform The size, configuration, and method of channelization is
section of a lane or roadway during a 15-minute time pe- very site specific. It depends on the volume of traffic, the
riod under prevailing roadway, traffic, and control condi- type of intersection control, the geometry of the intersecting
tions. The capacity of major intersections is a major design streets, and most importantly the requirements and stan-
consideration. A capacity analysis will lead to ways to im- dards of the approving public agencies.
prove under-capacity intersections to acceptable levels of The islands must be large enough to be visible by drivers
service. for each turning movement affected by the island. AASHTO
Level of service (LOS) is a qualitative description of the recommends that the island area not be less than 50 ft2 as
operational traffic conditions of a highway facility. Factors an absolute minimum and preferably 100 ft2 in size. Tri-
used in a LOS description include such items as speed, angular islands should be 12 ft long on a side not including
travel time, freedom to maneuver, traffic interruptions, the rounding at the corners. Raised curb islands are set 2
comfort, convenience, and safety. The six classifications of ft to 4 ft from the edge of pavement of the through street
level of service are: on low-speed roads. The setback increases with increasing
design speed on the through street (see Figure 20.36).
1. LOS A: Free flow of traffic; users are affected by
the presence of others; an excellent general level of Crest and Sag Vertical Curves with Respect to
comfort and convenience to the users Intersections
2. LOS B: Stable traffic flow but the presence of Intersection location on vertical curves must meet site dis-
other users begins to be noticeable and affects individ- tance requirements. This is more critical on crest curves
ual behavior; slight decline in the level of comfort and than on sag curves due to the more restricted limits inher-
convenience relative to LOS A ent in crest curves. Intersection sight distance is generally
ten times the design speed (or greater). On short vertical
3. LOS C: Still stable traffic flow; however, the opera-
curves with relatively steep tangent gradients, the optimum
tion of individual users begins to become significantly
location is at or very near the top of the crest. As the length
affected by interactions with other users; noticeable de-
of the crest curve increases and the gradients flatten, the
cline in the level of comfort and convenience
intersecting street can be located farther away from the
4. LOS D: High-density stable flow with restrictions crest.
on operations by the users marked by a poor level of On sag curves, site distance is a secondary problem as
comfort and convenience compared to drainage. Because of the potential drainage
problems, the intersecting street should not be located at
5. LOS E: Operating conditions at or near capacity;
or very near the sump area of a sag curve. The location of
comfort and convenience levels are very poor and
the intersecting street depends on the length of the vertical
driver and pedestrian frustration is generally high
curve and the tangent gradients.
6. LOS F: Forced or breakdown flow resulting in un-
stable flow; the facility is over capacity and queues be- Street Layout
gin to form Considering the numerous issues that are factored into
street design, the street layout, like any design process, is
Typically, the traffic consultant submits a traffic engi- iterative. Not all of the issues can be addressed nor are all
neering report to the project engineer. In it are recommen- solutions apparent on the first try. Following is a general
dations on how to improve intersection capacity through procedure for street layout.
such means as signal control, turn lanes, channelization and
other site-specific suggestions. 1. Obtain an appropriate scale of the plan view of
the project showing topography and all existing fea-
Channelization tures. The scale and contour interval depend on size of
Wide street entrances at intersections, such as those gen- the project and the availability of existing topographic
erated by large curb return radii or skewed intersecting maps. For large projects, e.g., greater than 100 acres,
streets, create large areas of pavement that confuse drivers 1ⴖ ⫽ 100⬘ and 5-ft contour intervals are acceptable for
and promote irregular vehicle movements. To mitigate these preliminary layouts. The scale of the plan view in-

FIGURE 20.36 Details of triangular islands design: (a) curbed islands, no shoulders; (b) with shoulders. From A Policy on Geometric Design
of Highways and Streets, copyright 1990 by the American Association of State Highway and Transportation Officials, Washington, D.C. Used by permission.
creases as the size of the project decreases. (It is very be extended to the boundaries of the site to provide
difficult to use a worksheet at 100 scale if the site is future access to adjacent parcels.
only a few acres.)
3. Set the horizontal alignment of the street network
2. On the drawing worksheet, identify the site con- of the site by drawing straight lines. These lines repre-
straints and locate the points of access to the existing sent the centerline tangents of the proposed roads. To
road network taking into consideration sight distances minimize grading, the tangents should run closer to
and proximity to existing intersections. Local ordi- parallel with the existing contours rather than perpen-
nances may require that sections of the proposed road dicular.

4. After the tangents have been established and com- lots and adjacent properties. Another way to compare the
ply with the physical constraints of the site, horizontal horizontal with the vertical alignment is to set the profile
curves are drawn. The radius of the curves must com- sheet on a table with the plan sheet such that the stationing
ply with the given criteria regarding curvature, design of one sheet is aligned with the stationing with the other
speed, design vehicle, and street category. view. This is most effective as the plan view scale matches
the horizontal scale of the profile view. A common practice
5. Prepare a profile view of the existing topography
is to show the plan and profile view on one drawing sheet
of the PGL for the road and include all vertical con-
(see Figure 20.39).
straints such as culvert and utility crossings. With a
Considerations for ensuring that the horizontal align-
profile of the existing ground elevation, draw a series
ments are compatible with the vertical alignment are:
of straight lines, which represent the proposed longitu-
dinal grade of the street. The maximum and minimum 1. Flatten profiles at intersections to allow for better
gradients selected should comply with local require- visibility, starting, stopping, and turning movements.
ments.
2. Avoid series of short vertical curves that give a rol-
6. Select vertical curves to meet site distance and lercoaster effect regardless of the horizontal alignment.
drainage constraints. Set the vertical curves on the pro-
files using appropriate curve length with the required 3. Avoid a sag vertical curve at the beginning or end
vertical curve sight distance. Label the stations of the of a sharp horizontal curve.
PVCs, PVTs, and high and low points. Show the length 4. Avoid short vertical curves through compound
of the vertical curve and the K-value (or SSD). See Fig- curves.
ure 20.39, for example.
5. Avoid a sharp horizontal curve at the bottom of a
General guidelines for establishing vertical alignment long grade—especially a steep grade!
include: 6. Avoid crest curve on a short tangent between two
▫ Avoid long lengths of steep grades. curves.
▫ Place steeper grades at the beginning of an as- 7. Avoid sharp horizontal curve near the top of a ver-
cent followed by flatter grades at the peak. tical curve.
▫ Reduce gradients at intersections. In general, roads aligned perpendicular to the contours

will cause buildings to have one side extend further out of
7. Determine and depict the right-of-way widths of
the ground. This type of alignment can also create steep
the streets as per local regulations. Using the zoning
grades and extensive earthwork. Roads aligned parallel to
requirements (e.g., minimum lot size and widths), es-
the contours can cause buildings to be lower than the road
tablish the lot lines. As the lot lines are set, the hori-
if the road is located at the outer edges of the slope. This
zontal alignment may have to be adjusted to make the
type of alignment typically requires less earthwork and does
lot lines work.
not create steep slopes.
8. Perform an earthwork computation. Adjust the Each site is unique and all of the above guidelines, in
street alignment to balance the earthwork. all likelihood, cannot always be implemented. Compro-
mises will have to be made, and it is the design team’s
9. Repeat as necessary to optimize the lot layout, the
responsibility to devise a layout that is safe, aesthetically
earthwork balances, and other constraints.
attractive, economically viable, and optimizes land use.
Lastly, the designer must coordinate the horizontal and
vertical alignments. Often they are designed independently Cul-de-sac Design
without consideration of the combined effects. When all The cul-de-sac is a popular street type for use on local
specific criteria such as minimum radius of curvature, sight streets. Cul-de-sac streets are open at one end and provide
distance, optimizing land use, intersection alignment and a turning area at the closed end. Although the circular cul-
configuration, and balancing earthworks, have been accom- de-sac and its variations may be the most widely used, other
modated, the combined effects of the horizontal and vertical various types of turning areas include circular, T, and Y,
alignments need to be checked for compatibility. among others. Some of these are depicted in Figure 20.37.
One method to help visualize the complete picture is to The T and Y type require more inconvenient backing move-
develop the grading plan. In addition to showing how the ments by the user but in low-volume situations conserve
horizontal and vertical curves are aligned, the grading plan land and allow increased flexibility in the land planning
shows the location of the deep excavation and embank- process. The type chosen for particular situations depends
ments and where and how the grading encroaches on the on the primary type of vehicle being serviced by the turning

tions, the maximum length of a cul-de-sac street is generally

650 ft to 1000 ft.
The recommended radius for an all-paved cul-de-sac is
30 ft to 40 ft. Most passenger vehicles require a minimum
radius of 30 ft to turn around. Small trucks and fire equip-
ment can maneuver a turnaround with one or two backing
movements on 40-ft radius cul-de-sacs. However, this pre-
sumes no vehicles are parked within the turnaround area.
For practical reasons, cul-de-sacs should be relatively
level. Pavement grades across the cul-de-sac should ensure
adequate drainage over the pavement and yet allow a ve-
hicle to access adjacent land. A vehicle should be able to
turn around without negotiating steep grades. Maximum
pavement gradients across the cul-de-sac of 3 to 4% are
recommended. The street grade entering the cul-de-sac
should be between 3 to 5%. To ensure proper design, the
edge of pavement or top of curb around the perimeter of
the cul-de-sac should be profiled. Spot elevations around
the cul-de-sac based on the profile aid the contractor in
construction. An example illustrates one method for de-
signing a cul-de-sac.
E X A M P L E 5 : Consider a circular cul-de-sac

with a 45-ft radius. The cul-de-sac and typical section
of the road are shown in Figure 20.38. Also for this
problem, assume site constraints dictate the elevation
at a position where the centerline of the road ex-
tended to the curb of the turnaround area must be
647.0 ft (shown as point C in the plan view of Figure
20.38).
1. To facilitate design and to insure an accepta-

ble gradient throughout the turnaround area of
the circular cul-de-sac, the top of curb is used as
the PGL. That is, the design is established by set-
ting the profile of the top of curb around the
cul-de-sac by ‘‘unwrapping’’ (i.e., straightening)
the top-of-curb profile.
2. The profile of the top of curb begins at the
PC of the top of curb left side, identified as
point A. The station of point A is equal to the
stationing at the centerline of the road at the
FIGURE 20.37 Types of cul-de-sacs. From A Policy on Ge-
ometric Design of Highways and Streets, copyright 1990 by the American point on the centerline that is perpendicular
Association of State Highway and Transportation Officials, Washington, D.C. from point A. From geometry, the stations at
Used by permission. points B, C, D, and E are computed.
3. Point E is directly across the street from A
area, traffic volume and most importantly the standards ac- and represents the top of curb right side. The el-
cepted by the approving agency. evation of the top of curb at this point must
Because it is open only at one end, cul-de-sacs are lim- equal the elevation at top of curb left side from
ited to an average daily traffic volume of about 200 vehicles symmetry. The geometry and profile of the street
per day. If it is assumed that a single-family residence gen- set these two elevations. The profile gradient
erates ten trips per day, then 20 residences will generate a away from point E (⫽ ⫹4%) must equal the
200 ADT. Lot widths range from about 65 ft for small lots profile gradient into point A, which is the same
to 100 ft for moderately sized lots. Based on these assump- profile gradient established for the street. The

FIGURE 20.38 Cul-de-sac typical section, plan and profile.

401
stations, elevations, and gradients at these points curve information in the profile shows the tangent gradi-
are plotted on the profile. ents, stationing of the PVC, PVT, and PVI, with elevations
with respect to the PGL. If the road is superelevated, the
4. Between points A and E, a profile of the
plan view shows the stationing where a normal crown ends
curb is established such that station 8 ⫹ 73.65
and the transition to superelevation begins and the station-
(point C) is at elevation 647.0 (see Figure
ing where the transition ends. The section of roadway that
20.38). Using a 50-ft symmetrical vertical curve
is in full superelevation is shown along with the rate of
with the PVI at that station also provides the low
superelevation.
point at that station. For this example, the tan-
Elevations along the PGL are shown on the profile view
gent grades were selected as 1%. (Recall that a
every 50 ft along the longitudinal tangent. Through vertical
symmetrical vertical curve with 兩g1兩 ⫽ 兩g2兩 has the
curves the elevations are shown in shorter increments—
lowpoint at the PVI.) Since the elevation on the
every 25 ft in normal circumstances and less for short ver-
curve is known, the PVI elevation corresponding
tical curves. In addition, elevations are frequently shown
to a symmetrical 50-ft vertical curve and the se-
for the left and right edge of pavement (EP) or for top of
lected 1% gradients is obtained using Eq.
curb (TC). In complex situations, elevations might be
(20.45), the distance from the tangent to the
shown every 10 ft and at locations in addition to the PGL
point on the vertical curve. The PVI elevation is
(e.g., left and right EP or TC).
647.0 ⫺ 0.13 ⫽ 646.88. Correspondingly the
Many contractors construct the curb and gutter section
PVC and PVT elevation is 647.13 at station 8 ⫹
before placing the pavement. It is helpful to provide the top
48.65 and 8 ⫹ 98.65, respectively.
of curb elevations and especially at all curb return points.
AL (.02)(50) The curb return points are often referenced to the centerline
⫽ ⫽ 0.125 ft (20.45) (C/L) stationing.
8 8
Indicating Sight Distance on Plans and Profiles
5. Two other vertical curves of 60-ft lengths are Sight distance depends on the height of the driver’s eye
inserted to provide a smooth connection between above the road surface, the height above the road surface
the 4% and 1% gradients. of the visible object and height of obstructions in the line
of sight. The height of the eye is assumed to be 3.5 ft for
This example is included to illustrate how a circular cul- passenger type vehicles (8 ft for large trucks) and the height
de-sac could be designed. The lengths of the vertical curves of the object is 6 in. for determining adequate sight distance
and tangent gradients were selected to provide a relatively on vertical curves. In land developments, the sightline is
flat area around most of the perimeter of the cul-de-sac. often restricted to the right-of-way line because landowners
This would allow for smoother driveway connections. Site later may plant shrubbery to the limits of their property.
conditions and drainage considerations primarily dictate the Situations where sight lines cross limits outside the right of
lengths, location, and tangent gradients of curves. way can be resolved by including provisions restricting ob-
structions within the sightline area.
Typical Street Plan and Profile To assure reviewing agencies that adequate sight distance
Engineering drawings serve two main purposes: to assure has been provided, the engineer might consider showing
the design review agencies that the design conforms to all the lines of sight on horizontal curves, vertical curves, and
codes, standards, and ordinances; and to provide the con- at intersections. Local criteria may even require this detail
tractor with clear, unambiguous detail of how and where on the plan and profile sheets. In most cases the stopping
to construct the road. sight distances on vertical curves has been accounted if the
The plan and profile of the road drawings (see Figure ratio of the length of the curve to the algebraic difference
20.39) should be appropriately scaled. The PGL reference of tangent gradients is greater than the K value. Likewise,
line (usually the centerline of the street) shows the station- criteria dictating an absolute minimum radius for horizontal
ing at 100-ft increments. This same stationing is used both curves put the line of sight within the pavement area and
in the plan and profile views. Station equalities at intersec- away from obstructions that would encroach the line of
tions are delineated in both views along with the stations sight near the right of way. Nonetheless, a reasonable com-
where the proposed roads match to the existing roads or fort level for the design can be attained with periodic spot
end at boundary limits. Many times this same reference line checks for horizontal and vertical stopping sight distances.
and stationing are used to locate proposed utilities, storm Intersection sight distances should be checked always,
sewers, and other construction-related features. both in plan view and profile view. In plan view, the loca-
In the plan view, basic horizontal curve information in- tion of the vehicle is a nominal distance back from the face
cludes: stationing of the PC and PT points, radius, arc of curb (or edge of pavement) of the through street. The
length, and delta angle. Tangent length, chord length and required distance is measured along the centerline of the
chord bearing are helpful but not necessary. The vertical oncoming travel lane. The line of sight is the connection of

Typical street plan and profile; notice the labeling of the horizontal site distance at the street intersection.
FIGURE 20.39
403
404
TABLE 20.13 Geometric Design Guides for Major Subdivision Streets1
WITHOUT CURB AND GUTTER
WITH CURB AND GUTTER
SUGG. MIN. MINIMUM MINIMUM SHOULDER WIDTH5
*PROJECTED MIN. MAXIMUM MAX. STOPPING INTERSECTION MINIMUM WIDTH MINIMUM MIN. DISTANCE MINIMUM
TRAFFIC DESIGN DEGREE OF % SIGHT SIGHT PAVEMENT FILL FILL OF RIGHT OF FACE TO FACE RIGHT OF
(ADT) TERRAIN SPEED CURVATURE GRADE DIST.2 DISTANCE3 WIDTH4 W / GR WO / GR CUT DITCH6 WAY WIDTH7 OF CURBS8 WAY WIDTH9
Level 40 12⬚ 7 275⬘ 400⬘ 20⬘ 6⬘ 4⬘ 4⬘ 4⬘ 50⬘ 36⬘ 44⬘

251–400 Rolling 30 22⬚ 10 200⬘ 300⬘ 20⬘ 6⬘ 4⬘ 4⬘ 4⬘ 50⬘ 36⬘ 44⬘
Mountainous 20 110-ft rad 16 125⬘ 200⬘ 20⬘ 6⬘ 4⬘ 4⬘ 4⬘ 50⬘ 36⬘ 44⬘
.............................................................................................................................................................................
Level 50 7⬚30⬘ 6 400⬘ 500⬘ 22⬘ 6⬘ 4⬘ 4⬘ 4⬘ 50⬘ 30⬘ 46⬘
401–1000 Rolling 40 12⬚ 9 275⬘ 400⬘ 22⬘ 6⬘ 4⬘ 4⬘ 4⬘ 50⬘ 30⬘ 46⬘
Mountainous 30 22⬚ 14 200⬘ 300⬘ 20⬘ 6⬘ 4⬘ 4⬘ 4⬘ 50⬘ 36⬘ 44⬘
.............................................................................................................................................................................
Level 50 7⬚30⬘ 6 400⬘ 500⬘ 22⬘ 9⬘ 6⬘ 6⬘ 6⬘ 50⬘ 30⬘ 46⬘
1001–2000 Rolling 40 12⬚ 9 275⬘ 400⬘ 22⬘ 9⬘ 6⬘ 6⬘ 6⬘ 50⬘ 30⬘ 46⬘
Mountainous 30 22⬚ 14 200⬘ 300⬘ 20⬘ 9⬘ 6⬘ 6⬘ 6⬘ 50⬘ 36⬘ 46⬘
.............................................................................................................................................................................
Level 50 7⬚30⬘ 6 400⬘ 500⬘ 24⬘ 11⬘ 8⬘ 8⬘ 6⬘ 60⬘ 40⬘ 48⬘
2001–4000 Rolling 40 12⬚ 9 275⬘ 400⬘ 22⬘ 11⬘ 8⬘ 8⬘ 6⬘ 60⬘ 30⬘ 46⬘
Mountainous 30 22⬚ 14 200⬘ 300⬘ 22⬘ 11⬘ 8⬘ 8⬘ 6⬘ 60⬘ 30⬘ 46⬘
.............................................................................................................................................................................
Level 50 7⬚30⬘ 6 400⬘ 500⬘ 24⬘ 11⬘ 8⬘ 8⬘ 6⬘ 60⬘ 40⬘ 48⬘
Over 4000 Rolling 40 12⬚ 9 275⬘ 400⬘ 24⬘ 11⬘ 8⬘ 8⬘ 6⬘ 60⬘ 40⬘ 48⬘
Mountainous 30 22⬚ 14 200⬘ 300⬘ 24⬘ 11⬘ 8⬘ 8⬘ 6⬘ 60⬘ 40⬘ 48⬘
1
Roads functionally classified other than local are to be in accordance with the geometric design requirements in the current issue of the VDOT road and bridge standards for applicable road functional classification.
2
Distances are based on a 3.5-ft height of eye and a 0.5-ft height of object.
3
4
A minimum level of service C is to be maintained. Additional lanes and / or channelized intersections may be required.
5
Shoulder designs are to be in accordance with standard 65-12.
6
Ditch slopes (from edge of shoulder to bottom of ditch) are to be 1-ft vertical for each 4-ft horizontal for 6-ft-wide ditches, and 1-ft-wide vertical for each 3-ft-wide horizontal for 4-ft wide ditches.
7
A minimum 50-ft of right of way is required. Additional widening in increments of 10-ft as necessary to accommodate the roadway elements including cut and fill slopes and sidewalks where applicable, as required.
8
Dimensions shown take into consideration that parking may be permitted.

9

Where sidewalks are to be provided, additional right of way width to accommodate them is required.
Notes:
Each street should have continuity of design throughout, therefore, multiple or ‘‘step down’’ typical designs will not be acceptable except where a major traffic generator such as an intersection would delineate a clear line of declaration. Due
to the normal density of development adjacent to residential subdivision streets, standard curve superelevation is not practical on local streets where the design speeds are 25 mph or less and no superelevation is required. Streets with
design speeds exceeding 25 mph but no more than 40 mph are to be superelevated by an amount equal to the standard pavement comm. For all speeds exceeding 40 mph, superelevation and pavement widening should be provided in

accordance with standard ic-4 (urban) of the department’s road and bridge standards.
An adequate turnaround shall be provided at the end of dead end or cul-de-sac streets to allow safe maneuvering by service vehicles, school buses, and highway equipment.
For residential subdivisions where circular turnarounds are used, a minimum 30-ft radius is required, and for streets intended to service more than ten residences a 45-ft radius is recommended.
For nonresidential subdivisions where circular turnarounds are used, a minimum radius of 45 ft is required.
* Based on traffic volume resulting from ‘‘complete development’’ (land).
(Source: Virginia Department of Transportation, Subdivision Street Requirements, 1989.)
TABLE 20.14 Geometric Design Guides for Tertiary Subdivision Streets
WITHOUT CURB AND GUTTER
MINIMUM WITH CURB AND GUTTER
SUGG. MIN. MINIMUM SHOULDER WIDTH5
*PROJECTED MIN. MAXIMUM MAX. STOPPING INTERSECTION MINIMUM WIDTH MINIMUM MIN. DISTANCE MINIMUM
TRAFFIC DESIGN DEGREE OF % SIGHT SIGHT PAVEMENT FILL FILL OF RIGHT OF FACE TO FACE RIGHT OF
(ADT) TERRAIN SPEED CURVATURE GRADE DIST.2 DISTANCE3 WIDTH4 W /GR WO /GR CUT DITCH6 WAY WIDTH OF CURBS6 WAY WIDTH8
Level 30 22⬚ 7 200⬘ 300⬘ 10⬘ 6⬘ 4⬘ 4⬘ 4⬘ 40⬘ 30⬘7 40⬘

Up to 250 Rolling 30 22⬚ 10 200⬘ 300⬘ 10⬘ 6⬘ 4⬘ 4⬘ 4⬘ 40⬘ 30⬘7 40⬘
1 7
............................................................................................................................................................................
Level 30 22⬚ 7 200⬘ 300⬘ 20⬚ 6⬘ 4⬘ 4⬘ 4⬘ 50⬘ 30⬘ 40⬘
251–400 Rolling 30 22⬚ 10 200⬘ 300⬘ 20⬘ 6⬘ 4⬘ 4⬘ 4⬘ 50⬘ 30⬘ 40⬘
1
............................................................................................................................................................................
Level 30 22⬚ 7 200⬘ 300⬘ 22⬘ 6⬘ 4⬘ 4⬘ 4⬘ 50⬘ 30⬘ 46⬘
401–1000 Rolling 30 22⬚ 10 200⬘ 300⬘ 22⬘ 6⬘ 4⬘ 4⬘ 4⬘ 50⬘ 30⬘ 46⬘
1
1
When a 110-ft radius cannot be obtained in mountainous terrains, a minimum 90-ft radius may be used with a superelevation rate (e) of ⫺0.02.
2
Distances are based on a 3.5-ft height of eye and a 0.5⬘ height of object.
3
4
Shoulder designs are to be in accordance with standard 65-12.
5
Ditch slopes (from edge of shoulder to bottom of ditch) are to be 1-ft vertical for each 3-ft horizontal.
6
Dimensions shown take intto consideration that parking may be permitted except as provided for in footnote 7.
7
If parking is prohibited, face to face curbs may be reduced to 24-ft on a minimum 30-ft right of way.
8
Where sidewalks are to be provided, additional right of way to accommodate them will be required.
Notes:
Each street should have continuity of design throughout, therefore, multiple or ‘‘step down’’ typical designs will not be acceptable except where a major traffic generator such as an intersection provides a clear line of demarcation.
Due to the nature of tertiary streets and their low design speed, curve superelevation is not required.

An adequate turnaround shall be provided at the end of dead end or cul-de-sac streets to allow safe maneuvering by service vehicles, school buses, and highway equipment.
For residential subdivisions where circular turnarounds are used, a minimum 30-ft radius is required, and for streets intended to serve more than ten residences, a 45-ft radius is recommended.
For nonresidential subdivisions where circular turnarounds are used, a minimum radius of 45-ft is required.
* Based on traffic volume resulting from ‘‘complete development’’ (land).
(Source: Virginia Department of Transportation, Subdivision Street Requirements, 1989.)

405
the two points. If the line of sight extends into private prop- Hickerson, Thomas F., Route Location and Design, 5th ed.,
erty, a sight easement may be required before the plans are McGraw Hill, New York, 1964.
approved. Pline, James L. ed., Traffic Engineering Handbook, 4th ed., Insti-
To show adequate intersection sight distance in the pro- tute of Transportation Engineers, Prentice Hall, Englewood Cliffs,
file view, the station of the intersection is plotted an ele- N.J., 1992.
vation of 3.5 ft above the pavement elevation to represent Garber, Nicholas J., and Lester A. Hoel, Traffic Engineering and
the height of the eye. On either side of this station, another Highway Engineering, West Publishing, St. Paul, Minn., 1988.
point is plotted at a distance equal to the required sight Stover, Vergil G., and Frank J. Koepke, Transportation and Land
distance for intersections a height of 4.5 ft above the pave- Development, Institute of Transportation Engineers, Prentice Hall,
ment. If these two points are unobstructed, then adequate Englewood Cliffs, N.J., 1988.
sight distance for the intersection has been provided (see Homburger, Wolfgang S. et al., Residential Street Design and Traf-
Figure 20.39). fic Control, Institute of Transportation Engineers, Prentice Hall,
Englewood Cliffs, N.J., 1989.
Sample Design Criteria for Local Streets Institute of Transportation Engineers, Recommended Guidelines for
It has been emphasized throughout this chapter that stan- Subdivision Streets, ITE, Washington, D.C., 1989.
dards and criteria dictating local street design are mainly American Society of Civil Engineers, National Association of
controlled through local and state public agencies. An ex- Home Builders, and Urban Land Institute, Residential Streets, 2nd
ample for the design criteria for local streets as given in ed., ASCE, NAHB, ULI, 1990.
Subdivision Street Requirements by Virginia Department of Highway Research, Highway Capacity Manual, Special Report no.
Highways (1989) is presented in Tables 20.13 and 20.14. 209, Highway Research, Washington, D.C., 1985.
Virginia Department of Transportation, Subdivision Street Require-
REFERENCES ments, Virginia Department of Transportation, Richmond, Va.,
American Association of State Highway and Transportation Offi- 1989.
cials, A Policy on Geometric Design of Highways and Streets, Yoder, E.J., and M.W. Witczak, Principles of Pavement Design, 2nd
AASHTO, Washington, D.C., 1990. ed., John Wiley, New York, 1975.

CHAPTER 21
STORM DRAIN DESIGN

William S. Springer, PE
INTRODUCTION whereas major system components require not only the

Drainage systems are divided into two categories: major and peak discharges but the time variation of runoff for an ef-
minor. The minor system, which consists of swales, small fective design. This chapter will focus on computing runoff
ditches, gutters, small pipes and the other various types of for small drainage areas for the purpose of sizing minor
inlets and catch basins, collects and conveys runoff to a system components, such as surface inlets and pipe sys-
discharge area or impoundment. Components in the minor tems. Analysis of minor systems includes hydraulic head
system are sized to carry runoff generated by the more fre- loss through the system and hydraulic grade line compu-
quent, short duration, storm events. The major drainage tations. Also included in this chapter is a discussion on
system includes natural streams, channels, ponds, lakes, re- culvert design and analysis.
tention and detention facilities, large pipes, and culverts
LEGAL ASPECTS OF DRAINAGE
(see Figure 21.1). Design criteria for the major system are
based on significant amounts of rainfall produced by the The laws regarding drainage can be viewed as a subset of
less frequent, long duration, storms. a much larger body of law dealing with water resources.
Storm drain design requires two basic types of analyses: Drainage law primarily concerns the diversion and distri-
the hydrologic aspect of estimating runoff and the hydraulic bution of surface waters, and although it is under the um-
aspect of sizing the components. Although there are nu- brella of federal law, drainage law is largely governed by
merous techniques to estimate runoff, the one selected for state and local law.
a particular component’s design depends on the following: Since multiple sources of state and local law exist, the
land development engineer should be familiar with the spe-
䡲 What is being designed cific law governing the diversion and distribution of surface
waters in the place where the land is located. Law libraries
䡲 Type of input data available and local public libraries, as well as state and local agencies,
䡲 Type of output data required can provide assistance in acquiring legal resources and in-
formation. Because of the variation in state and local law,
䡲 Cost effectiveness of the technique only certain fundamental doctrines of drainage law are ad-
䡲 Required accuracy dressed in this handbook. For further assistance and guid-
ance, the engineer may wish to consult an experienced
䡲 Size of watershed attorney.
䡲 Accepted design standards of the approving agency By introducing the reader to the fundamental concepts
or agencies on which most states’ drainage laws are based, the reader
will be aware of some potential legal problems related to
Generally, the design of minor system components only drainage law and be in a position to consult with legal
requires the determination of peak runoff discharges, counsel to address the issues involved.
407
STORM DRAIN DESIGN
F I G U R E 2 1 . 1 Typical urban drainage system. Reprinted with permission from Kibler, David F., ed., Urban Stormwater Hydrology Monograph
7. Washington, D.C.: Copyright 1982 by the American Geophysical Union.
Most engineers are familiar with the scientific classifi- pects of water law in general provide for the allocation of
cation of water as it exists in its various forms (e.g., ground- certain rights; this may not extend to the basic rights as-
water and surface runoff). Unfortunately there is an sociated with most other property.
inconsistency between the scientific classifications and the A water right is property, although the rightholder may
legal classifications. Moreover, the legal classifications of not have an exclusive right. Water rights, such as those
water and its forms vary according to an individual state’s associated with lakes and rivers, may be required to be
legal definition. To further complicate the matter, laws gov- shared with others depending on the water law. Some of
erning watercourses are different from those governing sur- these rights are common property owned by each state as
face waters, the latter of which are altogether different from a trustee for its citizens, and each citizen has a right to
those governing groundwater. The engineer, when consult- access it.
ing legal counsel, needs to clarify the scientific classification
from the legal classification before applying appropriate le- Fundamental Water Doctrines for Diffused Surface Water
gal principles. From a legal perspective, diffused surface waters are the
Most state and local courts recognize that the landowner uncollected flow from precipitation, melting snow, or spring
also owns the diffused surface water, to the extent that the waters that spread over the surface of the earth. This water
landowner has rights to capture, use, or sell it within the appears as puddles, sheet, and overland flow and is con-
limits of applicable water laws. Whereas the layman per- sidered surface water until it reaches well-defined water
ceives ownership of property as something that can essen- courses or standing bodies of water. The exact definition of
tially be bought and sold freely, the legal concept of diffused surface waters varies from state to state. There is
property and ownership pertains to rights that are owned some disagreement among states as to what extent marshes,
by the rightholder. A legal right is the assurance that an swamps, and wetlands are surface waters.
activity is protected by the legal system, entitling the right- Drainage law prescribes the rights of a landowner to re-
holder to enforceable duties with other people. A set of legal pel surface water at the boundaries of his land and to expel
rights, that a rightholder holds exclusively, is called prop- the surface water once it has entered his land. The disposal
erty. Hence, in the legal sense, ownership of property is the of surface water becomes necessary when a landowner de-
owning of legal rights. For most property, the basic rights velops or makes improvements to the land that increases,
of ownership include the right to possess it, use it, dispose diverts, or impedes natural flows. Repelling and expelling
of it, and exclude everyone else from interfering with it for surface waters often becomes necessary since downstream
an indefinite period of time. Drainage laws and other as- property is affected by the actions of upstream landowners.

STORM DRAIN DESIGN
21 䡲 STORM DRAIN DESIGN 409
Such situations frequently occur in urban settings of land a reasonable use rule. Under the reasonable use pretext,
development projects. As a developer, you take on a legal diffused surface waters may be obstructed and diverted if
liability to mitigate the impacts of runoff changes created done without malice or negligence and the obstruction or
by your project on the downstream landowner, especially diversion is incidental to ordinary use, improvement or pro-
since the downstream landowner has the recourse to hold tection of the land. One court stated the rule as follows:
the developer liable. This legal liability of the developer is
the premise for many of the local stormwater management, In effecting a reasonable use of land for a legitimate purpose
adequate outfall, and erosion and sediment control guide- a landowner, acting in good faith, may drain his land of
surface waters and cast them as a burden upon the land of
lines required for permit and local approval of a project.
another, although such drainage carries with it some waters
Three basic rules, fundamental to most state laws, regarding which otherwise would never have gone that way but
drainage are: (1) common enemy rule (often mistakenly re- would have remained on the land until they were absorbed
ferred to as common-law rule); (2) natural flow (or civil by the soil or evaporated in the air, if (a) there is a reason-
law) rule; (3) reasonable use rule. able necessity for such a drainage; (b) reasonable care be
Common Enemy Rule. The common enemy rule regards taken to avoid unnecessary injury to the land receiving the
diffused surface waters as an enemy common to all property burden; and (c) if the utility or benefit accruing to the land
owners. This rule states that the landowner is allowed to drained reasonably outweighs the gravity of the harm re-
take whatever measures are necessary to repel or expel dif- sulting to the land owner receiving the burden; and (d), if
fused surface water effectively regardless of the damage to where practicable it is accomplished by reasonably improv-
his neighbors’ lands. This rule is circular in its definition ing and aiding the normal and natural system of drainage
according to its reasonable carrying capacity, or if, in the
and as such creates a contradiction. Suppose the upper
absence of a practicable natural drain, a reasonable and fea-
landowner uses some effective measures to expel waters sible artificial drainage system is adopted.1
onto the lower landowner in order to protect his land. The
lower landowner, in order to protect his land, then erects Another court has used identical ruling of part (c) in
a barrier or takes other effective measures. These measures applying the reasonable use rule.2 The interpretation of rea-
may result in flooding the upper landowner. Under strict sonableness is determined by circumstances of each case.
interpretation of the common enemy rule, both landowners In general, the courts look unfavorably upon those actions
have the right to perform (without liability) as described, that cause damage if those damages could have reasonably
and the conflict is not resolved. been avoided.
The Civil Law Rule. Under the civil law rule, contrary to The legal principles that govern the right to use the wa-
the common enemy rule, each piece of land has an ease- ter flowing in a watercourse on one’s land are different than
ment for the natural drainage to flow across, and the down- those laws that govern the liability for repelling or expelling
stream landowners must take the natural flows from the water from the land or even the liability for changing a
upper land. A landowner may not obstruct, divert, or col- watercourse through improvement or obstructions. The ex-
lect the natural flow of diffused surface water such that it tent to which an owner is entitled to use the water then
flows from his land in unusual quantities to the detriment falls under either the riparian doctrine or the appropriation
of the downstream landowner. The downstream landowner doctrine. Discussion of these doctrines and their application
has no obligation to accept surface water flow that has been is beyond the scope of this book.
increased ‘‘unnaturally’’ by the upper landowner. The key
word of this rule is ‘‘natural,’’ and each state adhering to RAINFALL AND RUNOFF
this doctrine has its own interpretation. The strict interpre- Every rainfall event is unique. Temporal and spatial precip-
tation of this rule severely limits what a landowner can do itation varies seasonally as well as within a storm event due
on his land without disrupting natural flows to downstream to the prevailing climatic conditions at the time of the
landowners. Some states interpret this doctrine such that storm. Just as every rainfall event is unique, the resulting
no diversion is deemed to exist if surface waters are col- runoff from a storm event is also unique. The temporal and
lected and discharged for a reasonable purpose and price spatial distribution of the precipitation affect the temporal
into a stream that is their natural watercourse. Natural and spatial distribution of runoff. Additionally, surface con-
streams generally constitute the legally recognized channel ditions such as the amount of vegetation, land use, type of
for such purposes. Some states accept this concept regard- soil, condition of the soil, topography, and other factors
less of any inadequacy of the existing natural stream. affect the volume and distribution of the runoff. When de-
Hence, the liability rests with each downstream landowner signing the individual smaller components of a storm drain
to pass the ‘‘reasonably increased’’ flows through his prop- system, the effects of the temporal and spatial distribution
erty.
Reasonable Use Rule. The civil law rule and the common
enemy rule constitute the two extremes of thought for sur- 1
Enderson v. Kelehan, 226 Minn. 163, 32 N.W.2d 286 (1948).
face water drainage law. Many courts have recognized this 2
Stouder v. Dashmer (1951) 242 Iowa 1340, 49 N.W.2d 859; Bush v. Rochester
and consequently have modified these principles to include (1934) 191 Minn. 591, 255 N.W. 256 (Chow p. 27–30).

STORM DRAIN DESIGN
of runoff have little impact. However, these effects must be 25.2 cfs is only one of an infinite number of values that
considered when designing larger components, such as de- could conceivably occur.3
tention ponds and major culverts, or when determining the Random variables are either discrete or continuous. Dis-
floodplain. crete variables are restricted to specific incremental values,
Hydrologic data are historical by nature. Unlike conven- and continuous variables can assume any value within the
tional experiments where data are collected through repe- domain of the population. For a given sample population,
tition, hydrologic data are collected through observation of a plot of the number of occurrences and the variate shows
an event (e.g., a measured amount of rainfall for a storm, how the number of occurrences are distributed over the
or the flood water depth). The variables relating to hydro- range of the variate. This is known as the frequency distri-
logic data, such as time and space variation of rainfall, ab- bution diagram. The relative frequency is the number of
stractions, surface conditions, and numerous others that occurrences, n, of a discrete variate divided by the total
affect runoff are considered continuous variables—that is, number of occurrences, N. This is also the probability of
quantitatively they can assume any real value. Because the occurrence for that discrete variate.
combinations of values of all such variables are infinite, an
exact repeat occurrence of an event, although not impos- E X A M P L E 1 : Consider the list shown in Table
sible, is very unlikely. 21.1 of mean annual stream flows for 30 years. For
The infinite number of possible rainfall and runoff events this discrete distribution (i.e., the number of years is
finite), the discharges are grouped into an arbitrarily
presents an improbable task of ever obtaining all of the
selected incremental range of 100 cubic feet per sec-
unique data potentially available in the hopes of predicting
ond (cfs), and the frequency of the groups and cu-
hydrologic events precisely and accurately. Therefore, sta-
mulative frequency of the groups is counted. The
tistical generalizations are used to represent design storm
results are shown in Table 21.2.
events. Statistics is a branch of mathematics that studies the
The frequency distribution diagram is provided in
collection and organization of data by numerical analysis.
Figure 21.2. As a point of illustration, the relative
Oftentimes inferences are made statistically about larger
frequency for a discharge occurring between 200 and
data sets using the results of related smaller data sets. That 300 cfs is 4/30, or there is a 13% (i.e., n/ N) chance
part of mathematics used to predict the likelihood of oc- for this discharge to occur based on these 30 years.
currence of a random event is probability. Statistics and For many hydrologic events, the interest is in the
probability are often used in mathematical models to per- chance occurrence of an event being equaled or ex-
form hydrologic analysis. The following brief explanation ceeded. That is, what is the probability that stream
and example on frequency analysis should provide insight flow will equal or exceed 200 cfs? This type of ques-
for the recurrence interval concept discussed later. tion is answered using a cumulative relative frequency
diagram, as shown in Figure 21.3.
Statistics and Frequency Analysis Note that the cumulated total of the relative fre-
quencies must equal 1. In cumulating the relative
For statistical analysis, hydrologic data is arranged accord-
probabilities, the probability for a discharge occurring
ing to the number of observations of a specific value or the
less than a specific discharge is read directly on the
number of observations within an interval range. A
ordinate of the cumulative distribution diagram. For
smoothed curve through these data points is a probability
this sample population, there is a 23% probability
distribution function, representing the chance occurrence
that the average annual stream flow for any given year
of a random variable. The most familiar example of a prob- will be less than 300 cfs. This is equivalent to the area
ability distribution function is the Gaussian distribution of the histogram of the frequency distribution dia-
function, more commonly known as the normal distribu- gram between 0 and 300 cfs. Hence, the chance for
tion. A simplified discussion illustrates the concepts of such the average annual stream flow to equal or exceed
a distribution function and its application. 300 cfs is 77% (⫽ 100% ⫺ 23%). As another ex-
In statistics, the whole collection of objects or the entire ample, the chance that the average annual discharge
realm of possible outcomes is termed the population or is between 200 and 300 cfs is the difference in the
universe. In most analyses, this collection is infinite or so cumulative relative frequencies between the two var-
large that it cannot be realistically attained; subsequently, iates (i.e., the area under the probability distribution
only a portion of the collection is analyzed. The analyzed diagram between the two values). Hence, there is a
portion is referred to as the sample space or sample pop-
ulation. The specific quantity that is to be analyzed is
termed the variable, and a single measurement or obser- 3
Even though a particular stream may realistically have an upper limit of the dis-
vation is the variate. For example, stream flow, a random charge, there exists an infinite set of values between 0 and the upper limit because
variable, can assume any non-negative values. A variate of it is a continuous variable.

STORM DRAIN DESIGN
TABLE 21.1 Mean Annual Stream Discharge for 30-Year Record

DISCHARGE DISCHARGE DISCHARGE DISCHARGE
YR (cfs) YR (cfs) YR (cfs) YR (cfs)
1 425 9 452 17 381 25 398

.............................. ................. ................. ............................
2 346 10 320 18 439 26 128
.............................. ................. ................. ............................
3 384 11 366 19 741 27 209
.............................. ................. ................. ............................
4 241 12 339 20 481 28 260
.............................. ................. ................. ............................
5 328 13 477 21 588 29 390
.............................. ................. ................. ............................
6 491 14 283 22 392 30 521
.............................. ................. ................. ............................
7 581 15 161 23 550
.............................. ................. ................. ............................
8 398 16 72 24 608
(0.23 ⫺ 0.10) ⫽ 0.13 probability that the flow is mathematical equation describing the distribution curve is
between 200 and 300 cfs. called the probability distribution function, shown as the
smooth dashed-line curve in Figure 21.2.
The sample population for the preceding example is a The probability of an event then becomes an integral
relatively small data set. Nonetheless, it shows that the function with the upper and lower variate values as the
probability p(x) of a variate x is considered as the proba- upper and lower limits of the integral. Mathematically,
bility of a discrete value (x ⫽ 200 cfs) falling in the range
of x to x ⫹ ⌬ (200 to 300 cfs if ⌬ ⫽ 100 cfs). As the data
increases, the incremental range for grouping discharges de- p(a ⱕ x ⱕ b) ⫽ 冕 p(x) dx
b
a
(21.1)
creases. Consequently, the number of groups increases and
the graphs become smooth continuous curves. Therefore, In other words, the probability for some value of the variate
in the limit as ⌬x becomes dx, the discrete probability dis- x, between a and b, is equal to the area under the proba-
tribution histogram becomes the probability density. The bility density function between a and b.
TABLE 21.2 Frequency for 100-cfs Increments

CUMULATIVE
RELATIVE RELATIVE
DISCHARGE NUMBER OF FREQUENCY FREQUENCY
INTERVAL OCCURRENCES (n/ N) 兺(n/N)
0 ⱕ q ⬍100 1 0.033 0.033

.....................................................................................................................
100 ⱕ q ⬍200 2 0.067 0.100
.....................................................................................................................
200 ⱕ q ⬍300 4 0.133 0.233
.....................................................................................................................
300 ⱕ q ⬍400 11 0.367 0.600
.....................................................................................................................
400 ⱕ q ⬍500 6 0.200 0.800
.....................................................................................................................
500 ⱕ q ⬍600 4 0.133 0.933
.....................................................................................................................
600 ⱕ q ⬍700 1 0.033 0.966
.....................................................................................................................
700 ⱕ q ⬍800 1 0.033 1.00

STORM DRAIN DESIGN
The normal distribution is one of the most frequently

used distributions. However, other probability distributions
are used for selected phenomena. For example, studies
show that certain hydrologic random variables have specific
types of probability distributions. These distributions are
characterized by a specific equation with several parame-
ters, whose values depend on the specific data set. The type
of distribution selected for use depends on how well it fits
the data. Certain hydrologic events tend to fit specific prob-
ability distributions more so than others.
Each distribution has specific parameters to describe the
shape and locate the distribution curve. A data set requires
these specific parameters to adequately describe it and for
the data to be meaningful. Three parameters used in de-
scribing most distributions are the mean, variance, and
skew; also known as the first, second, and third moments
of the distribution. Mean:
冘xn
1
x⫽ i (21.2)
n i⫽1
where x represents the mean of the sample population and

is the best estimate of the population mean, ␮ and n is the
number of data points. The mean is a measure of the dis-
tance from the origin to the centroid of the distribution.
F IGURE 2 1 . 2 Frequency distribution histogram superimposed Variance:
with continuous frequency distribution function, p(x).
冘 (x ⫺ ␮)
n
1
␴2 ⫽ i
2
(21.3)
n i⫽1
Since the population mean is not known, the best estimate

of the variance for the sample is
冘 (x ⫺ x)
n
1
s2 ⫽ 2
(21.4)
n⫺1 i
i⫽1
The square root of the variance is the standard deviation.

The coefficient of variation, Cv ⫽ s /x, and the variance are
used to compare relative variability among distributions.
The larger the standard deviation and the coefficient of var-
iance, the larger the spread of the distribution, as shown in
Figure 21.4. Skew:
冘 (x ⫺ ␮)
n
1
␣⫽ i
3
(21.5)
n i⫽1
Likewise the best estimate of the skewness, ␣, for a sample

population is:
冘 (x ⫽ x)
n
n
␣⫽ 3
(21.6)
(n ⫺ 1)(n ⫺ 2) i
i⫽1
A skewed distribution is not symmetrical about the mean

as shown in Figure 21.5.
The Gaussian distribution is more commonly used in the
analysis of random errors rather than hydrologic data.
Other distributions better suited to hydrologic events in-
F IGURE 2 1 . 3 Cumulative frequency histogram superimposed clude the lognormal, extreme value, gamma, and log Pear-
with continuous cumulative distribution function. son type III distributions. Please note that the application
STORM DRAIN DESIGN
F IGURE 21.4 Standard deviation versus spread of distribution.
of probability theory is a tool used to approximate the nat-

ural process—it does not represent the phenomena exactly.
Exceedence Probability and Recurrence Interval

Hydrologic events are predicted by stating their exceedence
probability or recurrence interval. The exceedence proba-
bility represents the likelihood that an event of specified
magnitude will be exceeded in a given time period. The
typical time period is one year for most hydrologic events.
The return period represents the average length of time that
will pass between events having the same magnitude. For
example, an annual flood discharge of 500 cfs that has an
exceedence probability of 0.01 means that, on the average,
there is a 1% chance that 500 cfs will be exceeded in any
year. Specifically the recurrence interval is
1
Tr ⫽ ⫻ 100 (21.7)
P
where Tr is the recurrence interval and P is the probability

in percent. Hence, a 1% exceedence probability has a re- F IGURE 21.5 Skew coefficient types.
currence interval of 100 years.
The concept of exceedence probability and recurrence
For a continuous random variable, like stream discharge,
interval is often misinterpreted. If a 500 cfs has a recurrence
the probability of occurrence is represented by the area un-
interval of 100 years, this does not imply that 500 cfs will
der the probability density function, between two distinct
occur only once in 100 years. Likewise, if a particular event
values of the variate. There is no area under the curve for
occurs today, then it will not occur for the next Tr years is
just one point.
not the proper interpretation of the recurrence interval. The
Occasionally, it is necessary to determine the probability
recurrence interval represents the statistical average number
of a specific event being exceeded within a specific time.
of years between similar events given a very long period of
The probability P of an event having a given return period
record.
Tr occurring at least once in N successive years is given as
Another common misinterpretation is the failure to rec-
ognize what is meant by the exceedence probability con-
cept. Given that a 500-cfs discharge has a 1 in 100 chance
of being exceeded in any given year does not mean that the
P⫽1⫺ 冉冊
1⫺
1
TR
N
(21.8)
exact value of 500 cfs has a 1% probability of occurrence. E X A M P L E 2 : What is the probability that a
In fact, the probability of exactly 500 cfs occurring is zero. 100-year storm will occur at least once in the next
STORM DRAIN DESIGN
25 years? Using Eq. (21.8) with Tr ⫽ 100 and N ⫽ amount of excess precipitation, that is, the amount of rain-
25, the probability is 0.222 (i.e., there is a 22% fall after all abstractions, including infiltration, evapotran-
chance that a 100-year storm will occur at least once spiration, and depression storage, have been accounted for.
in the next 25 years. In Eq. (21.8), P is known as A distinction should be recognized between intensity
risk. and depth–duration relationships. The same depth of rain-
fall can be produced by different combinations of intensities
A distinction exists between the probability of an event and durations. Conversely, the same intensity produces dif-
occurring at least once and exactly once in a given time ferent depths of rainfall for various durations. The impor-
period. Another form of the risk equation determines the tant concept in design is to specify two of the three
probability of an event occurring a precise number of times parameters (intensity, duration, and frequency) for the de-
in a given period. In this equation, sign storm to be meaningful.
(N!) 冉冊冉冊
1
Tr
I
1⫺
1
Tr
N⫺I Table 21.3 provides general guidelines for recurrence in-
terval storms for selected hydraulic systems typical of many
local, state, and federal requirements. The duration is spec-
P⫽ (21.9)
I! (N ⫺ I)! ified by the local public agencies.
Here, I is the exact number of times the event with Tr oc-

curs in N successive years. Intensity-Duration-Frequency Curves
The hydrologic procedure selected to establish the rainfall–
E X A M P L E 3 : What is the probability (risk) that runoff relationship determines what type of data is required
the 100-year storm will occur exactly two times in a to generate the design storm. Simple types of computational
25-year period? Substituting N ⫽ 25, Tr ⫽ 100 and procedures, such as the rational method, require basic
I ⫽ 2 in Eq. (21.9) gives 0.024, or 2.4%. intensity-duration-frequency (IDF) curves, whereas more
sophisticated hydrologic approaches require hyetographs
Design Storms (time variation of precipitation) or hydrographs (time var-
A design storm is the defined result of a statistically esti- iation of runoff) as input. Data specific to the particular
mated rainfall–runoff event used in the design of hydraulic model selected is available from various public agencies.
systems. Depending on the hydrologic technique selected, In 1961, the U.S. Weather Bureau published the ‘‘Rainfall
the design storm can be inferred from point precipitation Frequency Atlas of the United States,’’ commonly known as
depths (rainfall data), fabricated (synthetic) hydrographs, or Technical Paper No. 40 (TP-40). (At the time of this publi-
isohyetal maps using predetermined spatial storm patterns. cation, TP-40 had not been updated. However, there is
It is important to note that the design storm is not an actual some discussion that an updated version will be published.
storm of record. Rather, it is a fabricated storm compiled Additional information regarding TP-40 updates can be ob-
from average characteristics of previous storm events, and tained from the National Weather Service (NWS).) This
for convenience and standardization, most review agencies document contains rainfall depth maps of the United States
dictate the design storm(s) for use in the design process. for the 1-, 2-, 5-, 10-, 25-, and 100-year recurrence interval
Every storm produces different peak discharges of run- storms for durations of 1, 2, 3, 6, 12, and 24 hours for
off, has different times to the peak discharge, and conse- areas east of the 105⬚ meridian. For storm durations of less
quently different volumes of runoff. Therefore, a specific than 1 hour, the TP-40 information has been superseded
design storm is characterized by at least two of the follow- by National Oceanic and Atmospheric Administration Tech-
ing three items: nical Memorandum NWS HYDRO-35. Precipitation data west
of the 105⬚ meridian is available through NOAA on a state-
䡲 Duration—the length of time of the storm event
by-state basis. Examples of isopluvial maps in these docu-
䡲 Depth—the total amount of precipitation for the ments are shown in Figures 21.6 through 21.11. (Isohyets
duration of the storm event depict spatial variation of rainfall—lines that connect points
on a map of equal rainfall depth. Isopluvials are isohyets
䡲 Frequency—the average time between two events of
shown on regional rainfall maps.) Table 21.4 lists the pre-
similar duration and depth
cipitation atlas series, comparable to TP-40, for areas west
Additional criteria, used in the hydrologic design proof the 105⬚ meridian. Other selected depth-frequency ref-
cess, derived from the foregoing are: erences are listed in Table 21.5.
Point depths, such as those on TP-40, apply to areas less
䡲 Intensity—depth divided by duration than about 10 square miles. Reduction in point depths are
䡲 Volume of precipitation—depth multiplied by areal required for large catchments to account for variations of
coverage of the storm storm depths within catchment areas. A depth-area reduc-
tion chart is used to determine the percent reduction to be
It is important to recognize that the precipitation volume applied to point depths for large catchment areas. However,
is not necessarily equal to the runoff volume. Runoff is the since most catchments in land development projects are less
STORM DRAIN DESIGN
TABLE 21.3 Guidelines for Design Storms for Various Hydraulic Systems
DESIGN
HYDRAULIC SYSTEM RECURRENCE INTERVAL
Minor Storm Drain System 2- to 25-year

.....................................................................................................................
Major Storm Drain System 10- to 50-year
.....................................................................................................................
Road Culverts Crossing Minor Streams 10- to 50-year
.....................................................................................................................
Road Culverts Crossing Major Streams 25- to 100-year
.....................................................................................................................
Small On-Site Detention/Retention Ponds 2, 10, 25, 100-year
.....................................................................................................................
Large On-Site or Regional Pond 100-year to PMF*
.....................................................................................................................
Floodplains on Minor Streams 10-year to 100-year
.....................................................................................................................
Floodplains on Major Streams 100-year ⫹
* Probable maximum flood.
than 10 square miles, this is of little consequence to the duration storms and small drainage areas, the rainfall
design engineer of most land development projects. intensity is often assumed constant and the peak runoff rate
Intensity-duration-frequency (IDF) curves present hy- occurs when the entire drainage area is contributing to the
drologic data in another format for use as design storm runoff—that is, when the drainage area is in steady-state
information. These curves show precipitation intensity on equilibrium. If a storm of constant intensity begins instan-
the ordinate, duration along the abscissa, and a series of taneously, the rate of runoff for the catchment steadily in-
curves representing individual storm frequencies. The IDF creases until the entire drainage area is contributing to the
curves are developed through statistical analysis of long- discharge at the outlet point. From then on, the drainage
time series rainfall data. They graphically represent the area is in equilibrium. All precipitation is converted to run-
probability that a certain average rainfall intensity will occur off and the peak runoff remains uniform for the duration
given a duration. This is quite different from the miscon- of the constant intensity rainfall.
ception that they represent an actual duration or actual time Peak runoff from the rational method is given by,
histories of rainfall. A single IDF curve represents data from
several different storms. The IDF is fabricated from extract- Qp ⫽ CiA (21.10)
ing rainfall depths from selected time segments of longer
where Qp is the peak discharge in cfs, A is the drainage area
storms. Procedures for constructing IDF curves are dis-
in acres, C is a runoff coefficient characteristic of the ground
cussed in McPherson (1978). These curves are mainly used
surface (0 ⬍ C ⬍ 1), and i is the averaged rainfall intensity
in conjunction with the rational method for determining
in inches per hour (in./hr). The precision of the peak dis-
peak runoff. See Figure 21.12 for a typical IDF curve.
charge depends on the estimated values of C and i. The
Intensity-duration-frequency curves are available
averaged rainfall intensity is a function of the time of con-
through many local agencies such as the state highway de-
centration of the drainage area.
partments and the Soil Conservation Service (SCS). In rare
The rational method is best utilized for small drainage
cases where IDF curves cannot be obtained, they can be
areas. Most localities have restrictions on the applicability
developed from U.S. Weather Service Maps of TP-40 and
of the rational method, ranging from 20 to 200 acres. Com-
HYDRO-35 or from frequency analysis using local rainfall
mon practice limits the use of the rational method to areas
information. Discussions on developing IDF curves through
less than 100 acres. Other jurisdictions also place time-of-
frequency analysis are provided in Chow and in American
concentration restrictions on the use of the rational method,
Geophysical Union (AGU) in the references. Besides TP-40
limiting the maximum time of concentration to 60 minutes.
and HYDRO-35, the NWS provides other documents relat-
ing the depth-duration-frequency of storms as listed in Ta-
ble 21.5. Runoff Coefficient
In Eq. (21.10), the product iA can be considered as the
RATIONAL METHOD FOR PEAK DISCHARGE inflow to the catchment while also representing the maxi-
For small urban drainage areas, common in minor storm mum possible runoff rate. The ratio of peak discharge, Qp,
drainage design, it is assumed that short-duration, high- to inflow, iA, is the runoff coefficient, C. This coefficient can
intensity storms are the cause of flooding. For such short- be considered as a lump-sum parameter that accounts for
STORM DRAIN DESIGN
F IGURE 21.6 Two-year 2-hour isopluvial map.

STORM DRAIN DESIGN
F IGURE 21.7 Two-year 24-hour isopluvial map.

STORM DRAIN DESIGN
F IGURE 21.8 Ten-year 2-hour isopluvial map.

STORM DRAIN DESIGN
F IGURE 21.9 One-hundred-year 2-hour isopluvial map.

STORM DRAIN DESIGN

STORM DRAIN DESIGN

STORM DRAIN DESIGN
TABLE 21.4 NOAA Atlas 2: Precipitation Atlas of the Western United States
Vol. I, Montana Vol. V, Idaho Vol. IX, Washington

.....................................................................................................................
Vol. II, Wyoming Vol. VI, Utah Vol. X, Oregon
.....................................................................................................................
Vol. III, Colorado Vol. VII, Nevada Vol. XI, California
.....................................................................................................................
Vol. IV, New Mexico Vol. VIII, Arizona
.....................................................................................................................
Technical Paper 42, Puerto Rico and Virgin Islands, 1961
.....................................................................................................................
Technical Paper 43, Hawaii, 1962
.....................................................................................................................
Technical Paper 47, Alaska, 1963
abstractions, antecedent moisture conditions and other var- Other localities account for the change in C-coefficient
iables affecting the runoff rate. Table 21.6 identifies the versus recurrence interval by using a correction factor. For
ASCE’s (American Society of Civil Engineers) version of the example, using the correction factor, Eq. (21.10) would be-
runoff coefficient, and the standards used in Austin, Texas, come
are shown as an example in Table 21.7.
Note that the coefficient, C, is also a function of the Qp ⫽ Cf CiA (21.10a)
recurrence interval of the storm. The reason for this func-
tion is an attempt to approximate soil saturation conditions. where the correction factor Cf varies by recurrence interval.
For larger storm events, it is agreed that the soil has already Comparing the City of Austin example in Table 21.7, the
been saturated to such an extent that it no longer has the C coefficient would remain the same for all storms; how-
infiltration characteristics associated with everyday condi- ever, the Cf factor would change for storms greater than the
tions. Therefore, since the soil is saturated, the rainfall will 2-year event. Cf would equal 1.066, 1.107, 1.178, 1.233,
produce more runoff. The greater the saturation of the soil, 1.301, and 1.370 for the 5-, 10-, 25-, 50-, 100-, and 500-
the higher the C coefficient and, hence, the greater the run- year events. Check with the local agency to determine
off. whether correction factors exist.
TABLE 21.5 NWS Depth-Duration-Frequency References
U.S. Weather Bureau, ‘‘Generalized Estimate of Probable Maximum Precipitation and Rainfall Frequency Data for Puerto
Rico and Virgin Islands for Areas to 400 Square Miles, Durations to 24 Hours, and Return Periods from 1 to 100
Years,’’ Technical Paper No. 42, 1962.
.....................................................................................................................
U.S. Weather Bureau, ‘‘Rainfall Frequency Atlas of Hawaiian islands for Areas to 200 Square Miles, Durations to 24
Hours, and Return Periods from 1 to 100 Years,’’ Technical Paper No. 43, 1962.
.....................................................................................................................
U.S. Weather Bureau, ‘‘Rainfall Frequency Atlas of the United States for Durations from 30 Minutes to 24 Hours and
Return Periods from 1 to 100 Years,’’ Technical Paper No. 40, 1963, applicable to States East of the 105th Meridian.
.....................................................................................................................
U.S. Weather Bureau, ‘‘Probable Maximum Precipitation and Rainfall Frequency Data for Alaska for Areas to 400
Square Miles, Durations to 24 Hours and Return Periods from 1 to 100 Years,’’ Technical Paper No. 47, 1963.
.....................................................................................................................
U.S. Weather Bureau, ‘‘Two-to-Ten Day Precipitation for Return Periods of 2 to 100 Years in the Contiguous United
States,’’ Technical Paper No. 49, 1964, applicable to the contiguous United States.
.....................................................................................................................
NOAA National Weather Service, ‘‘Atlas 2: Precipitation Atlas of the Western United States,’’ 1973, applicable to the 11
Western States.
.....................................................................................................................
NOAA National Weather Service, ‘‘Five- to 60-Minute Precipitation Frequency for the Eastern and Central United
States,’’ Technical Memorandum NWS HYDRO-35, 1977.

STORM DRAIN DESIGN
F IGURE 21.12 Intensity-Duration-Frequency Curves.
冘 CA
m
SCS methodology for hydrologic modeling (TR-55) clas-
sifies soil series into four hydrologic groups (A, B, C, D) i⫽1
i i
according to soil infiltration and permeability characteris- Cw ⫽ (21.11)

AT
tics. Soils in group A have the highest infiltration rates—
that is, the lowest runoff potential—and group D soils have where Cw is the weighted C coefficient, Ai is the area of the
the highest runoff potential. Table 21.8 is useful in that it sub-area with Ci coefficient, and AT is the total area of the
correlates the C coefficient to hydrologic soil groups and catchment.
slope ranges with various types of land use. Whenever a
single catchment area consists of several areas with different Time of Concentration
C coefficients, a weighted coefficient is computed. The The time of concentration is the time for water to flow from
weighted coefficient is found by the most hydraulically remote point of the drainage area to
STORM DRAIN DESIGN
TABLE 21.6 Runoff Coefficients C Recurrence Interval ⱕ 10 yearsa

DESCRIPTION RUNOFF CHARACTER RUNNOFF
OF AREA COEFFICIENTS OF SURFACE COEFFICIENTS
Business Pavement
Downtown 0.70–0.95 Asphalt or concrete 0.70–0.95
Neighborhood 0.50–0.70 Brick 0.70–0.85
.....................................................................................................................
Residential Roofs
Single family 0.30–0.50 Lawns, sandy soil
Multiunits, detached 0.40–0.60 Flat, 2% 0.05–0.10
Multiunits, attached 0.60–0.75 Average, 2–7% 0.10–0.15
Residential, suburban 0.25–0.40 Steep, 7% or more 0.15–0.20
Apartment 0.50–0.70 Lawns, heavy soil
.....................................................................................................................
Industrial Flat, 2% 0.13–0.17
Light 0.50–0.80 Average, 2–7% 0.18–0.22
Heavy 0.60–0.90 Steep, 7% or more 0.25–0.35
Parks, cemeteries 0.10–0.25
Railroad yard 0.20–0.35
Unimproved 0.10–0.30
Source: From ‘‘Design and Construction of Sanitary and Storm Sewers,’’ ASCE Manual of Practice No. 37, revised by D. Earl Jones, Jr., 1970.
a
For 25- to 100-yr recurrence intervals, multiply coefficient by 1.1 and 1.25, respectively, and the product cannot exceed 1.0.
the outlet point. Recognize that this does not imply the Generally, for use in the rational method, the time of con-
most distant point in terms of length. Rather, it is consid- centration is never taken as less than five minutes—even
ered as the longest flow time from some point in the drain- for the smallest catchment and nearly impervious ground
age area to the outlet point. For example, the point most surface. The time of concentration varies from 5 to 10
distant could be drained by storm sewers, which would minutes for paved areas with average slopes in the 2 to 10%
quicken the travel time to the outlet point, while an area range and where the flow path to the inlet is 100 to 500
closer to the outlet point would travel over natural terrain, ft. For grassed areas, the time of concentration may vary
thus slowing it down. When runoff from the most hydrau- between 10 to 30 minutes for flow paths between 100 and
lically remote point reaches the outlet, the entire catchment 500⫹ ft.
area is then contributing to the discharge. There are numerous empirical methods to determine the
The time of concentration is the sum of two compo- inlet time of concentration. The method selected depends
nents: (1) the overland flow time (or inlet time) and (2) the on the information available and the preferences dictated
channel (or conveyance) time. Overland flow is typically by local review agencies. Some of the various methods are
thought of as flowing as a thin layer without any significant listed in Table 21.9. Two of these methods are subsequently
depth, before it concentrates in defined swales and chan- discussed.
nels. This could also be referred to as inlet time, since over- One of the better-known methods that relates the over-
land flow is basically confined to a short stretch draining land flow time to slope and length parameters is the Kirpich
to a catchment, such as a street inlet. Channel time is that equation. Initially, the equation was developed for small ag-
part of the flow time when the runoff proceeds as concen- ricultural watersheds with drainage areas less than 200
trated flow in perhaps irregular but well defined channels. acres. Over time, adjustment factors have been applied to
Often, time is estimated using the average velocity for the the equation for application to pavement surfaces (see Table
hydraulic characteristics of the channel. Although overland 21.9). The Kirpich equation is
flow is occasionally referred to as sheet flow—that is, flow
over plane surfaces—it should not, in the context of the
rational method, be confused with the SCS’s hydrologic def-
tc ⫽ 0.0078 冉冊
L0.77
S 0.385
(21.12)
inition of sheet flow and overland flow. Refer to Chapter where tc is the time of concentration in minutes, L is the
23–Stormwater Management Facilities for discussion of length of the flow path in feet and S is the average slope
SCS hydrology. of the flow path ⫽ ⌬Elev/ L.
The time of concentration varies according to hydraulic Manning’s kinematic solution, in the form shown in Eq.
characteristics of the watershed and the storm event itself. (21.13), can be used to compute sheet flow travel time.
STORM DRAIN DESIGN
TABLE 21.7 Runoff Coefficients for Use in the Rational Method

RETURN PERIOD (YEARS)
CHARACTER OF SURFACE 2 5 10 25 50 100 500
Developed
Asphaltic 0.73 0.77 0.81 0.86 0.90 0.95 1.00
Concrete/roof 0.75 0.80 0.83 0.88 0.92 0.97 1.00
Grass areas (lawns, parks, etc.)
Poor condition (grass cover less than 50% of the area)
Flat, 0–2% 0.32 0.34 0.37 0.40 0.44 0.47 0.58
Average, 2–7% 0.37 0.40 0.43 0.46 0.49 0.53 0.61
Steep, over 7% 0.40 0.43 0.45 0.49 0.52 0.55 0.62
Fair condition (grass cover on 50% to 75% of the area)
Flat, 0–2% 0.25 0.28 0.30 0.34 0.37 0.41 0.53
Average, 2–7% 0.33 0.36 0.38 0.42 0.45 0.49 0.58
Steep, over 7% 0.37 0.40 0.42 0.46 0.49 0.53 0.60
Good condition (grass cover larger than 75% of the area)
Flat, 0–2% 0.21 0.23 0.25 0.29 0.32 0.36 0.49
Average, 2–7% 0.29 0.32 0.35 0.39 0.42 0.46 0.56
Steep, over 7% 0.34 0.37 0.40 0.44 0.47 0.51 0.58
.....................................................................................................................
Undeveloped
Cultivated land
Flat, 0–2% 0.31 0.34 0.36 0.40 0.43 0.47 0.57
Average, 2–7% 0.35 0.38 0.41 0.44 0.48 0.51 0.60
Steep, over 7% 0.39 0.42 0.44 0.48 0.51 0.54 0.61
Pasture/range
Flat, 0–2% 0.25 0.28 0.30 0.34 0.37 0.41 0.53
Average, 2–7% 0.33 0.36 0.38 0.42 0.45 0.49 0.58
Steep, over 7% 0.37 0.40 0.42 0.46 0.49 0.53 0.60
Forest/woodlands
Flat, 0–2% 0.22 0.25 0.28 0.31 0.35 0.39 0.48
Average, 2–7% 0.31 0.34 0.36 0.40 0.43 0.47 0.56
Steep, over 7% 0.35 0.39 0.41 0.45 0.48 0.52 0.58
Note: The values in the table are the standards used by the City of Austin, Texas. Used with permission.
(0.93)(NL)1 / m 1. Assume a value of i.

Tt ⫽ (21.13)
(i)(m⫺1 / m )S 1 / 2m 2. Use Eq. 21.13 to find Tt.
where Tt is the travel time in minutes, n is Manning’s rough- 3. Find the actual rainfall intensity from IDF chart
ness coefficient adjusted for overland flow conditions due for storm duration of computed Tt.
to an increase in friction for very shallow flows (see Table
4. Compare the assumed value of i to the one read
21.10), L is the flow length in feet, i is rainfall intensity
from the IDF curve. If they are not close, repeat steps
(in./hr), and S is the average land slope (ft/ft) of the over-
1 through 4.
land flow path. The exponent m varies from 1.67 to 3.0
depending on whether the overland flow regime is laminar Figures 21.13 and 21.14 represent nomographs used to
or turbulent. For fully turbulent flow, m is taken as 1.67. solve the time of concentration equations for the Kirpich
Use of this equation is limited to very shallow depths (⬍0.1 method and the Manning’s kinematic solution, respectively.
ft) and for L ⬍ 300 ft. The solution to this equation is a Large catchments will require the consideration of sev-
trial and error procedure performed as follows: eral flow paths in determining which represents the time of
STORM DRAIN DESIGN
T A B L E 2 1 . 8 Runnoff Coefficients for the Rational Formula

by Hydrologic Soil Group and Slope Range
A B C D
LAND USE 0–2% 2–6% 6%ⴙ 0–2% 2–6% 6%ⴙ 0–2% 2–6% 6%ⴙ 0–2% 2–6% 6%ⴙ
Cultivated land 0.08a 0.13 0.16 0.11 0.15 0.21 0.14 0.19 0.26 0.18 0.23 0.31
0.14b 0.18 0.22 0.16 0.21 0.28 0.20 0.25 0.34 0.24 0.29 0.41
.....................................................................................................................
Pasture 0.12 0.20 0.30 0.18 0.28 0.37 0.24 0.34 0.44 0.30 0.40 0.50
0.15 0.25 0.37 0.23 0.34 0.45 0.30 0.42 0.52 0.37 0.50 0.62
.....................................................................................................................
Meadow 0.10 0.16 0.25 0.14 0.22 0.30 0.20 0.28 0.36 0.24 0.30 0.40
0.14 0.22 0.30 0.20 0.28 0.37 0.26 0.35 0.44 0.30 0.40 0.50
.....................................................................................................................
Forest 0.05 0.08 0.11 0.08 0.11 0.14 0.10 0.13 0.16 0.12 0.16 0.20
0.08 0.11 0.14 0.10 0.14 0.18 0.12 0.16 0.20 0.15 0.20 0.25
.....................................................................................................................
Residential Lot 0.25 0.28 0.31 0.27 0.30 0.35 0.30 0.33 0.38 0.33 0.36 0.42
Size 1⁄8 acre 0.33 0.37 0.40 0.35 0.39 0.44 0.38 0.42 0.49 0.41 0.45 0.54
.....................................................................................................................
Lot Size 1⁄4 acre 0.22 0.26 0.29 0.24 0.29 0.33 0.27 0.31 0.36 0.30 0.34 0.40
0.30 0.34 0.37 0.33 0.37 0.42 0.36 0.40 0.47 0.38 0.42 0.52
.....................................................................................................................
Lot Size 1⁄3 acre 0.19 0.23 0.26 0.22 0.26 0.30 0.25 0.29 0.34 0.28 0.32 0.39
0.28 0.32 0.35 0.30 0.35 0.39 0.33 0.38 0.45 0.36 0.40 0.50
.....................................................................................................................
Lot Size 1⁄2 acre 0.16 0.20 0.24 0.19 0.23 0.28 0.22 0.27 0.32 0.26 0.30 0.37
0.25 0.29 0.32 0.28 0.32 0.36 0.31 0.35 0.42 0.34 0.38 0.46
.....................................................................................................................
Lot Size 1 acre 0.14 0.19 0.22 0.17 0.21 0.26 0.20 0.25 0.31 0.24 0.29 0.35
0.22 0.26 0.29 0.24 0.23 0.34 0.28 0.32 0.40 0.31 0.35 0.46
.....................................................................................................................
Industrial 0.67 0.68 0.68 0.68 0.68 0.69 0.68 0.69 0.69 0.69 0.69 0.70
0.85 0.85 0.86 0.85 0.86 0.86 0.86 0.86 0.87 0.86 0.86 0.88
.....................................................................................................................
Commercial 0.71 0.71 0.72 0.71 0.72 0.72 0.72 0.72 0.72 0.72 0.72 0.72
0.88 0.88 0.89 0.89 0.89 0.89 0.89 0.89 0.90 0.89 0.89 0.90
.....................................................................................................................
Streets 0.70 0.71 0.72 0.71 0.72 0.74 0.72 0.73 0.76 0.73 0.75 0.78
0.76 0.77 0.79 0.80 0.82 0.84 0.84 0.85 0.89 0.89 0.91 0.95
.....................................................................................................................
Open space 0.05 0.10 0.14 0.08 0.13 0.19 0.12 0.17 0.24 0.16 0.21 0.28
0.11 0.16 0.20 0.14 0.19 0.26 0.18 0.23 0.32 0.22 0.27 0.39
.....................................................................................................................
Parking 0.85 0.86 0.87 0.85 0.86 0.87 0.85 0.86 0.87 0.85 0.86 0.87
0.95 0.96 0.97 0.95 0.96 0.97 0.95 0.96 0.97 0.95 0.96 0.97
Source: Kibler, D.F. et al. Recommended Hydrologic Procedures for Computing Urban Runoff in Pennsylvania, Commonwealth of Pa., Harisburg Pa.: Dept. of
Environmental Resources, 1982.
a
Runoff coefficients for storm recurrence intervals less than 25 years
b
Runoff coefficients for storm recurrence intervals of 25 years or more

STORM DRAIN DESIGN
TABLE 21.9 Summary of Time of Concentration Formulas

METHOD AND DATE FORMULA FOR tc (min) REMARKS
Kirpich (1940) tc ⫽ 0.0078L S

0.77 ⫺0.385
Developed from SCS data for seven rural basins in Tennes-
see with well-defined channel and steep slopes (3–10%);
L ⫽ length of channel / ditch from headwater to outlet (ft)
S ⫽ average watershed slope (ft / ft) for overland flow on concrete or asphalt surfaces multiply tc
by 0.4; for concrete channels multiply by 0.2; no adjust-
ments for overland flow on bare soil or flow in roadside
ditches.
冉冊
......................................................................................................................
3 0.385
California Culverts Practice L Essentially the Kirpich formula; developed from small
(1942) tc ⫽ 60 11.9 mountainous basins in California (U.S. Bureau of Reclama-
H
L ⫽ length of longest watercourse (mi) tion, pp. 67–71 1973).
H ⫽ elevation difference between divide and outlet (ft)
......................................................................................................................
Izzard (1946) 41.025(0.007 i ⫹ c)L0.33 Developed in laboratory experiments by Bureau of Public
tc ⫽ Roads for overland flow on roadway and turf surfaces; val-
S 0.33i 0.67
i ⫽ rainfall intensity (in / hr) ues of the retardance coefficient range from 0.0070 for very
c ⫽ retardance coefficient smooth pavement to 0.012 for concrete pavement to 0.06
L ⫽ length of flow path (ft) for dense turf; solution requires iteration; product i times L
S ⫽ slope of flow path (ft / ft) should be ⱕ500.
......................................................................................................................
Federal Aviation L0.5 Developed from airfield drainage data assembled by the
Administration (1970) tc ⫽ 1.8(1.1 ⫺ C) 0.33 Corps of Engineers; method is intended for use on airfield
S
C ⫽ rational method runoff coefficient drainage problems, but has been used frequently for over-
L ⫽ length of overland flow (ft) land flow in urban basins.
S ⫽ surface slope (%)
......................................................................................................................
Kinematic wave formulas 0.94 L0.6n 0.6 Overland flow equation developed from kinematic wave
Morgali and Linsley tc ⫽ analysis surface runoff from developed surfaces; method re-
i 0.4S 0.3
(1965) L ⫽ length of overland flow (ft) quires iteration since both i (rainfall intensity) and tc are
Aron and Erborge (1973) n ⫽ Manning roughness coefficient unknown; superposition of intensity-duration-frequency
i ⫽ rainfall intensity (in / hr) curve gives direct graphical solution to tc.
S ⫽ average overland slope (ft / ft)
......................................................................................................................
SCS average velocity 1 L Overland flow charts in Figure 3-1 of TR 55 show average
charts (1975, 1986) tc ⫽ ⱕ velocity as function of watercourse slope and surface cover
60 V
L ⫽ length of flow path (ft) (see also Table 5.7.1)
V ⫽ average velocity in feet
per second from Figure 3-1
of TR 55 for various surfaces
Source: Kibler, David F., ed., Urban Stormwater Hydrology Monograph 7, Copyright 1982 by the American Geophysical Union, Washington, D.C.
concentration. The flow path with the longest travel time sider the situation given in Figure 21.15 and determine the
is typically selected for design. However, there are excep- peak discharge at the outlet using the rational method.
tions to this blanket statement. Since the rational method The rainfall intensity is given as
is best suited for homogeneous drainage areas (i.e., consis-
tent land use and topography) that increase linearly with 97.5
i⫽ (21.14)
length, both the shape of the drainage basin and its ho- T 0.83
d ⫹ 6.88
mogeneity affect the peak discharge at various points within
where Td is the intensity duration (in minutes). The tc for
the catchment. For those situations where catchment area
the entire watershed is 65 minutes. Assuming Td ⫽ tc, the
and length are not linearly related, or when the catchment
rainfall intensity is 2.51 in./hr. The weighted C coefficient
has widely varied land use, selecting the flow path with the
for the catchment is
longest tc does not always produce the peak discharge at
the specified location. The following are cases to illustrate (0.2)(60) ⫹ (0.7)(30)
this. Cw ⫽ ⫽ 0.37 (21.15)
90
The example below shows when the tc should be care-
fully considered for non-homogeneous catchments. Con- The peak discharge per the rational method is 83.6 cfs.

STORM DRAIN DESIGN
peak discharge to point P. Since the rational method is

T A B L E 2 1 . 1 0 Effective Roughness, N,
mathematically linear, the trial-and-error process is simpli-
for Overland Flow* fied, and the user should be able to identify the portion of
SURFACE N VALUE catchment A that increases discharge to point P with only
a few iterations.
Dense growth 0.40–0.50 The equation for Qp for the combined effects is
.....................................................
Pasture
Lawns
0.30–0.40
.....................................................
0.20–0.30
.....................................................
Qp ⫽ i 冋(CA)B ⫹ 冉(tc)inc
tc
冊册
(CA)
A
(21.19)
Bluegrass sod 0.20–0.50 where the (tc)inc corresponds to an incremental time of con-
.....................................................
centration greater than 20 minutes and less than 60 minutes
Short prairie grass 0.10–0.20 and i is the corresponding rainfall intensity. The incremental
.....................................................
Sparse vegetation 0.05–0.13 tc producing the largest peak discharge is the design dis-
..................................................... charge. In this case the largest discharge occurs for a rainfall
Bare clay-loam soil (eroded) 0.01–0.03 duration of 20 minutes, as shown in Table 21.11.
.....................................................
Concrete-asphalt
very shallow depths ⬍6 mm 0.10–0.15 Rational Method Summary
The rational method provides adequate results for comput-
* Hydrologic Engineering Center, U.S. Army Corps of Engineers, HEC-1 ing peak discharges as long as it is used properly, with an
Flood Hydrograph Package Users Manual, 1990.
understanding of the underlying assumptions and limita-
tions. Even with proper understanding of the rational
method, as the catchment increases in size, the results be-
Compare this to the peak discharge only from the devel- come suspect due to the assumption of a steady uniform
oped area of 108.4 cfs, i.e., rain over the entire catchment. Additionally, the inherent
uncertainties in the C coefficient are magnified as the catch-
Qp ⫽ (30 ac)(0.7)(5.16 in./hr) (21.16)
ment area increases. There is disagreement within the en-
⫽ 108.4 cfs (i ⫽ 5.16 in./hr for tc ⫽ 20 min) gineering community on the upper limit of the catchment
The peak discharge for the entire catchment is less than the size that can effectively utilize the rational method. Values
peak discharge from the developed areas. This shows of 200 acres (ac) to 1 square mile (640 ac) have been pro-
the necessity for carefully analyzing the situation when the posed. Certainly for the relatively small catchments (⬍50
catchment is nonhomogeneous. ac) encountered in minor storm drain design, the rational
Another example, illustrating the need to interpret the method should be satisfactory for use. Application of the
tc, is the occasion of composite catchments. Consider the rational method to larger catchments requires subdividing
situation where the discharge point drains two widely var- the overall catchment into subcatchments and then includ-
ied catchments, as in Figure 21.16. For this discussion, the ing the effects of channel routing.
rainfall intensity is given by Eq. (21.13). Using the rational The key element in using the rational method is proper
method and the longest tc (60 minutes), a misleading peak determination of the time of concentration. Due to the hy-
discharge at point P is calculated. The weighted C coeffi- perbolic shape of the IDF curves, a small error in tc (i.e.,
cient is rainfall duration) causes large discrepancies on the intensity.
If the estimated tc is less than the actual tc, the rainfall in-
(0.7)(30) ⫹ (0.3)(80) tensity will be too high, resulting in a high Qp. Another
CN ⫽ ⫽ 0.41 (21.17)
(30 ⫹ 80) important consideration, when performing the hydrologic
analysis, is the dynamics of the land use in the catchment.
The peak discharge is
For projects within a catchment undergoing development,
Qp ⫽ (110 ac)(0.41)(2.65 in./hr) ⫽ 119.5 cfs (21.18) the runoff coefficient should represent the catchment as it
might ultimately appear, rather than current conditions.
However, the actual peak discharge occurs earlier, when To summarize, these are the basic assumptions in the
the combined effects of all catchment B and some part of rational method:
catchment A are contributing. Without sufficient data on
catchment A, an assumption must be made on the tc to area 䡲 Rainfall intensity is uniform and constant over the
relationship of the catchment. This would require a trial- catchment and the duration of this rainfall intensity is
and-error approach to incrementally add portions of the at least as long as the time of concentration of the
drainage area of catchment A, to determine the impacts of catchment.

STORM DRAIN DESIGN
F IGURE 21.13 Time of concentration of small drainage basins (Kirpich method).

STORM DRAIN DESIGN
F IGURE 21.14 Time of concentration for overland flow, Manning’s kinematic wave formulation.
STORM DRAIN DESIGN
F IGURE 2 1 . 1 6 Composite catchments. (Ponce, Miguel Victor,

1989, Engineering Hydrology: Principles and Practices, pp. 128, 129, 138.
Adopted by permission of Pearson.)
ling in 1877. Runoff coefficients are typically higher for

the less frequent storms because of the reduction of
the effect of the rainfall abstractions. Runoff coefficients
are also increased for the higher intensity rainfalls.
F IGURE 21.15 Catchment with development at the lower end. 䡲 The frequency of the peak discharge is the same as
that of the rainfall intensity for the given time of con-
centration. However, this may not be necessarily true
䡲 The maximum rate of runoff occurs when a con- due to variations in surface conditions.
stant rainfall intensity falls on a catchment for as long
䡲 Most localities restrict the use of the rational
or longer than the time of concentration.
method to small drainage basins, ranging from 20 to
䡲 The runoff coefficient is the same for each rainfall 200 acres, and may limit the applicability of the ra-
intensity and for all return intervals. This is an as- tional method with time-of-concentrations greater than
sumption inherent in the original proposal by Kuich- 60 minutes.
TABLE 21.11 Peak Discharge for Incremental Intensity Duration

INTENSITY RAINFALL CONTRIBUTING
DURATION INTENSITY AREA OF B Qp
(min) (in/hr) (ac) (cfs)
20 5.16 26.7 149.7

.....................................................................................................................
30 4.11 40.0 135.6
.....................................................................................................................
40 3.10 53.3 114.6
.....................................................................................................................
50 2.99 66.7 122.6
.....................................................................................................................
60 2.65 80 119.3

STORM DRAIN DESIGN
Design Example for the Rational Method discharge for pipe a-c is based on the inlet time of 5
Using the rational equation to size pipes and inlets in a minutes. The area of the catchment is determined by draw-
storm drain network involves a systematic method of de- ing the drainage divides and planimetering the area.5 The
termining a time of concentration to the design point, find- runoff coefficient is determined from the land use, topog-
ing the corresponding rainfall intensity and applying the raphy and other contributing factors. From the IDF curve,
rational equation. For each new design point, a new tc and Figure 21.12, the rainfall intensity is 6.5 in./hr and the
intensity are computed to determine the corresponding corresponding peak discharge (from Eq. (21.10)) to the up-
peak discharge. per end of pipe a-c is given in column 9 as 10.4 cfs. Similar
An example will illustrate the procedure. Consider the analysis was applied to pipe b-c to find Qp ⫽ 5.9 cfs.
schematic layout in Figure 21.17. The requirement is to Consider pipe c-d. The discharge to design point c must
determine the discharge at point e using the rational account for the accumulated CA value of all contributing
method for a ten-year recurrence interval storm. A storm catchments draining to point c as shown in column 6 (1.6
drainage network is dendritic in shape—that is, the ⫹ 1.0 ⫽ 2.6). There are two flow paths that must be con-
branches of the pipe network converge in the downstream sidered to determine the tc: the overland flow from catch-
direction. As such, the discharge increases and the pipes ment I, column 7 (⫽ 5 min), plus time in pipe from a to
become larger in the downstream direction. Therefore, the c, column 15 (⫽ 2 min); or the overland flow from catch-
design begins at the most upstream catchment for a partic- ment II (⫽ 10 min) plus time in pipe from catchment II to
ular branch of the pipe network. The design discharge for point c (⫽ 0.7 min). The larger tc is 10.7 minutes. This
a pipe, using the rational method, is found by determining time is used to determine the intensity i, column 8. The
the longest time of concentration to the inlet of the pipe at peak discharge to point c is
the most upstream catchment. Recall that the time of con-
Qp ⫽ i 兺(CA) ⫽ (5.8)2.6 ⫽ 15.1 cfs (21.20)
centration is a combination of overland flow time (i.e., inlet
time) plus channel time where the time of concentration is, Point d is a surface inlet structure. The CA value used
typically, the longest accumulated time of overland flow in calculating the peak discharge at point d is the accu-
plus channel time.4 To compute the channel time in a mulated CA (⫽ 2.6) from all upstream catchments contrib-
stream, the velocity is computed from Manning’s equation uting to point d plus the CA (⫽ 1.65) that contributes the
using bank full conditions. surface runoff from catchment III. The time of concentra-
The computations are facilitated with the aid of the pipe tion is the longest flow path to point d, the flow path al-
design Table 21.12. This example is to illustrate the appli- ready shown to be b-c, plus the time of flow in pipe from
cation of the rational method; thus, the pipe design part is point c to d (⫽ 2.7 min). The total time of 13.4 minutes
ignored. The velocity for flow through the pipes is assumed is used to determine the intensity of 5.3 in/hr. The corre-
to be 2.5 fps. In actual practice, the flow time is based on sponding peak discharge is 22.8 cfs flowing through pipe
the actual discharge, pipe size, and pipe slope. The design d-e. Note that the tc used for pipe section d-e was the ac-
cumulated time from catchment II to point d. Point d is a
surface inlet with a tc of 10 minutes. If this tc had been
greater than the accumulated time from catchment II, the
intensity would have been selected using the tc from catch-
ment III instead.
Note in the foregoing example problem that the flows at
each design point are obtained by successive applications
of the rational equation. The time of concentration accu-
mulates as the design progresses downstream. Accordingly,
new rainfall intensities are determined at each design point.
One typical misuse of the rational method is to calculate
flows for each individual catchment and add them at each
successive design point. This procedure results in an over-
estimate of the design flow that accrues in the downstream
sections.
5
A drainage divide shows the area contributing runoff to a particular point. In the
F IGURE 21.17 Schematic for application of the rational
simplest case, a drainage divide is determined by starting at the inlet location or
method.
other point of interest and tracing a line that is perpendicular to the contour lines.
Eventually the line will loop back to the point of origin. However, curbs, drainage
ditches and other conveyance structures may alter the direction of the drainage
4
Some exceptions to this generalized rule have been previously discussed. divide.

TABLE 21.12 Pipe Design Table for Rational Method Design Example
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18
tc (min) TO TIME
INCR. UPPER END RAINFALL IN ACCUM.
AREA ACCUM. (OR TO INTENSITY Qp DIAM. L VEL Qmax PIPE TIME INV. INV.
FROM TO ac C AⴛC (ac) INLET) (in./hr) (cfs) (in.) (ft) SLOPE (fps) (cfs) (min) (min) UP LOW
a c 2 0.8 1.6 1.6 5 6.5 10.4 300 2.5 2.0 7.0

............................................................................................................................................................................
b c 5 0.2 1.0 1.0 10 5.9 5.9 100 2.5 0.7 10.7
............................................................................................................................................................................
c d — — — 2.6 10.7 5.8 15.1 400 2.5 2.7 13.4
............................................................................................................................................................................
d e 3 .55 1.65 4.3 13.4 5.3 22.8 50 2.5 0.3 13.7
Column Column
STORM DRAIN DESIGN
1,2 Defines the pipe section. Column 1 is the upper end and column 2 the lower end of the pipe 11 Length of pipe
3 The incremental area contributing to runoff to the pipe section; this column has an entry only if there is an 12 Upper Inv. Elev ⫺ Lower Inv. Elev
Slope ⫽
inlet at upper end of pipe L
4 The rrunoff coefficient for the incremental area (column 3) 13 Velocity of discharge in pipe, ⫽ Qp / area of flow
5 Column 3 multiplied by column 4 14 Maximum flow capacity of pipe
6 Accumulated (area ⫻ runoff coefficient) draining to the pipe section at the upper end (column 1) 15 Flow time in pipe ⫽ Vel / Length
7 Time of concentration to the upper end of the pipe section

16 Accumulated time to lower end on pipe section equal to column 7 ⫹ column 15

8 Rainfall intensity based on tc of column 7 17 Upper invert elevation of pipe
9 Peak discharge to upper end of pipe section equal to column 6 ⫻ column 8 18 Lower invert elevation of pipe
10 Pipe diameter of pipe section defined by columns 1 and 2

433
STORM DRAIN DESIGN
OPEN CHANNEL FLOW IN PIPES AND CHANNELS 䡲 Channel irregularities such as those found in natu-
The two basic forces that act on flow in an open channel ral streams. Channel irregularities include depressions
are gravity (pulling it downward) and friction (retarding its in the channel bed, humps, sand bars, ridges, etc., all
movement). These factors then have to be combined with of which change the wetted perimeter size and shape
the basic concept of continuity—that is, the flow in one of cross section. Abrupt channel changes have a larger
discrete section of channel or pipe must equal the flow out effect on the n value than small or gradual irregulari-
of that section. This is the basic premise for estimating open ties.
channel flow in channel and pipes. Therefore, open channel 䡲 Channel alignment and curvature has some impact
flow, Q, is estimated by combining the continuity equation, on flow resistance. A large radius of curvature has less
Q ⫽ VA with Manning’s equation for velocity. effect than a short radius.
Q⫽ 冉 1.49
n
⫻ R 2 / 3S 1 / 2冊 ⫻A (21.21) 䡲 Obstructions such as logs, stumps, debris, trash,
rocks, and other items that interrupt and severely alter
the flow path increase the flow resistance.
where the term in parentheses represents Manning’s velocity
for open channel flow. In Eq. (21.21), n ⫽ Manning’s co- In a circular pipe flowing full with diameter D, the hy-
efficient of roughness, R ⫽ hydraulic radius (ft), defined as draulic radius is D/4. In a pipe flowing less than full (Figure
the ratio of the cross-sectional area to the wetted perimeter, 21.19), the relationship between depth y, cross-sectional
S is the slope of the energy grade line (ft/ft), and A is the flow area A, wetted perimeter P, and hydraulic radius R is
cross-sectional area of the flow (ft2). In the equation, the given by the following relationships:
bracketed term represents the velocity of flow as per the
Manning equation. D
The cross-hatched area of Figure 21.18 shows the cross- y⫽ (1 ⫺ cos ⌰) (21.22)
2
sectional area of flow for a circular section and a trapezoidal
section. The wetted perimeter for the circular section is arc D2
A⫽ (⌰ ⫺ sin ⌰ cos ⌰) (21.23)
ABC. Line segments ABCD show the wetted perimeter on 4
the trapezoidal section.
D2
The roughness coefficient represents an estimate of the ⫽ (⌰ ⫺ 1⁄2 sin 2⌰)
resistance of flow. Large n values correspond to high resis- 4
tance to flow. Table 21.13 provides n coefficients for com- P ⫽ D⌰ (21.24)
冉冊
monly occurring channel materials.
Following are some of the factors that affect flow resis- A D sin ⌰ cos ⌰
R⫽ ⫽ 1⫺ (21.25)
tance. P 4 ⌰
䡲 Surface roughness, due to size and shape of the

grains of the material forming the wetted perimeter, in-
⫽
D
4 冉
1⫺
sin 2⌰
2⌰ 冊
creases the roughness coefficient as the coarseness of
the grains increase. Energy Losses in Pipe Networks
䡲 Vegetation is also a form of surface roughness. The Flow in a conduit is retarded by resistance and turbulence.
degree to which vegetation impacts flow resistance de- Resistance and turbulence are measured in terms of the en-
pends on density, height and type of vegetation. ergy consumed to overcome them, which is mostly in the
form of frictional losses along straight sections of the con-
duit. Turbulence is also created where there is an abrupt
change in cross section of the flow (e.g., sudden contraction
or sudden expansion) or by other interferences of the flow.
The concept of uniform flow in open channels is a balance
between the available energy that is generated by gravity
and the consumed energy of the flow resistance.
Uniform flow occurs whenever the depth, water area,
velocity, and discharge at every section in a channel reach
remain constant. For such stringent conditions to exist, not
only must channel geometry be consistent, but the drop in
potential energy (due to the fall in elevation in the channel
bed) must be equal to the energy consumed through
boundary friction and turbulence. Hence, if the channel
F IGURE 2 1 . 1 8 Cross-sectional area and wetted perimeter for geometry and slope remains constant and the reach is suf-
circular section and trapezoidal section. ficiently long, then for a given discharge there will exist one,
STORM DRAIN DESIGN
and only one, depth at which the flow will be uniform. where p/ ␥ is the pressure head,6 V 2 /2g is the velocity head
This depth is referred to as normal depth. and z is the elevation head. A plot of points given by Eq.
The energy at a particular location in a pipe is given by (21.26) at every section along a length of a pipe is known
Bernoulli’s equation: as the energy grade line (EGL). By utilizing the conserva-
p V2
E⫽ ⫹ ⫹z (21.26)
␥ 2g 6
In hydraulics, the term ‘‘head’’ is synonymous with energy.
TABLE 21.13 Values of the Roughness Coefficient n

TYPE OF CHANNEL AND DESCRIPTION MINIMUM NORMAL MAXIMUM
A. Closed Conduits Flowing Partly Full
A-1. Metal
a. Brass, smooth 0.009 0.010 0.013
b. Steel
1. Lockbar and welded 0.010 0.012 0.014
2. Riveted and spiral 0.013 0.016 0.017
c. Cast iron
1. Coated 0.010 0.013 0.014
2. Uncoated 0.011 0.014 0.016
d. Wrought iron
1. Black 0.012 0.014 0.015
2. Galvanized 0.013 0.016 0.017
e. Corrugated metal
1. Subdrain 0.017 0.019 0.021
2. Storm drain 0.021 0.024 0.030
A-2. Nonmetal
a. Lucite 0.008 0.009 0.010
b. Glass 0.009 0.010 0.013
c. Cement
1. Neat, surface 0.010 0.011 0.013
2. Mortar 0.011 0.013 0.015
d. Concrete
1. Culvert, straight and free of debris 0.010 0.011 0.013
2. Culvert with bends, connections, and some debris 0.011 0.013 0.014
3. Finished 0.011 0.012 0.014
4. Sewer with manholes, inlets, etc., straight 0.013 0.015 0.017
5. Unfinished, steel form 0.012 0.013 0.014
6. Unfinished, smooth wood form 0.012 0.014 0.016
7. Unfinished, rough wood form 0.015 0.017 0.020
e. Wood
1. Stave 0.010 0.012 0.014
2. Laminate, treated 0.015 0.017 0.020
f. Clay
1. Common drainage tile 0.011 0.013 0.017
2. Vitrified sewer 0.011 0.014 0.017
3. Vitrified sewer with manholes, inlet etc. 0.013 0.015 0.017
4. Vitified subdrain with open joint 0.014 0.016 0.018
g. Brickwork
1. Glazed 0.011 0.013 0.015
2. Lined with cement mortar 0.012 0.015 0.017
h. Sanitary sewers coated with sewage slimes, with bends and 0.012 0.013 0.016
connections
i. Paved invert, sewer, smooth bottom 0.016 0.019 0.020
j. Rubble masonry, cemented 0.018 0.025 0.030
STORM DRAIN DESIGN
TABLE 21.13 Values of the Roughness Coefficient n (Continued)

TYPE OF CHANNEL AND DESCRIPTION MINIMUM NORMAL MAXIMUM
B. Lined or Built-up Channels
B-1. Metal
a. Smooth steel surface
1. Unpainted 0.011 0.012 0.014
2. Painted 0.012 0.013 0.017
b. Corrugated 0.021 0.025 0.030
B-2. Nonmetal
a. Cement
1. Neat, surface 0.010 0.011 0.013
2. Mortar 0.011 0.013 0.015
b. Wood
1. Planed, untreated 0.010 0.012 0.014
2. Planed, creosoted 0.011 0.012 0.015
3. Unplaned 0.011 0.013 0.015
4. Plank with battens 0.012 0.015 0.018
5. Lined with roofing paper 0.010 0.014 0.017
c. Concrete
1. Trowel finish 0.011 0.013 0.015
2. Float finish 0.013 0.015 0.016
3. Finished, with gravel on bottom 0.015 0.017 0.020
4. Unfinished 0.014 0.017 0.020
5. Gunite, good section 0.016 0.019 0.023
6. Gunite, wavy section 0.018 0.022 0.025
7. On good excavated rock 0.017 0.020
8. On irregular excavated rock 0.022 0.027
d. Concrete bottom bloat finished with sides of
1. Dressed stone in mortar 0.015 0.017 0.020
2. Random stone in mortar 0.017 0.020 0.024
3. Cement rubble masonry, plastered 0.016 0.020 0.024
4. Cement rubble masonry 0.020 0.025 0.030
5. Dry rubble or riprap 0.020 0.030 0.035
e. Gravel bottom with sides of
1. Formed concrete 0.017 0.020 0.025
2. Random stone in mortar 0.020 0.023 0.026
3. Dry rubble or riprap 0.023 0.033 0.036
f. Brick
1. Glazed 0.011 0.013 0.015
2. In cement mortar 0.012 0.015 0.018
g. Masonry
1. Cemented rubble 0.017 0.025 0.030
2. Dry rubble 0.023 0.032 0.035
h. Dressed ashlar 0.013 0.015 0.017
i. Asphalt
1. Smooth 0.013 0.013
2. Rough 0.016 0.016
j. Vegetal lining 0.030 — 0.500
Reprinted from Chow, V.T., Open Channel Hydraulics, McGraw-Hill, New York, 1959. Reprinted with permission from McGraw-Hill.

STORM DRAIN DESIGN
hf ⫽ f 冉冊冉冊
L
D
V2
2g
(21.29)
where hf ⫽ the friction energy loss, f ⫽ the Darcy-Weisbach

friction factor, L ⫽ length of conduit, D ⫽ diameter of the
conduit, V ⫽ mean velocity in the conduit, and g ⫽ grav-
itational acceleration.
The Darcy-Weisbach friction factor is obtained from the
Moody diagram (see Figure xx.xx), which relates f to the
Reynolds number and the relative roughness of the con-
duit.7 Conversion of the Darcy-Weisbach friction factor f to
the Manning roughness coefficient n is given by
n ⫽ 0.0926R 1 / 6f 1 / 2 (21.30)
where R is the hydraulic radius.

In the Manning equation, the slope of the energy line S
is given as S ⫽ hf /L where hf is the friction loss and L is
the length of conduit. Substituting for S and solving for hf
F IGURE 21.19 Nomenclature for pipe flowing partially full.
in the Manning equation gives
tion-of-energy principle along with the Bernoulli equation,

hf ⫽ 冉冊29 n 2L
R4/3
V2
2g
(21.31)
the energy at point B downstream of A is less than the

energy at point A by an amount equal to the energy lost In addition to pipe friction energy losses, there are minor
between point A and B. This is mathematically expressed energy losses through manholes, bends, and other appur-
as: tenances. Energy losses through such appurtenances are
proportional to the velocity head in the appurtenance and
PA V2 P V2 are accounted for as follows:
⫹ A ⫹ zA ⫽ B ⫹ B ⫹ zB ⫹ 兺hL (21.27)
␥ 2g ␥ 2g
V2
hL ⫽ k (21.32)
where the 兺hL term accounts for the total energy lost be- 2g
tween points A and B.
The energy gradient (hydraulic slope) is defined as the where k is an empirical coefficient that accounts for the
energy loss per length of channel: energy loss for a particular appurtenance or configuration.
(Table 26.13 gives k values for various conditions.)
hL Minor energy losses through manholes and junctions are
S⫽ (21.28)
L the result of the deflection angle of the flow, exit loss as the
flow leaves the incoming pipe, and entrance losses as the
In closed conduits under pressure flow, the potential en- flow enters the discharge pipe of the manhole. As indicated
ergy plus the pressure energy in the system is given as z ⫹ by Eq. (21.32), high velocities result in high energy losses.
p/ ␥. This term, also referred to as the static head or pie- However, the energy loss through the manhole can be sig-
zometric head, represents the level to which the liquid nificantly reduced through inlet shaping. Inlet shaping pro-
would rise if a piezometer tube were installed at this loca- vides a flow trough at the bottom of the manhole to direct
tion. A continuous line drawn through the tops of these the flows from the incoming pipes to the downstream pipe.
piezometer columns is the hydraulic grade line (HGL). In Exit loss coefficients, energy loss coefficients, and other loss
open channel flow, the water surface itself is the hydraulic coefficients are typically identified in the local standards
grade line. In uniform flow, the slope of the channel, the criteria. Figure 21.20 gives some values for k as prescribed
slope of the water surface, and the slope of the hydraulic by American Association of State Highway and Transpor-
gradient are all parallel. tation Officials (AASHTO).
Head loss is attributed to pipe friction, abrupt changes In addition, losses for deflection of flows from the in-
in the cross-sectional area (due to entrance and exit of flow coming pipes to the outgoing pipe have to be considered.
to or from a reservoir or manhole) or other types of ap- When a junction or manhole has more than one incoming
purtenances and obstructions within the flow path. The two
most commonly used friction-loss equations for determin-
ing hydraulic resistance are the Darcy equation and the 7
The Reynolds number is a dimensionless parameter that is a ratio of inertial forces
Manning equation. The Darcy-Weisbach equation is given to viscous forces. Relative roughness is the ratio of element roughness size to
as conduit size. Consult basic hydraulic texts for further discussion.

STORM DRAIN DESIGN
F IGURE 2 1 . 2 0 Summary of energy losses through manholes. From Model Drainage Manual, copyright 1991 by the American Association of
State Highway and Transportation Officials, Washington, D.C. Used by permission.
STORM DRAIN DESIGN
pipe, each pipe is analyzed for the total head loss of the elevation is equal to the water surface elevation of the lake
combined effects (entrance, exit, deflection, etc.). The pipe as well as the HGL of the lake. Should the end of the pipe
producing the greatest head loss is assumed to be the con- discharge into a channel, the beginning water surface ele-
trolling pipe and the EGL and HGL is based on this greatest vation can be found from backwater computations in the
value. stream channel.
Energy losses also occur at inlets that collect surface run- Once you have established the starting point, the com-
off and discharge directly into the storm sewer system. The putations proceed in the upstream direction by adding the
water dropping into the bottom of the manhole produces energy losses attributed to exit, entrance, and junction
turbulence within the water that is already flowing through losses to the EGL.
the manhole, thus disturbing (even further) the flow from If storm sewer systems are assumed to operate with ve-
the upstream pipes. These energy losses are added to the locities in the 3–6 fps range, the HGL is approximated by
conventional losses attributed to the exit and entrance the EGL. For normal velocities in the storm drain system,
losses from the discharge ends of the incoming pipes. Other the difference between the EGL and the HGL elevations is
losses, which are less frequently encountered in the pipe less than 0.5 ft (i.e., for V ⫽ 5 fps, V 2 /2g ⬇ 0.4 ft). Al-
network, include difusor/confusor losses, losses associated though the HGL is actually lower than the EGL by this
with converging or diverging wyes, and bends. Figure 21.20 amount, a relatively small velocity head is considered neg-
summarizes the various minor energy losses through man- ligible, and many localities assume that the EGL approxi-
holes. mates the HGL. A common design practice to anticipate
and compensate for these velocity heads is to match crowns
Hydraulic Grade Line in Pipe Networks of the outgoing and incoming pipes of the manhole when
Most storm sewers are intended to operate as gravity flow the outgoing pipe is larger. If the two pipes are of equal
for the design discharge. Occasionally, due to unavoidable size, common design practice would drop the outgoing pipe
field conditions like high flow rates or low-lying flat areas approximately 0.25 to 0.50 ft to account for losses that
where little fall is available, the system is surcharged (i.e., occur within the structure.
operates as pressure flow). Even though the pipes were However, recognize that the occasion occurs, perhaps
sized to function under gravity flow, accumulated head rarely, where such approximations can be substantially dif-
losses can cause surcharge in the system if, during design, ferent. One case occurs when the discharge velocity in the
sufficient allowances were not made to compensate for the incoming pipe is significantly greater than the velocity of
accrued head losses. Surcharge in the system occurs when the outgoing pipe in a manhole. This is illustrated at struc-
the hydraulic grade line rises above the crown of the pipe. ture number 3 in the following example.
Most localities prefer the storm drainage system to op-
erate as gravity flow for the design discharge. However, sur- E X A M P L E 4 : Determine the HGL for the data
charge of the system for the design flow is tolerable if the given in Table 21.14. All pipe is reinforced concrete
hydraulic grade line is maintained below a certain limit. pipe (RCP), n ⫽ 0.015. A profile of the pipe system
Typically, this is a specified distance above the crown of the is shown in Figure 21.23.
pipe and below the ground surface elevation (e.g., the inlet In this example, the water surface is known at the
elevation or rim elevation). Some localities have developed downstream side of structure 1. The head loss
criteria requiring the storm sewer system to be evaluated through the structure is computed to find the EGL
for specified storms larger than the design storm, such as on the upstream side. The head loss through the sec-
in low-lying areas where there is little to no overland relief tion of pipe is added to this to find the EGL on the
should runoff surcharge out of the system. downstream side of the next upstream structure. The
Hydraulic grade line calculations are easily summarized process is repeated until the HGL falls below the
with the aid of an HGL calculation form in Figure 21.21. crown of the pipe or until the end of the run. Detailed
The hydraulic grade line is parallel to and below the energy computations follow with reference to HGL compu-
grade line along the length of conduit, a distance equal to tation form shown in Table 21.15. The form is util-
the velocity head V 2 /2g. Energy losses through manholes ized best if each horizontal line is computed
and other appurtenances are graphically shown as abrupt sequentially.
jumps in the EGL. Figure 21.22 is a schematic represen- Structure 1
tation of the HGL table. Columns 2, 3, and 4. Structure 1 is a headwall with pipe
Computations for the HGL begin at a position where the discharging into a reservoir at water surface (WS) eleva-
water surface elevation is known or where a beginning HGL tion ⫽ 42.5. The velocity of the water surface of the res-
elevation can easily be determined, such as with the end of ervoir is assumed to be zero if we ignore the disturbance
a pipe discharging into a lake. In this case, assuming the in the immediate vicinity of the headwall caused by the
velocity head of the water at the lake’s surface near the momentum of the incoming flow. The EGL at the down-
discharge end of the pipe is negligible, the starting EGL stream side of the headwall is

STORM DRAIN DESIGN
Hydraulic Grade Line Computation Form.

21.21
F IGURE
440
STORM DRAIN DESIGN
F IGURE 21.22 Schematic diagram for energy grade line and hydraulic grade line.
p V2 (U/S EGL)1 ⫽ 42.50 ⫹ 0.69 ⫽ 43.19 ft (21.35)

EGL ⫽ ⫹ ⫹z (21.33)
␥ 2g
Columns 20 and 21. The HGL at the upstream side of the
If, as assumed, V ⫽ 0, and we use gage pressure as the headwall is equal to the EGL minus the velocity head in
reference, then p / ␥ ⫽ 0 and the EGL is equal to the water the pipe:
surface elevation z. Because V ⫽ 0, the HGL is also the
water surface elevation (i.e., HGL ⫽ EGL ⫺ V 2 /2g). 6.692
(U/S HGL)1 ⫽ 43.19 ⫺ ⫽ 42.50 ft (21.36)
Column 11. Assuming a loss coefficient k for a square- 2g
edged headwall ⫽ 1.0. The head loss through the headwall
is Columns 6 and 7. From Manning’s equation the maximum
冉冊
discharge through the 24-inch pipe is
冉冊冉冊
V2 6.692
Hex ⫽ (kex) ⫽1 ⫽ 0.69 ft (21.34) 1.49 2 0.67
22␲
2g 2g Qmax ⫽ (0.0075)0.5
0.015 4 4 (21.37)
where V is the average discharge velocity in the pipe (V ⫽ ⫽ 17.0 cfs
Q/ A).
Column 19. On the upstream side of the headwall, the The pipe is carrying 21 cfs and is, therefore, under pres-
EGL is equal to the EGL at the downstream side plus the sure—that is, the HGL is above the crown of the pipe. The
head loss through the structure. velocity in the pipe is
TABLE 21.14 Data for HGL/EGL Example 4

FROM TO DIAMETER (in) LENGTH (ft) SLOPE (ft/ft) DISCHARGE (cfs)
4 3 15 200 0.045 15
.....................................................................................................................
3 4 21 400 0.010 15
.....................................................................................................................
2 1 24 300 0.0075 21

STORM DRAIN DESIGN
F IGURE 21.23 Plan and profile view of pipe system for Example 4.
Q 21 Hf ⫽ (0.011)(300) ⫽ 3.30 ft (21.40)

V⫽ ⫽ 2 ⫽ 6.69 fps (21.38)
A ␲2
Structure 2
4
Columns 2, 3, and 4. The EGL on the downstream side of
Columns 9 and 10. The friction slope of the water is structure 2 is equal to the EGL on the upstream side of
structure 1 plus the head loss in the pipe between struc-
冢冉冊冣
2
tures 1 and 2:
(6.69)(0.015)
Sf ⫽ ⫽ 0.011 ft/ft (21.39)
2 0.67
(D/S EGL)2 ⫽ 43.19 ⫹ 3.30 ⫽ 46.49 ft (21.41)
(1.49)
4
The HGL on the downstream side of structure 2 is one
The total head loss in the 24-inch pipe is velocity head below the EGL:

TABLE 21.15 Hydraulic Grade Line Computation Form
PROJECT: EXAMPLE PROBLEM DESIGNED BY: CHECKED BY:
DESIGN STORM: DATE: DATE:
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22
TERMINAL
STRUCTURE
FRICTION LOSS IN PIPE LOSSES JUNCTION LOSSES
1.3 0.5 hv
STRUC. D /S Hv D/S D Q V L Sf Hf Hex Hent Ho Hi Hb HT HT HT U/S IN U/S RIM
NO. EGL OUT HGL (in.) (cfs) (fps) (ft) (ft/ft) (ft) (ft) (ft) (ft) (ft) (ft) (ft) (ft) (ft) EGL (ft) HGL ELEV.
1 42.50 0 42.50 0.69 43.19 0.69 42.50

............................................................................................................................................................................
24 21 6.69 300 0.011 3.30
............................................................................................................................................................................
2 46.49 0.69 45.80 0.17 0.21 0.28 0.66 0.86 0.43 46.92 0.60 46.32 49.50
............................................................................................................................................................................
21 15 6.24 400 0.012 4.80
............................................................................................................................................................................
3 51.72 0.60 51.12 0.15 0.81 0.96 0.48 52.20 2.31 49.89 54.50
............................................................................................................................................................................
STORM DRAIN DESIGN
15 15 12.2 200 0.072 14.3

............................................................................................................................................................................
4 66.50 2.31 64.19 1.16 67.66 67.66 62.00
Column Column
1 Structure identification label 13 Contraction head loss for outflow from a nonterminal structure ⫽ kex(V 2out / 2g)
2 EGL elevation at downstream side of structure ⫽ preceding column 19 ⫹ preceding column 10 14 Expansion head loss for infflow into nonterminal manhole ⫽ kentr(V 2in / 2g)

3 Velocity head at the discharge side of the structure ⫽ V2 / 2g 15 Bend head loss due to deflection of flow through manhole (Figure 21.20(e))

4 HGL elevation ⫽ column 2 ⫺ column 3 16 Total head loss through the junction ⫽ column 13 ⫹ column 14 ⫹ column 15
5 Pipe diameter 17 Head loss for contributing flow from suface inlet ⫽ column 16 ⫻ 1.3 if surface discharge is greater than 10%
6 Discharge of the mainline flow
7 Discharge velocity 18 Reduction in head loss of column 16 for inlet shaping ⫽ column 16 or column 17 ⫻ 0.5
8 Pipe length between structures 19 EGL on the upstream side of the manhole structure ⫽ column 2 ⫹ column 11 or column 16, 17, or 18

2
9 Vn 20 Velocity head of the incoming pipe ⫽ V 2in / 2g
Friction slope ⫽ 21 HGL on the upstream side of the manhole structure ⫽ column 19 ⫺ column 20
1.49 R 2 / 3
冉冊 22 Elevation of top of manhole or inlet structure
10 Friction head loss ⫽ column 8 ⫻ column 9 (Figure 21.20(f))
11 Exit head loss at terminal structure on D / S end of run (Figure 21.20(a))
12 Entrance head loss at terminal structure on U / S end of run (Figure 21.20(b))
443
STORM DRAIN DESIGN
6.692 Structure 4. Structure 4 is a terminal structure, and there-

(D/S HGL)2 ⫽ 46.49 ⫺ ⫽ 45.80 ft (21.42)
fore only column 12 applies for computing the head loss.
2g
Columns 13, 14, 15, and 16. The head loss through the Notice the HGL elevation is above the rim elevation of the
structure is the combined effects of sudden contraction, structure. This shows that for the given discharges and pipe
sudden expansion, and momentum loss as the flow is de- design, the top of the structure is inundated by three ft of
flected through the 45⬚. Proceeding in the upstream direc- water. If the design discharges are for a frequent storm (i.e.,
tion, the head loss due to sudden contraction as the flow recurrence interval ⱕ 10 yr), this pipe design, in all like-
leaves structure 2 and enters the pipe is lihood, would be unacceptable.
H0 ⫽ k0 冉冊 V2
2g
⫽ 0.25 冉冊
6.692
2g
⫽ 0.17 ft (21.43)
HGL Summary
HGL computations are vital to the proper design and con-
struction of storm sewer systems. Keep in mind that the
The head loss for sudden expansion for incoming flow into method described in the previous sample problem is typi-
structure 2 is cal; however, many localities have additional or different
Hi ⫽ 0.35 冉冊 6.242
2g
⫽ 0.21 ft (21.44)
techniques. Some localities allow head losses at junctions
to be reduced by inlet shaping, as suggested by column 18
in the HGL spreadsheet, while others do not. Some state
Departments of Transportation (DOTs) also take conserva-
The bend loss coefficient found on Figure 21.20 is 0.47. tive approaches to bend losses and junction losses, so al-
Using the incoming velocity, ways consult the local design criteria, if available.
冉冊
Another conservative approach is to assume that the
6.242 minimum depth of the HGL along a pipe at the junction
Hb ⫽ 0.47 ⫽ 0.28 ft (21.45)
2g location (going upstream) can be no lower than a certain
depth in the pipe, such as normal depth of (Dc ⫹ D)/2.
The total head loss through the structure HT ⫽ 0.17 ⫹ For example, if calculated junction losses show that the
0.21 ⫹ 0.28 ⫽ 0.66 ft. The head loss coefficients for sud- elevation of the HGL is near the bottom of the upstream
den expansion and sudden contraction vary according to pipe, the user would start the HGL for the upstream pipe
the standard design criteria of the local jurisdiction. at (Dc ⫹ D)/2, not the calculated HGL value.
Column 17. Surface water entering through the top of the
structure disrupts the flow in the mainline and thus creates PAVEMENT DRAINAGE
head loss. AASHTO’s recommendation is to increase the Stormwater runoff on roads is a safety hazard in numerous
total head loss through the structure by 30% to account for ways. Hydroplaning, reduced visibility, and ice conditions
this additional head loss. This adjustment is only applicable are dangerous to vehicle occupants and pedestrians. In an
for surface water entering the structure in the amount equal urban setting, these hazardous conditions are substantially
to or greater than 10 to 20% of the flow in the mainline of magnified due to the increased traffic and pedestrian den-
the pipe, based on local criteria. In this case, 6 cfs ⱖ 0.1 sity. It is imperative to remove the stormwater runoff from
(15 cfs) and the adjustment is made; 1.3 (0.66) ⫽ 0.86 ft. roads quickly and efficiently to mitigate the safety risks.
Column 18. Efficiency of flow through the manhole can be Effective removal of runoff is affected by the geometric char-
improved by constructing a trough through the bottom of acteristics of the roadway, such as longitudinal slope, cross
the structure to direct the flow. This is known as inlet shap- slope, type of curb and gutter section, and ditch section.
ing. Most design standards for storm sewer manholes in- These geometric characteristics dictate the location and
corporate inlet shaping. If the storm sewer structure spacing of inlets and catch basins.
incorporates inlet shaping, the total head loss through the
structure, in this case, is reduced 50% (this value varies Flow in Curb and Gutter
according to local criteria). Column 16 (or column 17 for Most urban and suburban land development projects, of
surface inlet structures) is decreased. For this structure, col. moderate to high density, use curb or curb and gutter as
18 ⫽ 0.5(0.86) ⫽ 0.43 ft. However, hydraulic experts have an integral part of the street section. For drainage purposes,
questioned the effectiveness of inlet shaping for highly tur- the gutter is considered as that part of the pavement near
bulent excessive surcharge flows. the curb that conveys the runoff. In many cases, streets are
Structure 3. Computations for structure 3 are similar to constructed with composite gutter and pavement sections,
structures 1 and 2. Since structure 3 is a manhole type where the gutter portion has a greater cross slope than the
structure, and no surface water enters through the top, col- pavement. A composite gutter section results in a decrease
umn 17 does not apply. Note that the EGL across structure in elevation of the flow line at the face of curb relative to
3 increases, while the HGL decreases, due to the high in- where the flow line would be if the pavement were ex-
coming discharge velocity. This is one case where the HGL tended to the face of curb at the designed cross slope. In
cannot be approximated to the EGL. these instances, the gutters typically vary between 1 and 3

STORM DRAIN DESIGN
ft wide depending on local standards. The steeper cross lution to this equation for either V-shaped or triangular gut-
slope of the gutter concentrates the flow towards the gutter ter configurations.
to improve inlet efficiency and minimize the width of the The cross slope of the depressed gutter section measured
runoff as it encroaches the travel lanes (spread). relative to the pavement cross slope is designated as S⬘w and
There are some examples, such as on the inside (left) is equal to the depression divided by the width of the gut-
lane adjacent to a raised median, where composite gutters ter:
are not provided, and the roadway surface and slope tie
directly into the face of the curb. These are sometimes re- a
S⬘w ⫽ (21.47)
ferred to as header curbs, and the engineer should consider W
the lack of the gutter section when calculating flow along
curb and gutter sections. The Federal Highway Administra- Hence, the actual cross slope Sw is:
tion’s HEC-12, Drainage of Highway Pavements, is the basis
for many local guidance design standards and criteria. Sw ⫽ S⬘w ⫹ Sx (21.48)
Flow conveyed in gutter sections with uniform cross
slope is The relationship between these terms is illustrated in Figure
21.25.
0.56 5 / 3 1 / 2 8 / 3 Flow in composite gutter sections is computed by sep-
Q⫽ S S T (21.46)
n x arating the flow into two prisms: (1) the flow in the pave-
ment section and (2) the flow in the depressed gutter area.
which is a modification of the Manning equation and ac- The flow in the pavement section is:
counts for the disproportionate ratio of depth to top width
of water surface. In the equation, Q ⫽ discharge (cfs), n ⫽ 0.56 d 82 / 3S 1 / 2
Manning’s n coefficient, Sx ⫽ pavement cross, slope (ft/ft), Qs ⫽ (21.49)
nSx
S ⫽ longitudinal slope of the gutter (ft/ft), T ⫽ width of
flow or spread (ft), which is the distance from the face of where d2 ⫽ (T ⫺ W)Sx, as shown in Figure 21.26, d2 is the
curb to the waterline limits in the pavement. Values for depth of flow at the break point of the gutter–pavement
Manning’s n coefficient for various pavement types are given interface and W is the width of the gutter.
in Table 21.16. The nomograph of Figure 21.24 is the so- The flow in the gutter section is given as:
0.56(d 81 / 3 ⫺ d 82 / 3)S 1 / 2
Qw ⫽ (21.50)
T A B L E 2 1 . 1 6 Manning’s n Values for nSw
Street and Pavement Gutters where d1 ⫽ TSx ⫹ a ⫽ TSx ⫹ W(Sw ⫺ Sx), d1 is the depth
TYPE OF GUTTER RANGE OF of flow at the curb and Sw is the cross slope of the gutter.
OR PAVEMENT MANNING’S n Note that Eq. (21.50) computes the flow in prism ABCD⬘
by subtracting the flow in triangle CDD⬘ from the flow in
Concrete gutter, 0.012 triangle ABCD of Figure 21.27.
troweled finish Because of the numerous variables involved in the com-
.....................................................
putations of flow in composite gutters, a relationship be-
Asphalt pavement:
tween the gutter flow ratio Qw / Q(⫽ E0), W /T, and Sw /Sx
Smooth texture 0.013 has been developed. Figure 21.28 is a nomograph depicting
Rough texture 0.016 this relationship, and assumes that the Manning’s roughness
.....................................................
coefficient for the gutter and pavement are the same.
Concrete gutter with asphalt pavement:
In most urban areas, the allowable spread of the flow
Smooth 0.013 into the street is given in local design manuals. The general
Rough 0.015 rule of thumb for urban-type secondary streets is to limit
.....................................................
Concrete pavement: the spread to half the lane width as measured from the
curb. Some primary road designs, such as Interstates, re-
Float finish 0.014
quire that the spread not encroach at all on the travel lane.
Broom finish 0.016
..................................................... The spread is a function of the longitudinal and transverse
For gutters with small slope, where slope of the pavement. Typically, drainage design of streets
sediment may accumulate, increase involves the sizing and spacing of the inlets based on lim-
itations of the spread, with a given geometry of the street.
above values by n of 0.002
However, to determine the spread T, given other parame-
Note: Estimates are by the Federal Highway Administration. ters, involves a trial-and-error procedure since no direct so-
Reference: USDOT, FHWA, HDS-3 (1961). lution for T is available from Eqs. (21.49) and (21.50).

STORM DRAIN DESIGN
F IGURE 21.24 Nomograph for flow in triangular gutter sections. Reference: USDOT, FHWA, Drainage of Highway Pavements, HEC-12 (1984).

STORM DRAIN DESIGN
F IGURE 21.27 Flow in gutter section.

F IGURE 21.25 Composite gutter section nomenclature.
4. Often, the values for Sx, Sw, and S must be

E X A M P L E 5 : Find the spread of flow for a
interpolated on the nomograph, and this may
street section with a gutter width (W) of 2 ft, curb
contribute to some error in reading the T/ W
height ⫽ 6 in., Sw⫽ 1 in./ft, pavement cross slope of
scale. In these situations, the estimated value for
1
⁄4 in./ft (Sx ⫽ 0.0208), longitudinal slope of 3%, and
T can be used as a beginning trial value to sub-
a design discharge of 3.5 cfs (assume n ⫽ .015 for
stitute into Eqs. (21.49) and (21.50). The value
both pavement and gutter).
for T is adjusted to get Qs ⫹ Qw ⫽ Q.
1. Equations (21.49) and (21.50) can be used
simultaneously to solve for the two unknowns T Inlets
and Qw (recall that Q ⫽ Qw ⫹ Qs). Because a di- Inlets intercept surface runoff and transfer it to the pipe
rect solution is difficult due to the exponential network. The two basic types of inlets used with pavement
form of the equations, the nomograph of Figure drainage are the curb opening inlet and the gutter (or grate)
21.29 can aid the computations. inlet. The curb opening inlet collects runoff through a ver-
tical opening, along the face of curb. These inlets consist of
2. Extend a horizontal line from 0.053
a manhole structure with a throat and concrete slab fitting
[(⫽ 3.5)(0.015)] on the Qn to intersect the S ⫽
on the top. An opening in the slab allows access to the
0.03 line. From this point draw a vertical line to
structure. A gutter (or grate) inlet lies flat in the pavement
intersect the W ⫽ 2 ft line. Continue horizon-
or gutter and allows runoff to fall directly down and into
tally and intersect the Sx ⫽ 0.02 at the bottom
the system. Another type of inlet is a combination of the
left quadrant of the nomograph. Extend a vertical
curb and grate inlet. Figure 21.30 shows these various in-
line to Sw / Sx ⫽ 0.083/0.020 ⫽ 4.1. A horizontal
lets.
line drawn from this point to the T /W scale
gives a value of 4.0. This translates to a spread
of T ⫽ (2)(4.0) ⫽ 8.0 ft.
3. Check the depth at the curb:
d1 ⫽ TSx ⫹ W(Sw ⫺ Sx) (21.51)
⫽ (8.0)(0.02) ⫹ 2(0.083 ⫺ 0.02)

⫽ 0.29 ft
Since 0.29 ft ⬍ 0.5 ft, the design flow will not

overtop the curb.
F IGURE 2 1 . 2 8 Ratio of frontal flow to total gutter flow. Ref-

F IGURE 21.26 Flow in pavement section. erence: USDOT, FHWA, Drainage of Highway Pavements, HEC-12 (1984).
STORM DRAIN DESIGN
Flow in composite gutter sections. Reference: USDOT, FHWA, Drainage of Highway Pavements, HEC-12 (1984).
21.29
F IGURE
448
STORM DRAIN DESIGN
F IGURE 21.30 Various types of curb inlets and gutter inlets.
An inlet’s flow capacity is the maximum amount of run- though grate inlets may be more effective on higher longi-
off that it can intercept as determined by the combined tudinal slopes, they present more of an obstruction to
effects of longitudinal and transverse slopes of the road, pedestrians and bicycle traffic and are susceptible to clog-
roughness of the pavement, depth of flow at the inlet, and ging.
the configuration of the inlet opening. Flow through an The type of inlet used is governed by the standards of
inlet is either orifice flow or weir flow, depending on the the local jurisdiction. The department of transportation and
flow depth at the opening. In either case, the capacity of the local department of public works can be very particular
the inlet is a function of the depth of flow forcing the water about the types of inlets allowed in right-of-ways.
through the opening. For a given street geometry and flow
conditions (i.e., flow depth), a given inlet has a specific Inlet Capacity
interception capacity. When the flow exceeds the capacity Typically, the design standards for a locality include capacity
of the inlet, a portion of the flow is not intercepted. The charts, nomographs, or equations for the inlets accepted by
ratio of the intercepted flow to the total gutter flow, Qi / QT, the review agencies. Manufacturers of inlets often perform
is the efficiency of the inlet. Any flow not intercepted by their own tests on grate inlets and provide the capacity
the inlet is termed carryover or bypass flow. This bypass flow information upon request.
must be added to the runoff computed for the next down- Curb-Opening Inlets on Grade. For curb-opening-type in-
stream inlet in the analysis. Obviously there can be no lets, the length of curb opening necessary for 100% effi-
carryover from inlets located in sump (low-point) areas. Ad- ciency in a street section with undepressed gutter, and
ditionally, the designer should limit the carryover flows in constant cross slope is
pavement areas where the cross slope of the road changes
direction. This is to avoid icing over the entire pavement
width.
The physical characteristics of the street and inlet affect
LT ⫽ 0.6 Q 0.42S 0.3 冉冊
1
nSx
0.6
(21.52)
the flow velocity at the inlet. As gutter flow velocities in- where LT ⫽ curb opening length required for 100% inter-
crease, the depth at the curb decreases and the amount of ception (ft), Q ⫽ gutter flow (cfs), S ⫽ longitudinal street
by-pass flow increases. This is equivalent to a decrease in slope (ft/ft), Sx⫽ cross slope (ft/ft), and n ⫽ Manning’s n
both interception capacity and efficiency for curb opening coefficient for the pavement. The nomograph of Figure
type inlets. The effective flow depth at a curb opening inlet 21.31 can be used in lieu of the equation.
is increased by depressing the gutter along the throat For a depressed curb-opening inlet the length of opening
length. Most inlets have a 2- to 3-in. depression to improve is the same as Eq. (21.52), with the Sx term replaced by
interception capacity. Everything else being equal, increas- the equivalent cross slope term, Se. This term is used to
ing depth at the curb (by increasing pavement cross slope) account for the gutter depression. The equivalent cross
increases both the interception capacity and efficiency. Al- slope is given as

STORM DRAIN DESIGN
F IGURE 2 1 . 3 2 Curb opening and slotted-drain inlet intercep-

tion efficiency. Reference: USDOT, FHWA, Drainage of Highway Pavements,
HEC-12 (1984).
F I G U R E 2 1 . 3 1 Curb opening and slotted-drain inlet length for 2. The equivalent cross slope is:
total interception. Reference: USDOT, FHWA, Drainage of Highway Pave-
ments, HEC-12 (1984). Se ⫽ 0.0208 ⫹ 0.063(0.70) (21.57)
⫽ 0.065
3. Substituting the values into Eq. (21.52):
冉冊
Se ⫽ Sx ⫹ S⬘E
w 0 (21.53) 0.6
1
LT ⫽ 0.6(3.5)0.42(0.03)0.3
The efficiency E of a curb opening inlet is given as (0.015)(0.065)
冉冊 1.8
⫽ 22.7 ft
Qi L
E⫽ ⫽1⫺ 1⫺ (21.54) (21.58)
Q LT
Since most throat lengths are available in 2-ft in-
where L is the actual length of the curb opening. This is crements, a 24-ft throat length would be
shown graphically in Figure 21.32. specified for this situation.
Most manufacturers do not make inlets with
E X A M P L E 6 : Determine the throat length re- throats longer than 20 feet. Therefore the de-
quired for 100% interception for the values in the signer would have to consider the overflow from
preceding example this location to be included at the next down-
stream location. Or, if 100% interception is re-
1. Since this is a composite gutter section, the quired, moving the inlet upstream or adding
equivalent cross slope, Se, is used as calculated in another inlet upstream to reduce the flow to this
21.53. Given Sw /Sx ⫽ 4.1 and W / T ⫽ 0.25, Fig- structure should be considered.
ure 21.28 reads a value of E0 ⬇ 0.70 S⬘w is still Note that once Se was determined, the re-
required to solve Equation 21.53. quired throat length could have been found us-
ing Figure 21.31. Also, the answer does not
a 0.125
S⬘w ⫽ ⫽ ⫽ 0.063 (21.55) include the effects of additional inlet or local de-
w 2 pression which is standard for some state depart-
ments of transportation.
where a ⫽ w(Sw ⫺ Sx) (21.56)
⫽ 2(0.0833 ⫺ 0.0208) Curb-Opening Inlets In Sag Locations These inlets act as
⫽ 0.125 as weirs for gutter flow depths less than or equal to the
height of the opening. At depths greater than 1.4 times the
STORM DRAIN DESIGN
height of the opening, the inlet operates as an orifice. Be-

tween these depths the flow is in transition. The intercep-
tion capacity for a depressed inlet as given by the weir
equation is
Qi ⫽ Cw(L ⫹ 1.8W )d 1.5 (21.59)
where Cw is the weir coefficient (⬇ 3.0), L is the length of

the opening (e.g., throat length), W is the lateral width of
the depression, and d is the depth of flow at the curb as
measured from the normal cross slope gutter flow line. For
an undepressed inlet, W is equal to 0.
When flow in the gutter exceeds the height of the curb
opening inlet by a factor of 1.4, the opening acts as an
orifice with the capacity given as
冪2g冉d ⫺ 2冊
h
Qi ⫽ CohL 兹2gdo ⫽ Co A i (21.60)
where Co is the orifice coefficient (usually 0.67), h is the

height of the opening (ft), L is the length of the opening
(ft), do is the effective head on the center of the orifice
throat, A is the area of the opening (ft3), and di is the depth
at the lip of curb opening (ft). Typical opening configura-
tions for curb inlets are shown in Figure 21.33. The
computed capacity for the inlet depends on proper inter-
pretation of the ‘‘height’’ of the opening, since the height
depends on the configuration of the throat opening.
Grate Inlets. The capacity of a grate inlet depends on
pavement geometry, amount of flow and the configuration
of the grate. Flow through the grate is affected by the size
and spacing of the bars as well as their shape and orien-
tation with respect to flow direction.
Any jurisdiction’s design standards identify preferred
types of grates. Each type of grate has its own hydraulic
capacity chart. The Federal Highway Administration
(FHWA) identifies several types of grates and their hydrau-
lic characteristics in HEC-12. For those occasions where a
standard grate will not suffice, the reader is referred to man-
ufacturers of grates for dimensions and hydraulic charac-
teristics.
Grate Inlets in Sag Locations. Flow through grates lo-
cated at the low point of a sag vertical curve operate as weir
flow for relatively shallow depths. As the depth increases,
the flow through the inlet transitions to orifice flow. There
is no definitive depth where weir flow stops and orifice flow
begins. The range of depth for which the transition between
weir and orifice flow occurs depends on geometric and hy-
draulic characteristics of the grate. The weir equation for
grate inlets is
Q ⫽ Cw Pd 3 / 2 (21.61) F I G U R E 2 1 . 3 3 Throat configuration of curb opening inlets.

Reference: USDOT, FHWA, Drainage of Highway Pavements, HEC-12
where Cw is a weir coefficient dependent on geometry of (1984).
the opening (Cw ⬇ 3.0), P is the effective length of opening
where weir flow occurs (grates located along the face of
curb have only three sides where discharge passes through
as weir flow), and d is the depth of flow.
STORM DRAIN DESIGN
The orifice equation for grate inlets is the culvert alignment. Figure 21.35 shows four types of
inlet entrances.
Q ⫽ Cd A 兹2gd (21.62) Debris barriers are sometimes constructed on the up-
stream end to prevent material from entering and clogging
where Cd is the coefficient of discharge (⬇0.67), A is the
the culvert. The barriers are placed far enough away from
clear opening area of the grate (ft2), g ⫽ 32.17 ft/sec2 and
the entrance so that accumulated debris does not clog the
d is the depth of flow. Orifice discharge through the grate
entrance.
depends on the clear open area, which does not include
At the inlet and outlet ends of the culvert, endwalls and
space occupied by bars, vanes and other obstructions. Since
wingwalls serve as retaining walls and erosion protection
sag locations are highly susceptible to clogging by debris
for the embankment and help to inhibit piping along the
and trash, many localities require an allowance of 50% for
outside surface of the culvert. Downstream wingwalls pro-
clogging.
vide a smooth transition between the culvert and the nat-
ural stream banks.
CULVERTS
All culverts that cross underneath roadway embank-
A culvert is a relatively short length of conduit, typically ments inherently create potential stability problems for the
less than 250 ft long, used to transport water through (or embankments. The same can be said of storm sewer pipe
under) an embankment. A culvert, which acts as an en- installations. This is a function of the construction of the
closed channel through the embankment, serves as a con- culvert system. Compaction around a pipe, whether it is
tinuation of the open stream. However, flow through circular or rectangular, is more difficult than standard com-
culverts depends on entrance geometry and depth of flow paction of fill slopes. The contractor must take care in com-
at the downstream end. Consequently, flow computations pacting around culvert systems, usually requiring several
for culverts are more complex than the open channel flow ‘‘lifts’’ to compact the surrounding fill material to specifi-
analysis associated with pipes and ditches. Culverts through cation. The designer and contractor should always consider
roadway and railway embankments are designed to pass the that storm runoff will seep into roadway embankments, or
design discharge without overtopping the embankment or that groundwater tables will rise during flood events. If the
causing extensive ponding, or inundation at the upstream compaction is inadequate, water can run along the voids in
end. Local requirements may allow nominal depths over the the soil of the ‘‘uncompacted’’ portion of the culvert. When
embankments for lesser frequency storm (greater recurrence water continues to flow along a pipe or culvert, the uncom-
interval) events. pacted material slowly washes away from the surrounding
pipe, and failure of the embankment can occur. This is one
Components of the most common causes of embankment failures at cul-
Major components of a culvert include the barrel, end treat- vert installations and roadway pavement failures at storm
ments such as headwalls, endwalls, and wingwalls, outlet sewer installations. This type of failure is referred to as pip-
protection, inlet improvements, and debris control struc- ing failure.
tures. Except for the barrel, these components are used as Culverts and storm sewers are typically constructed with
the specific situation warrants. a stone base to provide support and flexibility. For most
Barrels are available in various sizes, shapes, and mate- installations, this stone base is porous and allows any water
rials. Figure 21.34 shows the commonly used culvert that is inside the embankment to travel downstream, along
shapes as well as applications of the various shapes. Selec- the path of the culvert. Typically, this aggregate base aids in
tion of shape depends on construction limitations, reducing piping failures, in that it concentrates the water
embankment height, environmental issues, hydraulic per- flowing through the embankment. However, should there
formance, and cost. The most commonly used culvert ma- be excessive ponding of water behind an embankment, the
terials are corrugated steel, corrugated aluminum and standard bedding provided at culvert installations will not
precast or cast-in-place concrete. Factors such as corrosion, be adequate to pass the seepage flow safely along the con-
abrasion, and structural strength determine the selection of duit, and piping failures could occur. The designer should
material. In cases where the culvert is located in a highly consult with a geotechnical engineer to determine appro-
visible area, the selection of shape and material may be priate countermeasures, such as concrete cradles, use of im-
based on aesthetics, as well as the functional aspects. pervious materials, or embankment draining devices such
End treatments, such as headwalls and wingwalls, protect as toe-drains to minimize the potential for piping failures.
the embankment from erosion, serve as retaining walls to
stabilize the bank and add weight to counter any buoyancy Culvert Hydraulics
effects. Ideally, the centerline of the culvert should follow In open-channel flow, either of three turbulent flow regimes
the alignment and grade of the natural channel. In many exists: subcritical flow, supercritical flow or critical flow. The
cases this cannot be done, and skewing headwalls and discharge energy, relative to the channel bed, is referred to
wingwalls helps transition the natural stream alignment to as the specific energy and is mathematically defined as

STORM DRAIN DESIGN
F I G U R E 2 1 . 3 4 Shapes and uses of corrugated conduits. Reprinted with permission from American Iron and Steel Institute, Handbook of Steel
Drainage and Highway Construction Products, 3rd ed, American Iron and Steel Institute, Washington, D.C. 1983.
STORM DRAIN DESIGN
冪 A3
Q⫽ g (21.65)
B
where A is the cross-sectional area of flow and B is the
width of the channel at the free surface of the water. Hy-
draulically, a control section restricts the transmission of the
effect of changes in flow conditions, either in the upstream
or downstream direction, depending on the state of flow.
The amount of water entering a culvert is determined by
the location of the control section. If the control section is
at the inlet (i.e., inlet control), the amount of flow into the
culvert is restricted by entrance conditions and the flow into
the culvert is less than what the culvert might actually carry.
If the control section is at the downstream end (i.e., outlet
control), the amount of flow through the barrel is controlled
by the combination of conditions on the downstream side
of the culvert, inlet configuration, and hydraulic properties
of the barrel itself.
Inlet Control
When the control section is near the inlet, only the head-
water depth and inlet configuration determines the amount
F IGURE 21.35 Four standard end inlet treatments. of water entering the culvert. In most cases, the amount of
water entering the culvert is less than what the barrel is
capable of carrying. Consequently, the barrel is flowing less
V2 than full. Conceivably, for a given inlet configuration, the
E⫽y⫹ (21.63) culvert can flow full if the headwater depth is high enough
2g
to force enough water through the inlet. The headwater
where y is the depth of flow, V is the average cross-sectional depth necessary to achieve full flow in the barrel of the
velocity, and E is the specific energy. culvert is very large and is usually not achievable given
For one particular combination of depth and velocity, for practical site constraints. Figure 21.36 illustrates the various
a specified discharge, the specific energy is a minimum. types of inlet control.
This particular discharge is the critical flow. Alternatively, For flows that do not submerge the inlet, as in A and B
critical flow is the condition of flow when, for a given en- of Figure 21.36, the flow into the culvert is modeled as
ergy content of the water, the discharge is a maximum. For weir flow. For submerged conditions, the flow into the cul-
the same discharge, flows above this minimum energy may vert is modeled as orifice flow. Equations (21.66), (21.67),
exist as either high depth–low velocity or low depth–high and (21.68) were determined from experimental data on
velocity. In the former case, flow is subcritical, the latter is culverts by the National Bureau of Standards (NBS). Equa-
supercritical flow. The parameter that distinguishes flow re- tions (21.66) and (21.67) are for unsubmerged conditions
gimes, the Froude number, is a dimensionless number. The and Eq. (21.68) is for submerged (orifice) conditions.
Froude number, as seen in Eq. (21.64), is the ratio of in- (Equation (21.67) is another form of Eq. (21.66).)
冋册
ertial forces to gravitational forces of the flow: M
HWi H Q
⫽ c⫹K ⫹ Cs (21.66)
V D D AD 0.5
FR ⫽ (21.64)
兹gdh (for Q/AD 0.5 ⱕ 3.5)
In this equation, dh is the hydraulic depth (the
cross-sectional area of flow divided by the width of the
HWi
D
⫽K 冋册
Q
AD 0.5
M
(for Q/AD 0.5 ⱕ 3.5) (21.67)
冋册
channel at the water surface), V is the velocity, and g is 2
gravitational acceleration. At critical flow, FR ⫽ 1; for sub- HWi Q
⫽c ⫹ Y ⫹ CS (21.68)
critical flow, FR ⬍ 1; and at supercritical flow, FR ⬎ 1. The D AD 0.5
location in the channel section where flow changes from (for Q/AD 0.5 ⱖ 4.0)
subcritical to supercritical flow (i.e., FR ⫽ 1) is defined as
a control section. At a control section, there exists a unique where HWi ⫽ headwater depth above inlet control section
relation between depth and discharge, given as invert (ft), D ⫽ interior height of culvert barrel (ft), Hc ⫽

STORM DRAIN DESIGN
F IGURE 21.36 Types of inlet control.
specific head at critical depth (dc ⫹ V 2 /2g) (ft), Q ⫽ dis- sumed by friction and minor losses. The energy balance is
charge (cfs), A ⫽ full cross-sectional area of culvert barrel given by
(ft2), Cs ⫽ slope correction factor (⫽ 0.7S for mitered inlets
and Cs⫽ ⫺0.5S for all other inlets where S ⫽ culvert barrel V 2u V2
HWo ⫹ ⫽ TW ⫹ d ⫹ 兺HL (21.69)
slope (ft/ft)), and K, M, c, Y are constants from Table 21.17. 2g 2g
The Federal Highway Administration has developed nu-
merous nomographs for various culvert shapes for inlet where HWo ⫽ headwater depth above the outlet invert,
control. Figures 21.37, 21.38, and 21.39 illustrate several Vu ⫽ approach velocity of the water at the inlet, TW ⫽
of these nomographs. Others are available in the Hydraulic tailwater depth above the outlet invert, Vd ⫽ discharge ve-
Design of Highway Culverts (FHWA, 1985), available through locity of the water at the outlet, and 兺 HL represents the
National Technical Information Service (NTIS), Springfield, summation of all energy losses through the barrel.
Virginia. As with pipe flow, energy losses for culverts are attrib-
uted to barrel roughness (friction), minor losses at the inlet
Outlet Control and outlet, as well as bends and other appurtenances. Sim-
When the control section is at the downstream side of the ilarly, minor losses are computed as a fraction of the velocity
culvert, flow through the culvert is either subcritical or head (kinetic energy) as given in the equation
冋册
pressure flow. Additionally, the amount of flow through the
culvert is governed by hydraulic characteristics of both the V2
h⫽k (21.70)
culvert and tailwater conditions. In culverts under outlet 2g
control, the barrel is not capable of carrying all of the water
that passes through the inlet. Figure 21.40 shows the var- where the factor k is empirically determined and depends
ious types of outlet control conditions. on geometry and hydraulic characteristics. Table 21.18 pro-
Flow through the culvert is a balance between the energy vides values of k for various entrance conditions. In most
available to pass the water through and the energy con- cases the k value for exit loss is 1.0.

456
TABLE 21.17 Constants for Inlet Control Design Equations
UNSUBMERGED SUBMERGED
SHAPE
CHART AND MONOGRAPH EQUATION
NO. MATERIAL SCALE INLET EDGE DESCRIPTION FORM K M C Y REFERENCE
1 Circular 1 Square edge w / headwall 1 0.0098 2.0 0.0398 0.67 (56) (57)
concrete 2 Groove end w / head wall .0078 2.0 .0292 .74 (56) (57)
3 Groove end projecting .0045 2.0 .0317 .69 (56) (57)
............................................................................................................................................................................
2 Circular 1 Headwall 1 .0078 2.0 0.379 .69 (56) (57)
CMP 2 Mitered to slope .0210 1.33 0.463 .75 (57)
3 Projecting .0340 1.50 0.553 .54 (57)
............................................................................................................................................................................
3 Circular A Beveled ring, 45⬚ bevels 1 .0018 2.50 .0300 .74 (57)
B Beleveled ring, 33.7⬚ bevels .0018 2.50 .0243 .83 (57)
............................................................................................................................................................................
8 Rectangular 1 30–75% wingwall flares — .026 1.0 .0385 .81 (56)
box 2 90⬚ and 15⬚ wingwall flares 1 .061 .75 .0400 .80 (56)
3 0⬚ wingwall flares .061 .75 .0423 .82 (8)
............................................................................................................................................................................
9 Rectangular 1 45⬚ wingwall flare d ⫽ .043D 2 .510 .667 .0309 .80 (8)
STORM DRAIN DESIGN
box 2 18⬚–33.7⬚ wingwall flare d ⫽ .083D .486 .667 .0249 .83 (8)
............................................................................................................................................................................
3
10 Rectangular 1 90⬚ headwall w / ⁄4䡠 chamfers 2 .515 .667 .0375 .79 (8)
box 2 90⬚ headwall w / 45⬚ bevels .495 .667 .0314 .82 (8)
3 90⬚ headwall w / 33.7⬚ bevels .486 .667 .0252 .865 (8)
............................................................................................................................................................................
3
11 Rectangular 1 ⁄4䡠 chamfers; 45⬚ skewed headwall 2 .522 .667 .0402 .73 (8)
3

box 2 ⁄4ⴖ chamfers; 30⬚ skewed headwall .533 .667 .0425 .705 (8)
3

3 ⁄4ⴖ chamfers; 15⬚ skewed headwall .545 .667 .04505 .68 (8)
4 45⬚ bevels; 10–45⬚ skewed headwall .498 .667 .0327 .75 (8)
............................................................................................................................................................................
12 Rectangular 1 45⬚ nonoffset wingwall flares 2 .497 .667 .0339 .803 (8)
box 2 18.4ⴖ nonoffset wingwall flares .493 .667 .0361 .806 (8)
3
⁄4ⴖ 3 18.4ⴖ nonoffset wingwall flares .495 .667 .0386 .71 (8)

chamfers 30⬚ skewed barrel
............................................................................................................................................................................
13 Rectangular 1 45⬚ wingwall flares, offset 2 .497 .667 .0302 .835 (8)
box 2 33.7⬚ wingwall flares, offset .495 .667 .0252 .881 (8)
Top bevels 3 18.4⬚ wingwall flares, offset .493 .667 .0227 .887 (8)
............................................................................................................................................................................
16–19 CM boxes 1 90⬚ headwall 1 .0083 2.0 .0379 .69 (57)
2 Thick wall projecting .0145 1.75 .0419 .64 (57)
3 Thin wall projecting .0340 1.5 .0496 .57 (57)
............................................................................................................................................................................
............................................................................................................................................................................
29 Horizontal 1 Square edge with headwall 1 0.0100 2.0 0.0398 0.67 (57)
ellipse 2 Groove end with headwall .0018 2.5 .0292 .74 (57)
concrete 3 Groove end projecting .0045 2.0 .0317 .69 (57)
............................................................................................................................................................................
30 Vertical 1 Square edge with headwall 1 .0100 2.0 .0398 .67 (57)
ellipse 2 Groove end with headwall .0018 2.5 .0292 .74 (57)
concrete 3 Groove end projecting .0095 2.0 .0317 .69 (57)
............................................................................................................................................................................
34 Pipe arch 1 90⬚ headwall 1 .0083 2.0 .0496 .57 (57)
18ⴖ corner 2 Mitered to slope .0300 1.0 .0463 .75 (57)
Radius CM 3 Projecting .0340 1.5 .0496 .53 (57)
............................................................................................................................................................................
35 Pipe arch 1 Projecting 1 .0296 1.5 .0487 .55 (56)
18ⴖ corner 2 No bevels .0087 2.0 .0361 .66 (56)
Radius CM 3 33.7⬚ bevels .0030 2.0 .0264 .75 (56)
............................................................................................................................................................................
36 Pipe arch 1 Projecting 1 .0296 1.5 .0487 .55 (56)
31ⴖ corner No bevels .0087 2.0 .0361 .66 (56)
Radius CM 33.7⬚ bevels .0030 2.0 .0264 .75 (56)
............................................................................................................................................................................
40–42 Arch CM 1 90⬚ headwall 1 .0083 2.0 .0379 .69 (57)
2 Mitered to slope .0300 2.0 .0463 .75 (57)
3 Thin wall projecting .0340 1.5 .0496 .57 (57)
............................................................................................................................................................................
54 Circular 1 Smooth tapered inlet throat 2 .534 .555 .0196 .89 (3)
2 Rough tapered inlet throat .519 .64 .0289 .90 (3)
............................................................................................................................................................................
55 Elliptical 1 Tapered inlet, beveled edges 2 .536 .622 .0368 .83 (3)
Inlet face 2 Tapered inlet, square edges .5035 .719 .0478 .80 (3)
3 Tapered inlet, thin edge projecting .547 .80 .0598 .75 (3)
............................................................................................................................................................................
STORM DRAIN DESIGN
56 Rectangular 1 Tapered inlet throat 2 .475 .667 .0179 .97 (3)

............................................................................................................................................................................
57 Rectangular 1 Side tapered, less favorable edges 2 .56 .667 .0466 .85 (3)
concrete 2 Side tapered, more favorable edges .56 .667 .0378 .87 (3)
............................................................................................................................................................................
58 Rectangular 1 Slope tapered, less favorable edges 2 .50 .667 .0466 .65 (3)
concrete Slope tapered, more favorable edges .50 .667 .0378 .71 (3)

Reference: FHWA, Hydraulic Design of Highway Culverts, HDS-5, 1985.

457
STORM DRAIN DESIGN
Friction loss Hf in the barrel of the culvert depends on ever gives the greatest controlling elevation. The
culvert material and geometry. Using the Manning equation, FHWA culvert design form of Figure 21.41 provides a
the friction loss is given as guide to the selection of a culvert. For the design dis-
冋册
charge, the headwater depth is computed assuming in-
29n 2L V2 let control and outlet control. The type of control that
Hf ⫽ (21.71)
R 1.33 2g produces the highest headwater depth is the governing
control for the design.
where n ⫽ Manning’s roughness coefficient, L ⫽ barrel
length, and V ⫽ average discharge velocity in the barrel. 6. After sizing the culvert for the design discharge,
The variable R is the hydraulic radius ⫽ A/ WP, where check to see that other requirements as dictated by ap-
A ⫽ cross-sectional area of the culvert and WP ⫽ wetted plicable design standards are met. Such requirements
perimeter. might include freeboard height or roadway overtopping
The head loss through a straight culvert of uniform cross for lower recurrence interval storms, effects and im-
section is pacts of upstream ponding, the need for erosion con-
冉冊
trol for excessive outlet velocities, and structural
29n 2L V2 stability.
H⫽ 1 ⫹ ke ⫹ (21.72)
R4/3 2g
Culvert Design Example
where ke is the entrance loss coefficient. For culverts with Size a concrete (n ⫽ 0.013, ke ⫽ 0.5) box culvert for the
bends, sudden expansions, and other features that create following constraints: 25-yr design discharge ⫽ 461 cfs
energy losses, additional terms are added to Eq. (21.72). with tailwater depth ⫽ 2.6 ft; 100-yr design discharge ⫽
690 cfs with tailwater depth ⫽ 4.3 ft. At least 1.5 ft of
Procedure for Culvert Design freeboard is required for the 25-year design discharge, and
the maximum allowable flow depth over the embankment
1. Determine the culvert alignment. The most desira-
for the 100-year design discharge is 12 in. The upstream
ble alignment follows the natural stream bed. However,
invert elevation ⫽ 314.2 ft, the downstream invert elevation
factors such as economics, environmental issues, main-
313.8 ft, and the top of the roadway elevation ⫽ 324.5 ft.
tenance considerations, and other site constraints
The culvert is 140 ft long. Assume flared wingwalls with
contribute to the alignment selection. Setting the align-
angle of flare between 30 and 75⬚ and square-edge condi-
ment also determines the length and slope of the cul-
tions. The minimum allowable cover over the culvert is 3.0
vert.
ft. From the given data, the constraints for the 25-year dis-
2. Select the design storm, which is frequently dic- charge are
tated by state or local criteria. For culverts crossing
roadways, the type of roadway affects the design storm. Maximum headwater depth (21.73)
For secondary roads, the recurrence interval may range ⫽ 324.5 ⫺ 1.5 ⫺ 314.2
from 10- to 25-year storm. On major highways and in-
terstates, the recurrence interval may be 50 years or ⫽ 8.8 ft
greater. Other criteria affecting design may be the free- Maximum culvert height ⫽ 324.5 ⫺ 3 ⫺ 314.2
board distance or depth of flow allowed on the road-
way for a storm other than the design storm. ⫽ 7.3 ft
3. Utilizing land use maps, topographic maps, and 314.2 ⫺ 313.8

Slope ⫽
whatever hydrologic technique is best suited for the 140
area (e.g., rational method, TR-55 methodology, re- ⫽ 0.003 ft/ft
gional equations), determine the design discharge for
the culvert. Sizing a culvert is a trial and error procedure. Estimating
a ‘‘first try’’ size becomes more intuitive with experience. In
4. Select the culvert material and shape that best
this example, select a trial HW/ D based on the maximum
conforms to the constraints of the site. Certain materi-
headwater depth and culvert height, HW/ D ⫽ 8.8/7.3 ⫽
als and shapes may not be readily available from sup-
1.2 to obtain a first approximation. (Note: When finalizing
pliers. For example, low embankment height may
the culvert design, the engineer should consider the phys-
warrant the use of elliptical pipe, or high embank-
ical characteristics of an installation and determine that the
ments may warrant structurally enhanced material.
culvert will fit safely underneath the roadway pavement
Aesthetics may also affect the selection of material and
box. This should be done by drawing a profile of the culvert
shape.
with relation to the proposed ground above the culvert. The
5. Size the culvert either using the equations for inlet thickness of the culvert should also be considered when
and outlet control or the culvert nomographs, which- profiling the system.) For inlet control conditions, use the

STORM DRAIN DESIGN
F IGURE 21.37 HDS-5 Chart 8, Nomograph for headwater depth for box culvert with inlet control.

STORM DRAIN DESIGN
F IGURE 21.38 HDS-5 Chart 1, Nomograph for headwater depth for concrete pipe culvert with inlet control.
STORM DRAIN DESIGN
F IGURE 21.39 HDS-5 Chart 2, Nomograph for headwater depth for corrugated metal pipe culvert with inlet control.

STORM DRAIN DESIGN
F IGURE 21.40 Types of outlet control.
nomograph in Figure 21.37. On the scale at the right, HW ⫽ H ⫹ h0 ⫺ LS0 (21.76)

for HW/D ⫽ 1.2, extend a straight line to the left scale
(height of box) value of 7 and read Q/ B ⫽ 68 cfs/ft on the ⫽ 2.5 ⫹ 6.1 ⫺ 140(.003) ⫽ 8.1 ft
middle scale. Therefore, a discharge of 461 cfs requires a Since the headwater depth for inlet control (⫽ 8.3 ft)
461 /68 ⫽ 6.8-foot-wide box culvert. The first trial size is and outlet control (⫽ 8.1 ft) are both less than or equal to
7⬘ ⫻ 7⬘. The corresponding headwater depth is 8.3 ft. the maximum allowable headwater depth (⫽ 8.8 ft), a
Now check the HW depth for outlet control conditions. 7⬘ ⫻ 7⬘ box culvert is an acceptable size. Also, since the
From Table 21.18 for the given headwall/wingwall config- headwater depth for inlet control is greater than the head-
uration, the entrance loss coefficient ke is 0.5. Substituting water depth for outlet control, the culvert operates as inlet
the values into Eq. (21.72) gives control.
H⫽ 冉 1 ⫹ 0.5 ⫹
(29)(0.013)2(140)
(49/28)4 / 3 冊冉 2g 冊
(461/49)2 The second part of the design is to check if the flow
depth over the road embankment for the 100-year dis-
charge is less than 12 in. From the nomograph in Figure
⫽ 2.5 ft (21.74) 21.38, extend a straight line from the left scale (height of
box ⫽ 7 ft) through the Q/ B ⫽ 690/7 ⫽ 98 cfs/ft and
The critical depth dc for the box culvert using the give data read HW/D ⫽ 1.8 on scale 1 at the left. The resulting head-
is water depth ⫽ (7 ⫻ 1.8) ⫽ 12.6 ft.
冪冉冊
2
Now determine the headwater depth for outlet control
Q conditions. From Eq. (21.72)
dc ⫽ 0.315 3 (21.75)
冉冊冉冊
B
(29)(0.013)2(140) (690/49)2
冪冉冊
2 H⫽ 1 ⫹ 0.5 ⫹
461 (49/28)4 / 3 2g
⫽ 0.315 3
7
⫽ 5.6 ft (21.77)
⫽ 5.1 ft
This same value can be obtained using the outlet control
and (dc ⫹ D)/2 ⫽ (5.1 ⫹ 7)/2 ⫽ 6.1 ft. The variable h0 is nomograph for concrete box culvert of Figure 21.42. First
the greater of either the tailwater elevation or (dc ⫹ D)/2. draw a straight line from the dimension of square box scale
Here (dc ⫹ D)/2 ⫽ 6.1 ft ⬎ TW ⫽ 2.6 ft. (7 ft ⫻ 7 ft) to the length scale value of 140 ft for ke ⫽
Finally, the headwater depth for outlet control is 0.5. Next draw a straight line from the discharge scale
STORM DRAIN DESIGN
TABLE 21.18 Entrance Loss Coefficients

OUTLET CONTROL, FULL OR PARTLY FULL ENTRANCE HEAD LOSS
He ⫽ ke 冉冊V2
2g
TYPE OF STRUCTURE AND DESIGN OF ENTRANCE COEFFICIENT ke
Pipe, Concrete
Projecting from fill, socket end (groove end) 0.2
Projecting from fill, square cut end 0.5
Headwall or headwall and wingwalls
Socket end of pipe (groove end) 0.2
Square-edge 0.5
Rounded (radius ⫽ 1⁄12 D) 0.2
Mitered to conform to fill slope 0.7
End section conforming to fill slope* 0.5
Beveled edges, 33.7 or 45⬚ bevels 0.2
Side- or slope-tapered inlet 0.2
.....................................................................................................................
Pipe or Pipe-Arch, Corrugated Metal
Projecting from fill (no headwall) 0.9
Headwall or headwall and wingwalls square-edge 0.5
Mitered to conform to fill slope, paved or unpaved slope 0.7
End section conforming to fill slope* 0.5
Beveled edges, 33.7 or 45⬚ bevels 0.2
.....................................................................................................................
Box, Reinforced Concrete
Headwall parallel to embankment (no wingwalls)
Square-edged on 3 edges 0.5
1
Rounded on 3 edges to radius of ⁄12 barrel dimension,
or beveled edges on 3 sides 0.2
Wingwalls at 30–75⬚ to barrel
Square-edged at crown 0.4
1
Crown edge rounded to radius of ⁄12 barrel dimension,
or beveled top edge 0.2
Wingwall at 10⬚–25⬚ to barrel
Wingwalls parallel (extension of sides)
*Note: ‘‘End section conforming to fill slope,’’ made of either metal or concrete, are the sections commonly available from manufacturers. From limited hydraulic
tests they are equivalent in operation to a headwall in both inlet and outlet control. Some end sections, incorporating a closed taper in their design have a
superior hydraulic performance. These latter sections can be
Reference: FHWA, Hydraulic Design of Highway Culverts, HDS-5, 1985.

STORM DRAIN DESIGN
F IGURE 21.41 Culvert design form. Reference: FHWA, Hydraulic Design of Highway Culverts HDS-5 (1984).
(⫽ 690 cfs) through the point where the previously drawn which is 2.3 ft above the road. Finding the actual depth
line intersects the turn line to the head (H) scale on the over the road is another trial-and-error procedure. For a
left. Read a value of H ⫽ 5.6 ft. given headwater (above elevation 324.5), the total flow is
The critical depth dc is the amount that the given headwater depth pushes through
the culvert plus the amount of flow going over the em-
冪冉冊
2
Q bankment. The objective is to find the headwater depth
dc ⫽ 0.315 3 (21.78) where the combined flows equal the specific design dis-
B
charge.
冪冉冊 2
690 Flow over the embankment is typically modeled as a
⫽ 0.315 3
weir. The length of the weir and depth of water over the
7
weir are difficult to determine when the road profile is a
⫽ 6.5 ft sag vertical curve or when the embankment surface has a
very irregular shape. There are various numerical methods
whereby (dc ⫹ D)/2 ⫽ (6.5 ⫹ 7)/2 ⫽ 6.8 ft. Hence, the
to approximate each of these values. Sometimes a simple
variable h0 ⫽ 6.8 ft. The headwater depth for outlet control
approximation of a broadcrested rectangular weir can be
is
used. For more complex situations, many culvert analysis
HW ⫽ H ⫹ h0 ⫺ LS0 (21.79) programs will allow for the input of the roadway profile
above the culvert and calculate the weir flow incrementally
⫽ 5.6 ⫹ 6.8 ⫺ 140(.003) ⫽ 12.0 ft over the road until the resulting discharge balances. Weir
flow is
For the 100-year discharge the culvert operates under inlet
control (i.e., 12.6 ⬎ 12.0). Qw ⫽ Cw LH 3 / 2 (21.80)
Based on the assumption of no roadway overtopping, the
headwater elevation for the 100-year discharge is 326.8, where Cw is a weir coefficient that depends on the shape

STORM DRAIN DESIGN
F IGURE 21.42 Outlet control nomograph for example problem.

STORM DRAIN DESIGN
and depth of water above the weir relative to the depth of (21.67), and (21.68) could have also been used for the
water below the weir, L is the length of the weir, and H is same purpose. The nomograph is convenient and quick;
the depth of water above the weir. For a broadcrested trap- however, the equations can be incorporated into computer
ezoidal weir, Cw ranges between 2.5 to 3.1. Refer to hy- programs or hand-held calculators. A variety of computer
draulic handbooks, such as Brater and King, for various programs are available to assist and automate the culvert
other values for different types of weirs. analysis process. There are also numerous inlet and outlet
To determine if the roadway overtops less than 1 ft, as nomographs for various culvert shapes that can be found
was required in the example problem, we will assume that in Hydraulic Design of Highway Culverts by the FHWA
a 50-ft long rectangular weir approximates the overtopping (1985), available from National Technical Information Ser-
portion of the roadway. Using Eq. (21.80), a Cw ⫽ 2.6, vice, Springfield, Virginia.
L ⫽ 50 ft and H ⫽ 1 ft (allowable overtopping) yields a
weir discharge of 130 cfs. Next we determine whether the STORM SEWER AND INLET LAYOUT
combination of weir flow and culvert flow, at the allowable The storm sewer design, like most design processes, is an
elevation of 325.5 (1 ft above the road elevation), is suffi- iterative process. The results from one iteration provide the
cient to pass the 100-year discharge. details necessary for further refinement of the design in the
Using an elevation of 325.5, the corresponding HW/D next iteration. Each iteration attempts to optimize the de-
ratio of (325.5 ⫺ 314.2)/7 ⫽ 1.61. From the box culvert sign in order to provide adequate drainage control, without
with inlet control nomograph (Figure 21.37), construct a excessive number of inlets or length of pipe. In most cases,
straight line from scale HW/ D scale 1 for HW/ D ⫽ 1.61 design of the storm sewer system requires between two and
to the left scale for D ⫽ 7 ft. Read Q /B ⫽ 90 and find four iterations. The design of the minor system involves:
Q ⫽ 7(90) ⫽ 630 cfs. The total flow of culvert and weir
flow is 630 ⫹ 270 ⫽ 760 cfs. Our 100-year design dis- 䡲 Locating the inlets
charge is equal to 690 cfs. Therefore, there is sufficient ca-
䡲 Hydrologic analysis to size the inlets
pacity within the culvert and the one ft of allowable
overtopping of the road to pass the design discharge. A 䡲 Determining the pipe network
trial-and-error process using the same procedures could cal-
䡲 Hydrologic and hydraulic analysis to size the pipes
culate the actual 100-year water surface elevation.
Recognize, however, that the 7⬘ ⫻ 7⬘ box culvert is the 䡲 Checking to see that all constraints are met; all
minimum size necessary for the given flows. Other issues constraints are those dealing with hydrology and hy-
may require a larger culvert. For instance, upstream flood draulics, compliance with local criteria and standards,
stages may be increased above what might be acceptable. and any impacts to other components of the project.
Besides the local design criteria, another consideration is
the amount of upstream land inundated because of the in- Requisite information to begin design of the storm drain
creased flood elevation. In flat areas, with significant land system includes on- and off-site topographic maps, current
value, a 0.5-ft rise in flood stage may mean acres of land and projected land use maps, soil identification maps,
impacted by flooding, resulting in reduced development floodplain delineation maps, floodplain reports, existing site
potential or increased development costs for grading. plans of surrounding property, stream and channel outfall
Therefore, the cost to increase the culvert size in order to information and the plans of the proposed conditions of
reduce upstream water surface elevations could be war- the project. Worksheets of the proposed project in plan
ranted. view, at a scale of 1ⴖ ⫽ 50⬘ or larger are preferable. The
Another consideration in culvert sizing includes provid- worksheets should show proposed and existing topography,
ing for the increase in runoff from proposed upstream de- layout of the proposed streets, buildings and parking areas,
velopment. Often, communities will require the designer to profiles of the road alignment, horizontal and vertical lo-
consider the potential for upstream development, usually cation of all existing utilities, and any proposed utilities.
based on an approved comprehensive or zoning plan. For Much of this existing information should already be in pro-
many culvert installations, the required design storm could ject files, having been accumulated during the course of the
be the 25-year storm or even 50-year storm. Most localities project.
do not regulate stormwater management (SWM) controls to
mitigate for the 25- or 50-year storm events. Many localities Location of Inlets in Streets
only consider the 10-year and smaller events. Therefore a Inlets are placed at all lowpoints in sag vertical curves. In
culvert located in the lower part of a watershed, especially sag locations, where there is a higher propensity for clog-
where development potential is high, should be sized to ging of grates, the spread of ponded water presents a traffic
accommodate the increase in peak discharges over time. hazard. Flanking inlets should be considered, if they are
This example uses the culvert nomograph for inlet con- not required by code, in the sump area of a sag vertical
trol to calculate the headwater depth. Equations (21.66), curve. The addition of flanking inlets, which limit the

STORM DRAIN DESIGN
spread and ponding at the lowpoint, act as relief inlets ways occur at the same location as the lowpoint on the
when the sump inlet is clogged. However, the cost of con- profile grade line (PGL). For example, the lowpoint loca-
struction and maintenance of such inlets, especially on ter- tions may not coincide when a superelevation transition8
tiary streets, may not be warranted. occurs at or near the lowpoint of the PGL. Other potential
Table 21.19 is the Federal Highway Administration’s rec- situations in which this might occur typically involve a su-
ommendation for spacing of the flanking inlets. This rec- perelevation transition and/or pavement widening, as when
ommendation is based on the desired depth at the curb and adding a right turn lane. To properly locate the drainage
the vertical curve length defined by K ⫽ L / A, where L is inlet, the design engineer should check the elevations of the
the length of the vertical curve and A ⫽ g2 ⫺ g1 is the outer edge of pavement along the superelevation transition
algebraic difference of the tangent slopes of the vertical segment to determine the location of any ‘‘false lowpoints.’’9
curve. Most urban streets have curb or curb and gutter sections.
For an example, what is the recommended distance to In those situations, where the urban street is required to
the flanking inlets for a 300-ft long vertical curve with lon- have superelevation through horizontal curves, certain con-
gitudinal slopes of g1 ⫽ ⫺3% and g2 ⫽ ⫹3% and the depth ditions create the situation where a lowpoint occurs and is
of flow at the curb is 0.4 ft? Solving for K, not in an obvious sump. To attain full superelevation or to
go from full superelevation to normal crown (or reverse
L 300 superelevation in the case of compound curves) requires a
K⫽ ⫽ ⫽ 50 (21.81)
g2 ⫺ g1 (⫹3) ⫺ (⫺3) length of transition. If the rate of superelevation is greater
than the longitudinal rate of grade change, a lowpoint in
Entering Table 21.19 for depth at curb value ⫽ 0.4 ft and
the gutter area results. Although superelevation transitions
K ⫽ 50 gives a distance of 63 ft.
through horizontal curves are not considered good practice,
On normal crown street sections, two inlets are needed,
this situation, in some instances, cannot be avoided due to
one on each side of the street at the sump. Two inlets are
other constraints. The engineer should be aware of the con-
also needed if the lowpoint (sump) of a sag vertical curve
ditions that present this predicament and locate the not-so-
occurs on a section of road that is superelevated, since the
obvious lowpoint.
standard gutter on the superelevated side forces the water
against the face of curb, although some localities have a
‘‘spill’’ gutter that dispenses the water away from the curb. 8
A superelevation transition is a segment of the road used to gradually change the
cross slope of the pavement from a normal crown section (straight section of road)
In these cases, only one inlet is needed at the lowpoint of
to a superelevation section (curved section of road, like a racetrack curve that is
the vertical curve on the low side of the superelevation. banked) and vice versa.
Be aware, however, that in certain situations the location 9
The term false lowpoint is used to indicate a lowpoint location difference from the
of a lowpoint on the outer edge of pavement does not al- lowpoint location given on the PGL.
TABLE 21.19 Distance to Flanking Inlets in Sag Vertical Curve Locations

Using Depth at Curb Criteria
SPEED (MPH): 20 25 30 35 40 45 50 55 60 65 70
K(ⴝ L /A): 20 30 40 50 70 90 110 130 160 167 180 220
Depth @ curb
0.1 20 24 28 32 37 42 47 51 57 58 60 66
.....................................................................................................................
0.2 28 35 40 45 53 60 66 72 80 82 85 94
.....................................................................................................................
0.3 35 42 49 55 65 73 81 88 98 100 104 115
.....................................................................................................................
0.4 40 49 57 63 75 85 94 102 113 116 120 133
.....................................................................................................................
0.5 45 55 63 71 84 95 105 114 126 129 134 148
.....................................................................................................................
0.6 49 60 69 77 92 104 115 125 139 142 147 162
.....................................................................................................................
0.7 53 65 75 84 99 112 124 135 150 153 159 176
.....................................................................................................................
0.8 57 69 80 89 106 120 133 144 160 163 170 188
Reference: USDOT FHWA, Drainage of Highway Pavements, HEC-12, 1984.

STORM DRAIN DESIGN
Inlet placement in an intersection requires detailed anal- the limitations on spread of flow into the street. Frequently
ysis of the intersecting streets’ profiles and cross sections. the inlet is intentionally sized to intercept less than the total
Intersections have the potential for creating unusual drain- design flow approaching the inlet, thus allowing some flow
age patterns and collection networks. The design of an in- to carry over and be added into the design discharge for
tersection involves matching the cross slope of the the next downstream inlet. One study concludes that an
intersecting street with the longitudinal profile of the inlet’s capacity is maximized if some water is permitted to
through street. Curb returns (the horizontal curve portion bypass the inlet. Therefore, the size and location of street
of the curb used to join the curb of the two intersecting inlets on grade depends on how the design discharge in the
streets) and the cross sections of the intersecting streets, street is divided among the inlets.
coupled with any horizontal and vertical curves, can create In parking areas, the grading plan determines the drain-
sump areas in the most inconspicuous and least favorable age pattern and inlet location. In commercial building sites,
locations. pedestrian traffic is an important consideration for grading
Drainage patterns can be further complicated by devia- and drainage. Sump areas should be avoided in pedestrian
tions from the cross slopes shown on the typical section, travelways such as crosswalks or near entrances to the
which may be relaxed through the intersection to fit the building. Additionally, sump areas should be avoided in ar-
pavement from the intersecting street to the pavement of eas where passengers discharge from vehicles, such as bus
the through street. Additionally, the profile of the curb re- stops or walkways. Although there is typically no limitation
turn itself may not follow a known mathematical function for the spread of flow into privately maintained travel lanes
(e.g., a parabolic curve) and typically does not exactly co- and parking areas, good judgment is needed to limit the
incide with the street profile. The intersection’s contour spread in cold regions, since the formation of ice sheets is
grading plan usually provides clues to the drainage pattern a concern. Handicap ramps and parking spaces also need
and the potential location of sump areas. An experienced to be considered when locating drainage inlets and sump
engineer will design the intersection with drainage as a pri- areas.
ority consideration. For example, locating an intersection
within the low area of a vertical curve creates drainage de- Location of Inlets Outside of Paved Areas
sign difficulties. Avoiding a very flat cross slope at or near The drainage system should be carefully integrated into all
the lowpoint of a sag vertical curve will also facilitate the projects. Ideally, the drainage system should accommodate
drainage design in the intersection area. the site or roadway engineer’s plan and not be the driving
Often local design criteria prescribe an upper limit to factor behind the remaining design components. In single-
the amount of flow that can bypass an intersecting street. family detached projects, drainage patterns favor the rear
Typically, the amount of flow crossing the intersection de- and side of the houses. Swales and inconspicuous ditches
pends on the functional street classification. The higher the convey the water across the rear of the lots. The rate of flow
functional classification, the lower the amount of discharge being conveyed across a lot is limited to nonerosive veloc-
allowed to pass the intersection. Occasionally design criteria ities. No more than 2 to 4 cfs should concentrate and flow
may even prescribe that no flow can pass the intersection across the lots without being intercepted or conveyed in a
regardless of the street’s functional classification; therefore, well-defined and stabilized channel. Maintenance and own-
the inlet should be located at the ends of the curb returns. ership of swales and ditches is a factor in drainage design
Depending on the longitudinal street slope and the gutter in suburban developments. Drainage easements may be
flow, an inlet just upstream of this location may also be necessary. The desirability of a lot is reduced if a drainage
necessary. Locating inlets at the ends of curb returns also easement runs through the middle of a rear yard. In most
reduces flows around the curb returns, and this may be a cases, the drainage system should be kept within the public
consideration if the longitudinal gradient of either street is right of way.
very steep, or if the area is a high pedestrian traffic area.
It is difficult to install curb inlets in curb returns with Manholes
short radii. Therefore, the engineer may decide to show the Manholes are typically precast circular concrete barrel sec-
profile of the curb return to ensure no sump area exists and tions, in 3 to 4-ft lengths, which stack on top of each other.
to guide the contractor who is installing the curb return. The elevation of the top of the manhole is adjusted to meet
Inlets with relatively short throats or short grates may be grade with spacer rings. The top is covered with an iron
installed on curb returns with larger radii without disrupt- ring fitted with an iron cover. Many types of inlets use the
ing the continuity of the curve. Occasionally curb returns manhole barrel sections but have a precast throat or grate
of large radii (e.g., 100 ft or more), that are longer than that fits to the top instead of the frame and cover. Manholes
normal, may be designed to intentionally have a sump area are used to change horizontal and/or vertical direction of
to keep runoff from spilling into the travel area of the in- pipes, while also acting as a junction, allowing the conver-
tersection. gence of several incoming pipes.
After inlets have been placed at the required locations, It is common practice to match crowns of an incoming
the location of any and all remaining inlets is dictated by and outgoing pipe. When several pipes converge at a man-

STORM DRAIN DESIGN
hole, matching crowns may not be feasible due to the width sidered when determining the necessary manhole size.
of the manhole, the diameters of the incoming pipes, and Note: A rule of thumb for the wall thickness of a standard
the angles of approach. The diameter of the manhole de- reinforced concrete pipe is as follows. The wall thickness
pends on the size of the pipes connecting to it. Standard (in inches) is equal to the diameter of the pipe (in feet) plus
manhole diameters are approximately 4 ft. one. For example, a 48-in. pipe will have a thickness of 5
In Figure 21.43(a), the size and angles of the pipes are in. (4 ft diameter ⫹ 1).
such that they can be connected to the manhole without Similar to the preceding discussion, where several pipe
interfering with each other. Compare this to Figure connections to the manhole must be checked for proper fit,
21.43(b), where the pipe sizes and angles cannot fit into the skew angle of the pipe connection at a rectangular struc-
the manhole at the same elevations (or nearly same eleva- ture must be checked for fit. Figure 21.44(a) shows an in-
tions). In the second case the elevations of the pipe should coming 36-in. diameter pipe properly fitted to a 3 ft by 5
be staggered enough to provide for the necessary clearance. ft (outside dimensions) structure. In Figure 21.44(b), the
In each case the thickness of the pipe walls should be con- pipes are skewed and do not properly connect to the struc-
ture. In this example, the center of the structure is aligned
with the centerline of the pipe, and the skew angle causes
part of the incoming pipe to overlap onto the 3 ft side of
the structure.
In most moderate-density developments, manholes and
inlet structures will be spaced less than several hundred feet
apart by necessity. Most localities will set design criteria
limiting the maximum distances between manholes, and
this often is a function of the pipe size. Table 21.20 is the
F IGURE 21.43 Pipes connecting at manhole at same eleva- F IGURE 21.44 Skew angle for pipes connecting to rectangular
tion. structure.

STORM DRAIN DESIGN
Pipe Design
T A B L E 2 1 . 2 0 Recommended
Manholes Spacing After inlet locations and sizes are established, the pipe con-
veyance system is determined. The pipe network typically
PIPE converges to the outfall point. Occasionally, due to site con-
DIAMETER DISTANCE (ft) ditions, the network is separated into several systems, each
discharging at different outfall points or connecting to an-
12–24 350
..................................................... other storm sewer network. Outfall points can be natural
27–36 400 channels of adequate capacity, retention/detention areas,
..................................................... lakes, and rivers. The size, slope, and depth of the pipe in
42–54 500 the network are controlled by the elevation of the outfall
.....................................................
point. This is more of a problem in flat terrain than in
ⱖ60 1000
rolling and hilly terrain. In flat terrain, the engineer may
have design problems trying to match outfall elevations;
however, in steep terrain, high velocity and high energy
losses may create a potential problem. In general, the slope
recommended spacing provided by AASHTO. This distance and size of the pipe are kept to the minimum required to
is usually determined by maintenance and accessibility con- carry the design flows at near full capacity, and this helps
cerns. ensure proper cleanout of the storm sewer systems. Rec-
ognize, however, that many public agencies have a require-
Stormwater Management Considerations ment for a minimum allowable pipe size. For storm sewer
systems in steep terrain, the minimum pipe size may have
Often the storm sewer and pipe design of a roadway drain-
excess capacity.
age system will be governed by the need to convey water
The pipe network, wherever possible, should be located
to a stormwater management (SWM) facility. SWM facilities
within the public right of way. Most storm sewer systems
can include large ponds, basins, infiltration areas, grassed
are maintained by a government agency. Therefore, any part
swales, or other devices meant to reduce peak flow runoff
of the conveyance system on private property requires an
or to treat runoff for water quality purposes. Much of the
focus on today’s SWM design, for roadway and land devel- easement to allow access. Additionally, it is desirable to lo-
opment projects, concerns water quality. Therefore, even if cate the pipe parallel to a property line, offset to one side.
the designer can provide the necessary detention or prove This allows for maximum use of the property (i.e., no en-
that detention requirements are not warranted, more than cumbrances through the middle of the lot) and also allows
likely, water quality requirements will still be required. an owner to build a fence without fear of having to dis-
Given the site constraints, or the SWM needs required for mantle it later if the pipe needs to be repaired.
the development, most storm sewer systems and inlets will Common practice is to set the pipe at minimum depth
be driven by the need to collect runoff and discharge it into (i.e., minimum cover or minimum inlet depth) or at the
a SWM facility. shallowest depth possible (to ease in constructability) and
With the growing demand for redevelopment and the select the pipe size and slope that convey the design dis-
emphasis on water quality, numerous man-made structures charge at near full capacity. The pipe network is typically
are being used to provide water quality. There are a variety designed such that the HGL is at or below the crown of
of water quality inlets that help to remove oil, grit, sedi- the pipe (i.e., nonpressure flow). Under such conditions,
ment, and pollutants. Many of these devices are under- the pipe network is surcharged for storms that generate
ground structures varying in size (from regular-sized runoff greater than the design storm. The HGL should be
manholes to large vault boxes) that are connected directly checked against this secondary, or ‘‘check’’ storm—the local
to a storm sewer system. Given the amount of flow or design standards may even require it. The designer should
drainage area accumulated in a storm sewer system, the determine the overland relief path for the larger secondary
engineer may decide to design a storm sewer system that storm surcharges for safety or property damage concerns.
diverts a portion of the runoff in the storm sewer system Site grading or alignment, which would result in these sur-
to a water quality inlet. This will divert the ‘‘first flush’’ of charges damaging private property, should be re-thought.
the stormwater (in theory, the runoff with the most pollut- Discharge velocity in a pipe should be kept within a
ants) into the water quality inlet, while allowing the re- nominal range to prevent scour and eliminate sediment
mainder of the storm water to flow through the pipe buildup. Although efforts are made to keep sediment from
system. When storm water is diverted within a system, the entering the system, all sediment cannot be kept out. Sed-
water quality inlet is said to function ‘‘off-line.’’ When the iment transported by very high velocities causes abrasion
water quality inlet is placed within the storm sewer system damage to the pipe. Low velocities cause sediment to settle
itself (usually on small catchment areas only), the system is out and reduce the pipe capacity. A recommended velocity
considered to be ‘‘on-line.’’ range is 2 to 12 fps.

STORM DRAIN DESIGN
Avoiding conflicts with other underground utilities is a side of the project area. Use the appropriate capacity charts
major objective in the design of a storm sewer system. Since for the selected inlet to determine the ponding depth and/
storm sewer flow is driven by gravity, any conflicts with or spread at the inlet.
other proposed nongravity-dependent utilities are usually Supplementary Sump (Flanking) Inlets. If the inlets at the
resolved by redirecting those utilities. Attempts are made to sump areas are inadequate, either increase the size of the
locate the proposed storm sewer system around any existing inlet or add another inlet upstream from the sump. If dual
gravity or nongravity dependent-utilities. It can be costly to flanking inlets are not required, as recommended by
redirect existing utilities, and only in the unavoidable case FHWA, consider if only one flanking inlet is necessary to
is this done. reduce the ponding and spread in the sump. Similarly, if
the drainage area on one side of the sump contributes most
Pipe Materials of the runoff, then consider only one flanking inlet. In res-
Pipes can be manufactured from many different materials, idential areas, inlets should be located where they will not
including concrete, reinforced concrete, aluminum, steel, interfere with driveway entrances. In many cases, final
and various other synthetic materials. Given the locality, the house and driveway locations are not known during the
preference of contractor, the proximity to manufacturing design of the storm sewer system. Usually, houses are cen-
plants, and the cost of the project, the engineer must be tered on the lot and the driveway favors one side of the
careful to consider the pipe material when designing a house. If the length of the flanking inlet is short, its location
storm sewer system. The various different pipes available can be either the center of the lot or at the lot line extended.
on the market can have an enormous range of n values For longer length inlets, the engineer must exercise judg-
(from as little as 0.007 to as high as 0.033). Since n value ment in anticipating the driveway location to locate the in-
plays an important role in pipe capacity and hydraulic grade let. Inlets are considered in residential yards when the
line calculations, the selection of the pipe material could discharge velocity in the swale approaches erosive velocities,
dramatically affect the design. or if flow depths are excessive. Few residents use the yard
Some localities will provide guidance as to the types of during a rainstorm; however, in poorly drained soils, pond-
materials preferred. Many other jurisdictions will allow the ing and residual sogginess are a nuisance.
contractor to choose the pipe material. When the contractor Other Inlet Locations. Other critical areas that warrant
is given the option of pipe materials, it will either be up to consideration are street intersections and curb returns.
the contractor or the engineer to determine whether the Many localities limit the amount of discharge that may cross
material selected will still meet the design requirements of through the entrance of an intersecting street. The amount
the construction documents. Therefore, it is important that of discharge may vary according to the functional desig-
the engineer understand the requirements of the local in- nation of the street. Too much discharge flowing around a
dustry before determining pipe materials to be used for de- curb return causes the water to spread out as it moves
sign and analysis. around the curb. In lieu of any local restrictions, the en-
gineer should consider adding inlets at curb returns to re-
PROCEDURE FOR STORM SEWER DESIGN duce the flow across the intersection when flows approach
One of the more frustrating predicaments encountered by three to four cfs on lower category streets and when flows
designers, after painstakingly designing the system, is to are greater than two cfs on higher category streets.
find that the design pipe invert elevation at the outfall point Placement of other inlets is then dictated by the spread
is too low. This can be avoided if preliminary pipe sizes are limitations identified by design standards. Studies have
set based on rough estimates of the discharge and the first shown that the efficiency of an inlet is increased if it is sized
iteration of design is only a rough estimate. The general such that 5% to 10% of the flow is allowed to by-pass.
procedure for designing the storm sewer system is sum- Therefore, consideration should be given for sizing the
marized as follows. throat lengths so that they are about 90% efficient. In the
Data Collection. Obtain a plan of the project area show- design, the by-pass flow must be included in the runoff
ing existing and proposed features along with the existing discharge for the next downstream inlet.
topography and proposed grading. Profiles of roads, water Pipe Layout. The inlets are then connected to show how
and sanitary lines, invert elevations of the outfall points, the pipes convey the water to the outfall points. The pipe
topographic maps showing areas contributing off-site runoff network usually directs the water in the prevailing direction
and discharges from pipes, and typical sections of stream of the slope of the proposed grading. However, there may
channels are all necessary information when designing the be some instances where judgment supersedes rule-of-
storm sewer system. thumb guidelines. Pipe runs of excessive length (e.g.,
Evaluate Sump Inlet Locations. Inlets are set at all sump greater than the maximum allowable manhole spacing) re-
areas in streets, parking areas, and in unpaved areas. Check quire intermittent manholes. Additionally, any changes in
all curb returns for lowpoints. Using topographic informa- horizontal direction or vertical slope of the pipe (e.g., to go
tion, establish the drainage areas to each inlet and compute around a foundation or to minimize easements on lots) also
the runoff. Include runoff and discharge from any areas out- require additional manholes. When additional manholes are

STORM DRAIN DESIGN
necessary, the engineer should check if additional inlets flow, at a slope that approximates the ground slope above
would be beneficial and substitute accordingly. This is not the pipe. As the pipes are selected, write this information
always possible or desirable, but the cost differential be- on the profile worksheet between the appropriate inlets.
tween the two is not significant. Draw a line between inlets that represents the invert of the
Profile the System. Profile this tentative layout on a pro- pipe. The crown of the outgoing pipe is set at the same
file worksheet. Show the existing and proposed grades and elevation, or higher, than the crown elevation of the lowest
mark the locations of the proposed inlets and manholes, as incoming pipe. When large junction losses are anticipated,
well as the existing (and proposed if available) sanitary the crown of the incoming pipe should be slightly higher.
sewer and water main crossings. The purpose of this profile This increases the difference in elevation in inverts to allow
is to ensure that the pipes have sufficient cover to prevent for the large junction losses. Note: These last three state-
excessive excavation and to avoid utility crossing conflicts. ments affect where the invert line of the pipe is drawn.
Utility conflicts need to be identified during the first phase Final Assessment. Check to see that the invert of the last
of design so that they do not cause a major redesign of the pipe is above the invert of the outfall point. Confirm all
system in the later design phases. A more accurate profile existing and proposed utility crossings. If less than mini-
can be drawn later after the pipe design is complete. This mum clearance is provided where the storm sewer crosses
step is highly recommended. Although some construction a utility, concrete piers should be considered to support
plans or documents do not require storm sewer profiles, the storm sewer pipe at the utility crossing. If there are no
the simple task of putting the design on paper can eliminate utility conflicts, proper connections to outfall points are
countless redesigns of a system. possible, and if the engineer is comfortable with the cost-
Tentative Pipe Sizes. Estimate the size of each pipe by effectiveness of the design, perform a more detailed design.
adding the flows from each inlet above the inlet at the de- That is, correctly compute the discharge through the pipes,
sign point. Recognize this is not the proper way to calculate fill out the pipe design and hydraulic grade line charts, and
flows, as pointed out in the section discussing the rational accurately draw the profiles.
method. However, this method, although it overestimates Hydraulic grade line (HGL) computations should be the
the flow, is adequate for tentatively estimating the pipe size. last step in the design. Although the pipe slopes, if properly
For small- to moderate-sized sites (less than 50 acres) and designed, were set for gravity (nonpressure) flow, head
pipe runs of 800 ft and less, the relative error in the dis- losses through structures and other appurtenances may
charge using this method versus the correct method is tol- cause pressure flow in the system. In most cases, where
erable for tentatively estimating pipe sizes. Using a pipe velocities are less than 5fps, energy losses through
hydraulic calculator, or other means, select the smallest manholes are less than 0.5 ft. However, on systems with
pipe size, which conveys the estimated discharge at full numerous manholes, or in those pipes where velocities are
F IGURE 21.45 Typical underdrain.

STORM DRAIN DESIGN
10 fps and higher, the head losses accrue very quickly. For American Association of State Highway and Transportation Offi-
systems with these characteristics, the potential for pres- cials, Highway Drainage Guidelines, AASHTO, Washington, D.C.,
surizing the system becomes very likely. Even though a 1982.
specified design storm is used to design the system, local American Public Works Association, Urban Stormwater Manage-
criteria may require the HGL be checked for other storms. ment, Special Report no. 49, Chicago, Ill., 1981.
The engineer uses his best judgment and may want to see ASCE and Water Pollution Control Federation, Design and Con-
the impact on the HGL for other design storms. struction of Sanitary and Storm Sewers, 1972.
Balmer, Peter, Per-Arne Malmqvist, and Anders Sjoberg, eds.,
UNDERDRAIN DESIGN Proceedings of the Third International Conference on Urban Storm
Drainage, Vols. 1 and 2, June 4–8, 1984.
The inlet and storm sewer design has focussed on drainage Brater, E.F., and H.W. King, Handbook of Hydraulics for the Solu-
pavements, which have surface water runoff. However, tion of Hydraulic Engineering Problems, 6 ed. McGraw-Hill, New
there are many instances where water collects underneath York, 1976.
the pavement section, either in locations of cut/fill transi- Chow, V.T., David R. Maidment, and Larry W. Mays, Applied Hy-
tions, or just by infiltration. Water will usually collect in drology, McGraw-Hill, New York, 1988.
the subgrade portion of the pavement, especially in areas Chow, V.T., Open Channel Hydraulics, McGraw-Hill, New York,
where aggregate or stone is used in the design. This collec- 1959.
tion of water underneath the pavement can be extremely Clark, Robert Emmet, ed., Waters and Water Rights, Vol. 5, Allen
problematic, leading to loss of stability and strength of the Smith Co., Indianapolis, Ind., 1972.
pavement structure, fatigue based on freeze/thaw condi- Federal Highway Administration, Drainage of Highway Pavements,
tions, or loss of cohesion and bearing pressures of the sur- FHWA, Washington, D.C., 1984.
rounding soil. Goldfarb, William, Water Law, Butterworth Press, Boston, Mass.,
Given certain situations, this excess water underneath 1984.
the pavement will require that a secondary drainage system Hendrickson, John G., Jr., Hydraulics of Culverts, American Con-
be constructed to reduce the water collected underneath crete Pipe Association, Chicago, Ill., 1964.
roadways. This is usually done by placing a combination of U.S. Dept. of Transportation, Federal Highway Administration,
small pipes (sometimes perforated or wrapped in geotextile Hydraulic Design of Highway Culverts, Washington, D.C., Septem-
fabric) along the aggregates section of the pavement box ber 1985.
and discharging the water either into a ditch or a manhole Jens, Stiffel W., and M.B. McPerson, Hydrology of urban areas,
associated with the roadway drainage system. These devices Handbook of Applied Hydrology, V.T. Chow, ed., McGraw-Hill,
are called underdrains. New York, 1964.
In most urban situations, underdrains are placed along Kibler, David F., ed., Urban Stormwater Hydrology Monograph 7,
the edge of the pavement, below the curb and gutter sec- American Geophysical Union (AGU), Washington, D.C., 1982.
tion. Typical roadway design requires that the pavement be McCuen, Richard H., Hydrologic Analysis and Design, Prentice
sloped to the edge to facilitate drainage. The same applies Hall, Englewood Cliffs, N.J., 1989.
to pavement design as well, such that all layers of the pave- McPherson, M.B., The Design Storm Concept, Urban Runoff Con-
ment box (top surface coarse, base coarse, subgrade, etc.) trol Planning Miscellaneous Report Series, U.S. Environmental
drain to the outside. Curb and gutter sections typically are Protection Agency, GPO, Washington, D.C., 1978.
constructed on stone or aggregate bases, meaning that water National Weather Service, Five to 60-Minute Precipitation Fre-
can flow easily along the corridor. Underdrains placed lon- quency for the Eastern and Central United States, (NWS Hydro-
35), Washington, D.C., 1977.
gitudinally below the curbline, within the aggregate, can
capture the majority of water trapped beneath the pavement Ponce, Victor Miguel, Engineering Hydrology, Prentice Hall, En-
glewood Cliffs, N.J., 1989.
and discharge it directly into the roadway drainage system.
Trelease, Frank, J., Water law, Handbook of Applied Hydrology,
Figure 21.45 shows a typical underdrain.
V.T. Chow, ed., McGraw-Hill, New York, 1964.
U.S. Department of Agriculture, Rainfall Frequency Atlas of the
REFERENCES United States for Durations from 30 Minutes to 24 Hours and Re-
American Iron and Steel Institute, Handbook of Steel Drainage turn Periods from 1 to 100 Years (Technical Paper No. 40), Wash-
and Highway Construction Products, 3d ed., Washington, D.C., ington, D.C., 1963.
1983. Yen, Ben Chie, and Ven Te Chow, Design hyetographs for small
American Concrete Pipe Association, Concrete Pipe Design Man- drainage structures, Journal of the Hydraulics Division, HY-6
ual, Arlington, Va., 1987. V.106, American Society of Civil Engineers, 1980.

STORM DRAIN DESIGN

CHAPTER 22
DESIGN OF STORMWATER
MANAGEMENT FACILITIES
Dave Parker, P.E. / Kathleen Schaefer, P.E.
Updated/Revised: Philip C. Champagne, P.E.
INTRODUCTION are affected by land use changes or before these effects be-
Changing land use from vacant rural land to residential/ come noticed. Other pollutants such as phosphorus and
commercial use inevitably results in a decrease in pervious nitrogen, when washed into lakes, promote algae growth.
surface and an increase in impervious surface, resulting in If left unchecked, eutrophication and water quality degra-
a change in the hydrologic and hydraulic characteristics of dation are imminent.
the watershed. This change in basin imperviousness results Stormwater management (SWM) is the mechanism for
in increased flow rates, increased runoff volumes, increase controlling stormwater runoff for the purposes of reducing
in the frequency of flooding and degradation of surface wa- downstream erosion and flooding, and mitigating the neg-
ative effects resulting from urbanization. Many localities
ter quality. In response to the increased runoff, systems con-
have ordinances that require specific action to mitigate such
sisting of curb and gutter, storm sewer, ditches and paved
potential damage. Within the broad scope of the Clean Wa-
channels are developed to convey the runoff safely through
ter Act, local authorities are compelled to implement mea-
the basin. These systems directly increase flow velocity and
sures such as eerosion and sediment control, storm water
consequently decrease the basin time of concentration, re-
retention and detention ponds, and Best Management Prac-
sulting in higher peak flow rates. In a typical, moderately-
tices (BMPs) to diminish the effects of land use changes.
developed watershed, the increase in peak discharge could
BMPs are those techniques used to control non-point source
be from two to five times higher than pre-developed con- pollution.
ditions. The volume of runoff can be increased by as much One of the most common methods for reducing down-
as 50%, and the time of concentration may be decreased stream flooding is the use of retention/detention facilities
by an even greater percentage (see Figure 22.1). Although to temporarily impound the runoff and then release it at a
such effects from a small individual site may seem incon- lower rate to reduce the peak discharge downstream of the
sequential, the collective effects of numerous sites through- facility. Just how much the peak is reduced depends on the
out the watershed can have substantial impact on the type of hydraulic outlet structure and the size of the facility.
environment, especially in the lower reaches of a watershed. Retention and detention facilities may also double as a BMP
Along with the increase in water quantity, urbanization facility. Improved water quality can be achieved by retaining
results in the increase in non-point pollutants. Trace metals runoff long enough for sediment, and the attached pollut-
from galvanized downspouts, flashing and roofing materi- ants to settle out.
als, and pipes are washed into natural channels. Other pol- This chapter discusses the basic concepts for hydrologic
lutants such as tire particulate, hydrocarbon products from analysis, locating and sizing a stormwater management
pavement and fuels, and mechanical part flakes can all end pond and discussion of the various types of Best Manage-
up in the surrounding streams, lakes, and groundwater. The ment Practices that can be incorporated into a land devel-
damaging effects of the many pollutants are not always im- opment program. To clarify, in this chapter a detention
mediately apparent. It may be years before fish and wildlife pond is a dry pond, one that holds water for a short du-
475
DESIGN OF STORMWATER MANAGEMENT FACILITIES
F IGURE 22.1 Hydraulic and hydrologic effects of urbanization.

22 䡲 DESIGN OF STORMWATER MANAGEMENT FACILITIES 477
ration (i.e., ⬍72 hrs) after a storm event. After the water is (see Figures 22.2 and 22.3), such as those found in Tech-
released, the detention pond remains dry until the next nical Paper 40 Rainfall Frequency Atlas and Hydro 35, pro-
storm. A retention pond has a permanent pool of water. vide adequate information for most designs. Rain gauge
data and stream gauge data may be available, but for most
SCS METHODOLOGY FOR COMPUTING RUNOFF small to moderately-sized R/D facilities, synthetic design
For relatively small catchments (⬍200 acres), the rational hyetographs suffice.
method (see Chapter 21) can be used to determine peak The SCS has developed four synthetic rainfall distribu-
runoff discharge. However, for larger catchments, designers tions that are indicative of the rainfall intensities inherent
prefer to use more sophisticated rainfall-runoff models. Al- to geographic regions of the U.S. These four standard rain-
though a more sophisticated model does not necessarily fall distributions, labeled Type I, Type Ia, Type II, and Type
provide greater accuracy and better results, there is greater III, have been developed from the Weather Bureau’s Rainfall
flexibility for calibrating the model to local observations. Frequency Atlases (e.g., TP-40). Since most rainfall data is
One such hydrologic model, developed by the National Re- reported on a 24-hr basis, the SCS used 24 hours as the
source Conservation Service, formerly the Soil Conservation duration for these distributions. The location of the peak
Service (SCS), is widely accepted, well documented, and rainfall intensity in each storm is intended to mimic the
available for use with microcomputers. Underlying funda- location of the peak intensity for the particular region of
mentals of this method are found in the National Engineering the U.S. For example, peak intensities for Type I and Ia
Handbook, Chapter 4, Hydrology (NEH-4) and the com- storms occur around 8 hours, similar to the storms in the
puter program documented in Technical Release 20 (TR- far western part of the U.S. Type II and III storms, however,
20). Recent documentation of SCS methods is found in have peak intensities occurring around the midpoint of the
Technical Release 55 (TR-55), Urban Hydrology for Small duration. Specific geographical areas are shown in Figure
Watersheds. These documents are available from the Gov- 22.4.
ernment Printing Office, Washington, D.C. Because the SCS
method is routinely used for stormwater management de- Runoff Volume Using Runoff Curve Numbers
sign, a brief discussion of the primary components and The fundamental equation in the SCS hydrologic method
principals are provided in the following sections. for computing the volume of runoff from a catchment area
is
Rainfall
Rainfall events are described in terms of depth, duration (P ⫺ Ia)2
and frequency of occurrence. A plot of the rainfall distri- Q⫽ (22.1)
P ⫺ Ia ⫹ S
bution with time is a hyetograph. Most retention/detention
(R/D) design is based on fabricated hyetographs of definite
where Q is the runoff in inches over the entire watershed,
shapes, which define the design storm. The design storm is
P is rainfall (in.), S is the potential maximum retention (i.e.,
not an actual storm of occurrence. Rather it is a fabricated
rain not converted to runoff) after runoff begins (in.) and
storm intended to represent the characteristics of an average
Ia is the initial abstraction that accounts for losses before
storm. The specifics of the design storm, such as duration,
runoff begins (losses mainly include interception, infiltra-
depth, and whether the peak rainfall occurs near the be-
tion, and surface storage).
ginning of the storm (early peaking), in the middle of the
Values for Ia depend on characteristics of the soil, land
storm (center peaking), or at the end of the storm (late
use, and vegetation. Empirically, Ia is taken as equal to 0.2S
peaking), are detailed in design standards of the various
where S is given as
government reviewing agencies.
For the design of larger SWM facilities, where down-
1000
stream safety is a major concern in the event of dam failure, S⫽ ⫺ 10 (22.2)
local agencies usually require a hydrologic analysis of large CN
storm events such as the probable maximum precipitation
(PMP), the probable maximum flood, or a percentage of the and CN is the curve number that relates the runoff to land
PMF. The PMF is the flood discharge that may be expected characteristics. The curve number is analogous to the runoff
from the most severe combination of critical meteorologic coefficient used in the rational method. It converts the mass
and hydrologic conditions that are reasonably possible in rainfall to runoff and is based on such factors as the hy-
the region. The PMP is, theoretically, the greatest depth of drologic soil group (HSG), cover type, hydrologic condi-
precipitation for a given duration that is physically possible tions, and antecedent moisture conditions. Using the these
over a given size storm area at a particular geographic lo- relationships, the runoff can be expressed in terms of S:
cation at a certain time of the year.
Precipitation data is available from various publications (P ⫺ 0.2S)2
Q⫽ (22.3)
of the National Weather Service (NWS). Isopluvial maps P ⫹ 0.8S

F IGURE 22.2 Two-year 24-hour rainfall map.

F IGURE 22.3 Ten-year 24-hour rainfall map.

F IGURE 22.4 Approximate geographic boundaries for SCS rainfall distributions. (Source: USDA, TR-55.)
In part, the CN for a particular soil depends on the HSG erage of each set of conditions and consulting a SCS curve
classification. Soils are divided into 4 hydrologic soil number table. Figure 22.5 shows the HSG groups overlain
groups, A, B, C, and D, according to their minimum infil- on a land use map. A soils map is used to identify the soil
tration rates. Soils classified in hydrologic group A generally series which is then converted to a hydrologic soil group.
have high infiltration rates, whereas the HSG D has the This map was created by tracing the HSG map onto the
lowest infiltration rates. The cover type describes the sur- land use map. The worksheet shown in Figure 22.6 is used
face of the catchment, such as type and denseness of veg- to tabulate the data and determine the composite CN.
etation and impervious or semi-impervious pavements. It is
determined from field reconnaissance, aerial photographs, Time of Concentration
and land use maps. Hydrologic condition is a measure of The time of concentration as it applies to hydrology is the
the effects of the cover type on infiltration and runoff. An- time for runoff to travel from the hydraulically most remote
tecedent runoff condition is an index of the runoff potential point of a watershed to the outlet. The SCS method for
of the soil before a storm event. It is an attempt to account determining tc consists of computing the travel times as-
for the variation in CN at the site from storm to storm. sociated with runoff over three distinct types of flowpaths
Table 22.1 presents CN values for several types of soils as described below.
and cover types. It should be noted that these CN values
are based upon the an average antecedent runoff condition. 1. Sheet flow is the initial phase of runoff character-
The County Soil Survey, published by the SCS, contains soil ized as flow over plane surfaces. The flow depth is
classification information. The SCS guidance documents very shallow (⬍0.1 ft), and consequently the Man-
should be consulted if the runoff conditions are other than ning’s roughness coefficient is modified to reflect the
average. increased effects of drag from surface irregularities.
Once the hydrologic soil group and the cover type and Sheet flow, no matter the type of surface, is assumed
antecedent runoff condition have been determined, a to occur for distances less than 300 feet. The travel
weighted CN can be found by determining the areal cov- time is given as

TABLE 22.1-a Runoff Curve Numbers for Urban Areas1

CURVE NUMBERS FOR
HYDROLOGIC SOIL GROUP
COVER DESCRIPTION
AVERAGE %
COVER TYPE AND HYDROLOGIC CONDITION IMPERVIOUS AREA2 A B C D
Fully developed urban areas (vegetation established)

Open space (lawns, parks, golf courses, cemeteries, etc.)3
Poor condition (grass cover ⬍ 50%) 68 79 86 89
Fair condition (grass cover 50% to 75%) 49 69 79 84
Good condition (grass cover ⬎ 75%) 39 61 74 80
.....................................................................................................................
Impervious areas:
Paved parking lots, roofs, driveways, etc. (excluding right-of way) 98 98 98 98
Streets and roads:
Paved: curbs and storm sewers (excluding right-of-way) 83 89 92 93
Paved: open ditches (including right-of-way) 83 89 92 93
Gravel (including right-of-way) 76 85 89 91
Dirt (including right-of-way 72 82 87 89
.....................................................................................................................
Western desert urban areas:
Natural desert landscaping (pervious areas only)4 63 77 85 88
Artificial desert landscaping (impervious weed barrier, desert 96 96 96 96
shrub with 1- to 2-in. sand or gravel mulch and basin borders)
.....................................................................................................................
Urban districts:
Commercial and business 85 89 92 94 95
Industrial 72 81 88 91 93
.....................................................................................................................
Residential districts by average lot size:
1
⁄8 acre or less (town houses) 65 77 85 90 92
1
⁄4 acre 38 61 75 83 87
1
⁄3 acre 30 57 72 81 86
1
⁄2 acre 25 54 70 80 85
1 acre 20 51 68 79 84
2 acres 12 46 65 77 82
.....................................................................................................................
Developing urban areas
Newly graded areas (pervious areas only, no vegetation)5 77 86 91 94
Idle lands (CNs are determined using cover types similar to those
in Table 22.1-c).
1
Average runoff condition and Ia ⫽ 0.2S
2
The average percent impervious area shown was used to develop the composite CN s. Other assumptions are as follows: impervious areas are directly connected
to the drainage system, impervious areas have a CN of 98, and pervious areas are considered equivalent to open space in good hydrologic condition. CN s for
other combinations of conditions may be computed using Figures 22.3 or 22.4.
3
CN s shown are equivalent to those of pasture. Composite CN s may be computed for other combinations of open space cover type.
4
Composite CN s for natural desert landscaping should be computed using Figures 22.3 or 22.4 based on the imperious area percentage (CN ⫽ 98) and the
pervious area CN. The pervious area CN s are assumed equivalent to desert shrub in poor hydrologic condition.
5
Comparable CN s to use for the design of temporary measures during grading and construction should be computed using Figures 22.3 or 22.4, based on the
degree of development (impervious area percentage) and the CN s for the newly graded pervious area.
Source: USDA, TR-55.

TABLE 22.1-b Runoff Curve Numbers1 (Continued)
COVER DESCRIPTION CURVE NUMBERS FOR

HYDROLOGIC
COVER TYPE CONDITION2 A3 B C D
Pasture, grassland, or range-continuous forage for grazing2 Poor 68 79 86 89

Fair 49 69 79 84
Good 39 61 74 80
.....................................................................................................................
Meadow-continuous grass, protected from grazing and generally — 30 58 71 78
mowed for hay.
.....................................................................................................................
Brush-brush-weed-grass mixture with brush the major element.3 Poor 48 67 77 83
Fair 35 56 70 77
Good 30 48 65 73
.....................................................................................................................
Woods-grass combination (orchard or tree farm).5 Poor 57 73 82 86
Fair 43 65 76 82
Good 32 58 72 79
.....................................................................................................................
Woods.6 Poor 45 66 77 83
Fair 36 60 73 79
Good 4
30 55 70 77
.....................................................................................................................
Farmsteads-buildings, lanes, driveways, and surrounding lots. — 59 74 82 86
1
Average runoff condition, and Ia ⫽ 0.2 S.
2
Poor: ⬍50% ground cover or heavily grazed with no mulch.
Fair: 50 to 75% ground cover and not heavily grazed.
Good: ⬎75% ground cover and lightly or only occasionally grazed.
3
Poor: ⬍50% ground cover.
Fair: 50 to 75% ground cover.
Good: ⬎75% ground cover.
4
Actual curve number is less than 30: use CN ⫽ 30 for runoff computations.
5
CN s shown were computed for areas with 50% woods and 50% grass (pasture) cover. Other combinations of conditions may be computed from the CN s for
woods and pasture.
6
Poor: Forest litter, small trees, and brush are destroyed by heavy grazing or regular burning.
Fair: Woods are grazed but not burned, and some forest litter covers the soil.
Good: Woods are protected from grazing, and litter and brush adequately over the soil.
0.007(nL)0.8 L
Tt ⫽ (22.4) T⫽ (22.5)
(P2)0.5s 0.4 3600 V
which is the kinematic solution to Manning’s equation. where V ⫽

In Eq. (22.4) Tt represents the travel time in hours, n
is the effective Manning’s n as given in Table 22.2, L is 16.1345 (s)0.5 for unpaved surfaces
the flow length in feet (⬍300 ft), P2 is the 2-yr 24-hr 20.3282 (s)0.5 for paved surfaces
rainfall (in.) given in Figure 22.3, and s is the slope of
the hydraulic grade line, which is assumed to be the where V is the average runoff velocity (fps), L is the
same as the average land slope (ft/ft). flow length (ft) and the travel time T is in hours.
2. Shallow concentrated flow occurs after sheet flow. 3. Eventually runoff collects into defined open chan-
The travel time for shallow concentrated flow is nels that are, according to the SCS, visible on aerial

TABLE 22.1-c Runoff Curve Numbers1 (Continued)
COVER DESCRIPTION CURVE NUMBERS FOR

HYDROLOGIC
COVER TYPE CONDITION2 A3 B C D
Herbaceous-mixture of grass, weeds, and low- Poor 80 87 93

growing brush, with brush the minor element. Fair 71 81 89
Good 62 74 85
.....................................................................................................................
Oak-aspen-mountain brush mixture of oak brush, Poor 66 74 79
aspen, mountain mahogany, bitter brush, maple, and Fair 48 57 63
other brush. Good 30 41 48
.....................................................................................................................
Pinyon-juniper-pinyon, juniper, or both; grass Poor 75 85 89
understory. Fair 58 73 80
Good 41 61 71
.....................................................................................................................
Sagebrush with grass understory. Poor 67 80 85
Fair 51 63 70
Good 35 47 55
.....................................................................................................................
Desert shrub-major plants include saltbush, Poor 63 77 85 88
greasewood, creosotebush, blackbrush, bursage, palo Fair 55 72 81 86
verde, mesquite, and cactus. Good 49 68 79 84
1
Average runoff condition, and Ia ⫽ 0.2 S. For range in humid regions, use Table 22.2-c.
2
Poor: ⬍30% ground cover (litter, grass, and brush overstory).
Fair: 30 to 70% ground cover.
Good: ⬎70% ground cover.
3
Curve numbers for group A have been developed only for desert shrub.
photographs, appear as blue lines on USGS quadrangle When computing the various components of the time of
sheets, or where surveyed cross-section information be- concentration, the values of the velocities must be carefully
gins. Travel time in open channels is determined from reviewed to determine if they are realistic. Many assump-
the average velocity at bank-full flow. Manning’s equations made about the land characteristics (e.g., uniform
tion for open channel velocity is ground slope, vegetation height, and stream channel ge-
ometry) may give unrealistic values. For example, in natural
1.49 2 / 3 1 / 2 open channels the critical velocity should be considered as
V⫽ R S (22.6) the limiting velocity.
n
where V is the average velocity in fps, S is the slope of Hydrographs

the hydraulic gradient (channel bed slope in the case Runoff from a watershed is graphically shown by a hydro-
of uniform flow) (ft/ft), and n is Manning’s roughness graph, which is a plot of the discharge as a function of time.
coefficient (values are found in most hydraulic hand- In the most simplistic case, a hydrograph has a rising limb,
books). The hydraulic radius, R, is defined as the which reflects rainfall characteristics, a crest segment, and
cross-sectional flow area divided by the wetted perim- a recession curve, which reflects watershed characteristics.
eter. The travel time for open channel flow is deter- A hydrograph may be classified as a natural hydrograph,
mined from Eq. (22.5) using the velocity obtained which is derived from observed data from a stream flow
from Manning’s equation. gauge, or it may be classified as a synthetic hydrograph,

F IGURE 22.5 Hydrologic soils designation on topographic map.

F IGURE 22.5 (Continued) Land use designations on a topographic map.
which is derived from presumed characteristics related to 䡲 Time of Concentration (tc); the time of equilibrium
the rainfall and the watershed. The area under a runoff hy- of the watershed, where outflow is equal to net inflow.
drograph represents the volume of runoff from the water- On a hydrograph, tc is the time from the end of exces-
shed. sive rainfall to the inflection point on the recession
The following parameters define the timing aspects of limb.
the hydrograph (see Figure 22.7):
䡲 Time base (Tb); total duration of the direct runoff
䡲 Time to peak (tp); the time from beginning of runoff hydrograph
to the peak
As might be deduced from the hydrograph sketch and
䡲 Lag time (tL); the time from center of mass of rain- the above definitions, the hydrograph shape is affected by
fall excess to the peak rate of runoff the intensity, duration, and distribution (both temporally

1
Use only one CN source per line
2
Figure 2-3 and 2-4 found in the TR-55 manual relate to connected impervious areas. Refer to TR-55 manual for further explanation
F IGURE 22.6 Runoff curve number worksheet. (Source: TR-55.)

and spatially) of rainfall, by the size and shape of the wa-

T A B L E 2 2 . 2 Roughness Coefficient
tershed, and by factors that influence the time of concen-
for Sheet Flow tration (land slope, channel length, and land cover/use). A
SURFACE DESCRIPTION n1 short time of concentration results in a higher peak dis-
charge rate and a shorter time to peak, while a long time
Smooth surfaces (concrete, asphalt, gravel, or 0.011 of concentration results in a lower peak discharge rate and
bare soil) longer time to peak.
...................................................... Generally, land development activities will decrease the
Fallow (no residue) 0.005 time of concentration and increase the imperviousness for
......................................................
a basin. These changes increase the peak discharge, the time
Cultivated soils:
to peak, and the total runoff volume, and it is these in-
Residue over ⭐20% 0.06 creases that must be mitigated with storm water manage-
Residue cover ⬎20% 0.17 ment methods. These concepts are illustrated in Figure
......................................................
Grass: 23.8.
Short grass prairie 0.15 Unit Hydrographs
Dense grasses 2
0.24 A unit hydrograph (UH) is defined as a runoff hydrograph
Bermuda grass 0.41 generated from a unit depth of rainfall excess occurring at
......................................................
a uniform rate over a specified duration of time, uniformly
Range (natural) 0.13
...................................................... distributed over the watershed. The area under a unit hy-
Woods3 drograph represents one unit of runoff depth over the entire
watershed. Each unit hydrograph has a specific duration
Light underbrush 0.40
(i.e., time base), which represents the duration of the rain-
Dense underbrush 0.80 fall excess. Therefore, a D-hour unit hydrograph is defined
1
The n values are a composite of information compiled by Engman as the hydrograph that results from a storm with a constant
(1986). rainfall excess of 1 in. over a duration of D hours (see Fig-
2
Includes species such as weeping lovegrass, bluegrass, buffalo grass, ure 22.9).
blue grama grass, and native grass mixtures. The physical features of a watershed vary very little from
3
When selecting n, consider cover to a height of about 0.1 ft. This is the
storm to storm. Therefore, in unit hydrograph theory, a
only part of the plant cover that will obstruct sheet flow.
storm event of equal duration but different intensity pro-
duces a direct runoff hydrograph with an equal base length
and similar shape as that of a unit hydrograph. If the or-
dinates of the direct runoff hydrograph are proportional to
runoff volume, multiplying the ordinates of a unit hydro-
graph by the rainfall intensity generates a hydrograph cor-
responding to that intensity.
For more complex unit hydrographs, generate direct
runoff hydrographs through multiplication-translation-
F IGURE 2 2 . 8 Effect of basin shape and tc on hydrograph shape.

Courtesy of Martin P. Wanielista, Hydrology and Water quality Control, New
York: John Wiley & Sons. Reprinted by permission of John Wiley & Sons,
F IGURE 22.7 Elements of a hydrograph. Inc.

F IGURE 22.9 Direct runoff from a unit hydrograph.

addition procedures (convolution) to obtain the direct run- tical. The unit hydrographs are normalized (made dimen-
off hydrograph. This can only be done if the assumptions sionless) by expressing the discharge as a fraction of the
of linearity are valid—that is, the time base remains con- peak discharge (q /qp), and the time values as a fraction of
stant regardless of the runoff depth. Figure 22.9 shows how the time to peak (t /Tp).
to obtain a direct runoff hydrograph using multiplication- With respect to the triangular UH the total runoff vol-
translation-addition procedure. ume, Q in inches, is
Mathematically, the ordinates for the direct runoff hy-
drograph for a complex storm pattern are found by 1
Q⫽ q (T ⫹ Tr) (22.9)
2 p p
q1 ⫽ p1 u1 (22.7)
q2 ⫽ p2 u1 ⫹ p1 u2 where qp is the peak discharge (in./hr), Tp is the time to

peak (hr), and Tr is the recession time (hr), which can be
q3 ⫽ p3 u1 ⫹ p2 u2 ⫹ p1 u3
re-written as
q4 ⫽ p4 u1 ⫹ p3 u2 ⫹ p2 u3 ⫹ p1 u4
q5 ⫽ p5 u1 ⫹ p4 u2 ⫹ p3 u3 ⫹ p2 u4 ⫹ p1 u5 484AQ
qp ⫽ (22.10)
Tp
where q is the runoff hydrograph ordinate, p is the rainfall
excess ordinate and u is the unit hydrograph ordinate. If where qp is the peak discharge for the unit hydrograph, A
np ⫽ the number of rainfall excess ordinates and nu ⫽ the is drainage area in square miles, and 484 is included to
number of unit hydrograph ordinates, the number of direct place 3⁄8 of the area under the hydrograph under the rising
runoff hydrograph ordinates nr ⫽ np ⫹ nu ⫺ 1. limb. Changing the rising side of the UH to reflect water-
In matrix format, Eq. (22.7) is written as shed topography requires a change in the 484 shape factor.
The shape factor has been known to vary from 600 for
[Q] ⫽ [P][U] (22.8) mountainous regions to 300 in very flat swampy areas. The
local SCS office should be contacted to determine if a re-
冤冥冤冥冤冥
q1 p1 0 0 0 0 0 䡠䡠䡠 u1 gional shape factor exists.
q2 p2 p1 0 0 0 0 䡠䡠䡠 u2 From the relationship of the triangular hydrograph to
q3 p3 p2 p1 0 0 0 䡠䡠䡠 u3 the storm duration, Tp can be expressed in terms of dura-
q4 p4 p3 p2 p1 0 0 䡠䡠䡠 u4 tion of unit rainfall excess and the time of concentration as
⫽
q5 p5 p4 p3 p2 p1 0 䡠䡠䡠 u5
䡠䡠䡠䡠 D 2
䡠䡠䡠䡠 Tp ⫽ ⫹ 0.6tc ⫽ tc (22.11)
2 3
䡠䡠䡠䡠
With proper substitution into Eq. (22.10), qp can be ex-
Generally, synthetic unit hydrographs are used to esti- pressed in terms of tc as
mate the rainfall-runoff pattern for the design storm for a
watershed. Synthetic unit hydrographs are often published 726AQ
qp ⫽ (22.12)
in state or local design guides. If local design guides do not tc
specify a hydrograph method, one of several synthetic hy-
drograph methods may be used. Popular methods for de- E X A M P L E 1 : Determine the SCS synthetic UH
veloping synthetic unit hydrographs include the SCS for a predominantly commercial catchment with the
method and the Modified Rational formula, Snyder’s unit following characteristics: area ⫽ 200 ac, average land
hydrograph, Clark’s unit hydrograph and numerous others. slope ⫽ 4%, tc ⫽ 20 min and HSG B.
The SCS Dimensionless Unit Hydrograph 1. From Table 22.1 the CN for commercial land
use and HSG B is 92
The SCS has developed natural unit hydrographs from data
collected from catchments of widely varied size and loca- 2. From Eq. (23.12), the peak discharge for the
tions and then converted to an ‘‘average’’ synthetic curvilin- UH is
ear dimensionless unit hydrograph shown in Figure 22.10.
To simplify calculations, the curvilinear UH may be ap- 726(200 acre)(1 in.)
冉冊
proximated by a triangular UH with similar characteristics. qp ⫽ (22.13)
45 min
The base of the triangular UH is 8⁄3 of the time-to-peak (640 acre/mi2)
60 min/hr
compared with 5 for the curvilinear hydrograph. However,
the area under the rising limb of both hydrographs is iden- ⫽ 303 cfs

F IGURE 22.10 Dimensionless curvilinear UH with SCS’s triangular UH. (Source: USDA, NEH-4.)
3. The time-to-peak is
2 2
tp ⫽ tc ⫽ (20 min) (22.14)
3 3
⫽ 13.3 min
4. The time base is
8 8
tb ⫽ t ⫽ (13.4 min) (22.15)
3 p 3
⫽ 35.7 min
5. The triangular hydrograph is shown in Figure
22.11.
Computer Models for Rainfall-Runoff Relationships

The advent of microcomputers has made hydrologic mod-
eling easier and quicker. Although many designers use these
software programs as a ‘‘black box,’’ it is recommended that
the user have some understanding of the hydrologic pro-
cesses as well as a knowledge of the fundamental limitations
of the programs. The reliability of the output from any com-
puter program is only as good as the input data, the in-
herent assumptions associated with the model, as well as F IGURE 22.11 Synthetic triangular unit hydrograph for ex-
the numerical techniques used to simulate the model. Blind ample 8.
application of the results can lead to poor design at best or log(qu) ⫽ C0 ⫹ C1 log(tc) ⫹ C2(log(tc))2 (22.18)
jeopardize life and property at worst.
A number of computer models are available, well doc- where coefficients for C0, C1, and C2 are given in Table
umented and supported, and powerful in terms of their 22.5 for Ia / P ratios. Figure 22.12 shows the graphical
ability to manipulate hydrographs. These models may be representation of Eq. (23.18) for the SCS type II rain-
used to generate hydrographs from either synthetic or his- fall distribution.
torical design storms, combine hydrographs together, and
perform channel and pond routings. The type of computer 5. Determine the pond factor, Fp, if applicable.
model selected depends on the user, available data, and 6. Use Eq. (22.16) to find the peak discharge.
possibly any preferences by the reviewing agencies.
Some of the more popular models in use are listed in DESIGN FOR STORM WATER QUANTITY CONTROL
Table 22.3.
Introduction
SCS Graphical Peak Discharge Many jurisdictions mandate that the peak, post-
A peak discharge can be obtained from a direct runoff hy- development runoff rate from a site not exceed the peak,
drograph. When only a peak discharge is needed, the SCS’s pre-development runoff rate for a particular design storm.
graphical peak discharge method can be used instead of This requirement is commonly met through the use of
developing an entire hydrograph. SCS’s graphical method storm water management ponds, which detain surface wa-
for determining the peak discharge, appropriate for ho- ter runoff and release it at a slow rate, thereby reducing
mogeneous (i.e., uniform CN ) watersheds and for 0.1 hr ⱕ flooding potential, minimizing erosion and enhancing water
tc ⱕ 10 hrs, is found by quality. The majority of the discussion in this section will
be directed to design of surface storm water management
qp ⫽ qu AmQFp (22.16)
facilities, but the concepts can easily be applied to other
types of detention facilities (e.g., underground SWM facil-
ities).
where qp ⫽ peak discharge (cfs), qu ⫽ unit (hydrograph)
Stormwater management ponds can take the form of a
peak discharge (ft3 /mi2 /in.), Am ⫽ drainage area (mi2),
detention pond or a retention pond. A detention pond, or
Q ⫽ runoff (in., from Eq. (22.1) and Fp ⫽ pond and swamp
‘‘dry pond,’’ is used for the temporary impoundment of sur-
adjustment factor (from Table 22.4).
face water runoff. A retention pond, or ‘‘wet pond,’’ main-
Before engaging this method, consider the following lim-
tains a permanent pool of water, with additional storage
itations.
volume above the permanent pool for detaining runoff. A
䡲 The watershed should be homogeneous with re- storm water management pond usually consists of an im-
spect to the CN. poundment area, a dam embankment, a principal spillway
structure, and an emergency spillway. The impoundment
䡲 The weighted CN should be greater than 40, 0.1 ⱕ area may be a natural stream valley and dam embankment,
tc ⱕ 10 hrs and 0.1 Ia / P ⱕ 0.5. a completely excavated impoundment, or some combina-
䡲 The watershed should have only one main channel. tion of the two. The principal spillway usually consists of
If there is more than one, all channels must have an outlet conduit through the embankment, draining to the
nearly equal tcs. outfall channel. Often the principal spillway incorporates a
spillway ‘‘riser’’ structure, with a combination of orifice
䡲 The method cannot perform reservoir or channel openings and weirs to regulate the amount of flow passing
routing. through it. The emergency spillway may be a channel cut
䡲 The Fp factor is applied only for ponds or swamps around the dam embankment, or an overflow section built
not in the tc flowpath. into the embankment.
The basic steps for designing a stormwater management
Compute the peak discharge for a watershed as follows: pond for water quantity control purposes are:
1. From appropriate maps obtain the 24-hr rainfall, 1. Determine pond location and pond type (e.g., wet
P, for the design storm. or dry pond).
2. Determine the CN for the watershed. 2. Develop inflow hydrographs for the design storms.
3. Determine Ia from Localities may mandate that the pond must attenuate
peak discharges for several design storms.
Ia ⫽ 0.2 冉冊
1000
CN
⫺ 10 (22.17)
3. Estimate the amount of storage required for each
of the design storms.
4. The unit peak discharge (qu) in cubic feet per 4. Grade the pond to accommodate the necessary
square mile per inch of runoff is determined from storage and develop stage-storage-discharge curves.
492
TABLE 22.3 Summary of Seclected Computer Runoff Models
MODEL:
ATTRIBUTE DR3M-QUAL HSPF ILLUDAS PENN STATE STATISTICAL STORM SWMM TR55 HEC-1
(1) (2) (3) (4) (5) (6) (7) (8) (9) (10)
Sponsoring agency USGS EPA III. State OWRT and City EPA HEC EPA SCS HEC
a
Water of Phil.
Survey
.............................................................................................................................................................................
Simulation typeb C, SE C, SE SE N/A C C, SE SE Se
SE
.............................................................................................................................................................................
No pollutants 4 10 Nonec NONE Any 6 10 None None
.............................................................................................................................................................................
Rainfall/runoff
analysis Y Y Y Y N Y Y Y Y

.............................................................................................................................................................................

Sewer system flow
routing Y Y Y N N/A N Y Y Y
.............................................................................................................................................................................
Full, dynamic flow

routing equations N N N N N/A N Yd N N
.............................................................................................................................................................................
Surcharge Yc N Yc N N/A N Yd N N
.............................................................................................................................................................................
Regulators, overflow
structures, e.g.,
weirs, orifices, etc. N N N N N/A Y Y N N
.............................................................................................................................................................................
Special solids
routines Y Y N/A N/A N N Y N/A N/A
.............................................................................................................................................................................
Storage analysis Y Y Y Y Yf Y Y Y Y
.............................................................................................................................................................................
Treatment analysis Y Y N/A N/A Yf Y Y N/A N/A
.............................................................................................................................................................................
Suitable for planning
(P), design (D)g P, D P, D D D P P P, D D D
.............................................................................................................................................................................
Available on
microcomputer N Y Y Y Yh N Y Y Y
.............................................................................................................................................................................
Data and personnel
requirements Medium High Low Low Medium Low High Medium Medium
.............................................................................................................................................................................
Overall model
complexityi Medium High Low Low Medium Medium High Low High
Reset with permission from Water Environment Federation and American Society of Civil Engineers, Design and Construction of Urban Stormwater Management Systems, 1992.
a
Currently supported by Penn State University.
b
Y ⫽ yes, N ⫽ no, N / A ⫽ not applicable, C ⫽ continuous simulation, SE ⫽ single event simulation.
c
Undocumented quality routines added during applications.
d
Full dynamic equations and surcharge calculations only in Extran Block of SWMM.
e
Surcharge simulated by storing excess inflow at upstream end of pipe. Pressure flow not simulated.
f
Storage and treatment analyzed analytically. See references in Section 3.7.9.
g
See Section 3.3.
h
See Driscoll et al. 1989.
i
General requirements for model installation, familiarization, data requirements, etc. To be interpreted only very generally.
j
Reflection of general size and overall model capabilities. Note that complex models may still be used to simulate very simple systems with attendant minimal data requirements.
Surcharge row, model column ⫽ Ye, illudas column ⫽ Ye, available column ⫽ Yf.

493
5. Determine maximum release rate based on local

T A B L E 2 2 . 4 Adjustment Factor (Fp)
design standards, including outfall adequacy.
for Pond and Swamp Areas that are Spread
Throughout the Watershed 6. Estimate elevations for water surface for design
storms and top of dam and determine feasibility with
PERCENTAGE grading design.
OF POND AND
SWAMP AREAS Fp 7. Select preliminary size and configuration of princi-
pal riser structure.
0 1.00
..................................................... 8. Perform hydrologic routing computations to verify
0.2 0.97 preliminary design features.
.....................................................
1.0 0.87 9. Based on results obtained in step 8, modify grad-
..................................................... ing and outlet riser structure.
3.0 0.75
..................................................... 10. Determine other design requirements (e.g., trash
5.0 0.72 racks, concrete cradles, impervious copes, drainage
blankets) and the need for emergency overflow relief
Source: USDA, TR-55. and design accordingly.
TABLE 22.5 Coefficients for Determining qu

RAINFALL
TYPE I2 / P C0 C1 C2
I 0.10 2.30550 ⫺0.51429 ⫺0.11750

0.20 2.23537 ⫺0.50387 ⫺0.08929
0.25 2.18219 ⫺0.48488 ⫺0.06589
0.30 2.10624 ⫺0.45695 ⫺0.02835
0.35 2.00303 ⫺0.40769 0.01983
0.40 1.87733 ⫺0.32274 0.05754
0.45 1.76312 ⫺0.15644 0.00453
0.50 1.67889 ⫺0.06930 0.0
.....................................................................................................................
IA 0.10 2.03250 ⫺0.31583 ⫺0.13748
0.20 1.91978 ⫺0.28215 ⫺0.07020
0.25 1.83842 ⫺0.25543 ⫺0.02597
0.30 1.72657 ⫺0.19826 0.02633
0.50 1.63417 ⫺0.09100 0.0
.....................................................................................................................
II 0.10 2.55323 ⫺0.61512 ⫺0.16403
0.30 2.46532 ⫺0.62257 ⫺0.11657
0.35 2.41896 ⫺0.61594 ⫺0.08820
0.40 2.36409 ⫺0.59857 ⫺0.05621
0.45 2.29238 ⫺0.57006 ⫺0.02281
0.50 2.20282 ⫺0.51599 ⫺0.01259
.....................................................................................................................
III 0.10 2.47317 ⫺0.51848 ⫺0.17083
0.30 2.39628 ⫺0.51202 ⫺0.13245
0.35 2.35477 ⫺0.49735 ⫺0.11985
0.40 2.30726 ⫺0.46541 ⫺0.11094
0.45 2.24876 ⫺0.41314 ⫺0.1150⬚
0.50 2.17772 ⫺0.36803 ⫺0.09525

F IGURE 22.12 Unit peak discharge (qu) for SCS type II rainfall distribution. (Source: USDA, TR-55.)
Site Location residential areas, ponds can be an attractive nuisance, es-

Small retention/detention (R/D) ponds are used to atten- pecially for children. Therefore, safety is a prime consider-
uate peak flows and improve water quality. That is, very ation in the design. Such features as gently sloping side
little recreational use and very little amenity value can be slopes, benching the slopes, shallow depths (especially
expected. The designer still needs to incorporate as many along edges) and fencing should be considered.
items as possible, given site conditions, economic consid- For larger retention ponds and lakes site location must
erations and the development program of the client, to consider factors such as:
make the facility unobtrusive and to blend in with sur-
䡲 Is the drainage area sufficient to supply the requi-
rounding landscape. There are numerous small residential
site volume of water? The losses due to seepage and
and commercial development projects where the buildings
evaporation must be less than the runoff.
and landscape are tastefully designed, only to have an un-
sightly vertical pipe in a conspicuously located detention 䡲 Are the soils too porous? If the lake bed soils have
pond. high percolation rates, liners may be required.
Small R/D ponds are located on the site where they can
䡲 Are the soils suitable for a dam foundation?
collect the most runoff. Typically this is near the low area
of the site. The ponds can be hidden using creative land- 䡲 Can the excavated on-site soils be used for dam
scaping as long as maintenance access is maintained. In construction?

䡲 Is there a natural constriction in the watershed that the dam is placed at a constriction in the valley, the earth-
would serve as a good dam location? work will be minimized.
䡲 What must be the depth of facility given the sedi- Inflow Hydrographs
ment delivery ratio, recreational uses, losses from seep- Development of inflow hydrographs consists of assembling
age and evaporation to sustain the prescribed water hydrologic data relating to the design storms and the land
level and a natural balance of aquatic ecosystems. use. A topographic map is necessary to determine the drain-
䡲 Wetlands impact. age divides of the watershed. It is recommended that hy-
drologic analysis be performed for pre-development (i.e.,
䡲 Surrounding land use. existing) conditions, post-development conditions and
ultimate-development conditions. Hydrologic analysis for
The location should be integrated with the site design, ultimate conditions is performed if a considerable amount
either to minimize the impact on the development project of the watershed area is outside the development area and
or to enhance the development functionally and aestheti- this offsite area is largely undeveloped. Zoning and com-
cally (see Figure 22.13). If possible, a detention or retention prehensive planning maps indicate the extent of develop-
facility should be located so that runoff will drain into it ment and projected (ultimate) land use within the
naturally, without requiring additional engineering mea- watershed. If SCS methodology is used, obtain maps that
sures such as storm sewers or channels to force drainage show the soil series and its HSG as well as a delineation of
divides artificially. The most economical design for a wet or the land cover type.
dry pond is one that requires the least amount of earth- A composite map delineating the HSG and land cover
work. If a natural valley is used for the impoundment, and types for the watershed is necessary to compile the runoff
F IGURE 2 2 . 1 3 The use of a stormwater management facility as an amenity is exhibited in this permanent pond at Fair Lakes, a major mixed-
use project in Fairfax Co. Extensive trees and area supplemented with additional landscape materials provide a varied edge environment and reinforce the
water jet features with an attractive setting for the proximate office buildings. The facility likewise provides a rich visual experience as viewed from the
pedestrian path (left) and adjacent roadway (upper right). The spillway riser structure behind the water jet is shown in Figure 22.16.

curve number. The area of each HSG and land cover type area method used for measuring cut and fill quantities. After
is determined to obtain the curve number. If the watershed the areas are measured for each contour within the pond,
is very large and contains a considerable amount of diver- the storage volume can be computed. Two different equa-
sity in land cover types and HSG, it may be feasible to tions are commonly used to compute the volume: the av-
divide the watershed into homogeneous sub-basins. erage end area method and the conic approximation
Based on local design criteria, the designer determines method. The conic approximation method is used in some
the amount of offsite runoff that may need to be considered computer methods such as HEC-1. The equations for each
when determining the pond volume. Local design criteria method are Eqs. (22.19) and (22.20).
may vary on the amount of offsite runoff that is to be con- Average End Area Method:
trolled by a stormwater management facility.
The design storms for detention design and emergency An ⫹ An⫹1
spillway design, in many cases, are dictated by local review- Vinc ⫽ ⫻h (22.19)
2
ing agencies. Therefore, precipitation data and rainfall pat-
terns or unit hydrographs may be readily available. If local
agencies do not dictate the design storm, the designer must Conic Approximation Method:
use judgment in selecting appropriate rainfall data. Factors
included in selecting the design storm for detention include An ⫹ An⫹1 ⫹ 兹An ⫻ An⫹1
the downstream problems that need to be resolved (e.g., Vinc ⫽ ⫻h (22.20)
3
erosion, channel capacity or hydraulic structure capacity.)
For emergency spillway design, the size of the facility, risk,
potential damage to downstream property, and potential where Vinc ⫽ incremental volume in pond between contour
loss of life if the pond facility fails are considerations. lines representing An and An⫹1, An ⫽ measured area of n-th
contour line, An⫹1 ⫽ measured area of the successive con-
Estimating the Volume of Storage Required tour line, and h ⫽ elevation difference between the two
When initially sizing a SWM facility, the required storage contour lines.
volume to provide the required amount of detention is un-
known. An initial estimate of the required storage volume Principal Spillway
may be made based on the inflow hydrograph and the re- A typical spillway consists of a drop inlet structure with
quired outflow rate. The amount of storage required for a one or more levels of weir at the top (see Figure 22.15),
given design storm is equal to the representative volume one or more orifice openings at various elevations, and
between the inflow and outflow hydrographs. an outlet pipe. The drop inlet may be a simple riser pipe
To obtain a first estimate of the storage required, the with the top acting as a weir; or, it may be more complex,
outflow hydrograph can be approximated by drawing a such as a structure with a low-flow orifice, two or more
straight line from the beginning of substantial runoff on the intermediate-level orifice openings, and a multi-level weir
inflow hydrograph to the point on the receding limb cor- at the top. Often a modified concrete manhole can be used
responding to the allowable peak outflow rate. Alternatively, as a riser, or segments of reinforced concrete pipe may be
TR-55 provides a dimensionless graph relating the ratio of used. For a dry pond, a special low level orifice opening
storage volume to runoff volume to the ratio of peak out- may be incorporated to provide water quality enhancement,
flow discharge to peak inflow discharge for the four types such as extended detention (see following section on Water
of synthetic storms (see Figure 22.14). Quality). For a wet pond, a valve or a sluice gate attached
Once an initial estimate of the required volume has been to an opening at the bottom of the pond should be in-
made and the location has been determined, a preliminary cluded. This will allow the pond to be easily drained for
grading design of the pond is done. In preparing the grad- maintenance tasks such as dredging accumulated sediments
ing plan, the objective is to obtain the preliminary estimate out of the pond.
of the storage while keeping in mind such things as mini- The primary objective in designing the principal spillway
mizing earthwork, nominal height requirements of the emis to size the weirs and orifices such that the peak discharge
bankment, depth limitations for safety, sediment storage, of the design storm is less than the allowable rate. The peak
and aquatic vegetation, and aesthetic value of the project. discharge through the principal spillway occurs at the max-
A graph of the stage-storage relationship is then devel- imum water surface elevation in the pond for a design
oped. The stage-versus-storage relationship is derived by storm, assuming the flow through the principal spillway is
measuring the area within the pond at selected elevations uncontrolled and depends only on available head. The max-
and estimating the storage volume based on the area and imum water surface elevation is obtained by routing the
depth. The areas can be measured with a planimeter on a inflow hydrograph through the facility. The design of the
contour map, or by other methods. (See Chapter 24, Grad- principal spillway is an iterative process because of the
ing and Earthwork, for more information.) The method for number of controlling factors dictating the outflow hydro-
computing the storage volume is similar to the average end graph.

F IGURE 22.14 Approximate detention basin routing for synthetic rainfall distributions. (Source: USDA, TR-55.)
F IGURE 22.15 Typical riser structures; note the difference in aesthetic enhancements.
The following steps briefly outline the procedures for to act as an orifice instead of a weir. If the top of the riser
sizing the riser to meet a target discharge. acts as an orifice, and the riser and outlet pipe are flowing
partly full, surging and vibration can occur. This unstable
1. Compute an initial stage versus storage relation- situation can result in damage to the spillway, as well as
ship for a given pond site. excessive noise during operation. To prevent this, the riser
2. Assume a set of dimensions for the outlet structure should have a larger cross-sectional area than the outlet
based on maximum allowable depth and/or allowable pipe. To determine if the top of the riser is flowing as a
release rate. weir or an orifice, the discharge is computed for a given
water surface elevation using both the orifice equation and
3. Compute the stage-storage-discharge relationship the weir equation. The equation that gives the lesser
for the pond site and assumed outlet structure. amount of flow is the controlling equation.
4. Compute the storage indication curve (discussed Depending on the hydraulic characteristics of the cul-
below). vert, there may be certain water surface elevations where
the potential flow through the riser exceeds the capacity of
5. Route the inflow hydrograph through the storage the culvert. In such cases the actual flow through the riser-
facility to obtain the outflow hydrograph. culvert system is dictated by the capacity of the culvert at
6. If the target discharge is not met (within a reason- those specific water surface elevations. This is referred to as
able tolerance), modify the dimensions of the outlet culvert control, and the stage-discharge curve (i.e., the rat-
structure or the pond and repeat. ing curve) must reflect this condition.
Another alternative is to design the outlet pipe such that
Single Stage Risers. For the spillway configuration, an it will never flow full for the anticipated range of flows that
elevation-discharge relationship (i.e., rating curve), is de- could occur, including ensuring that the outlet will not be-
veloped. Discharge through an orifice is given by come submerged. For this situation, the possibility that the
amount of flow passing through the pipe be controlled at
Q ⫽ C ⫻ A ⫻ 兹2 ⫻ g ⫻ H (22.22) the inlet of the pipe must be considered, in which case the
entrance to the culvert may behave similar to an orifice.
where C ⫽ a coefficient, typically ⫽ 0.6, A ⫽ area of orifice The inlet control nomographs or equations from HDS-5
opening (sq ft), g ⫽ gravitational acceleration ⫽ 32.2 ft/s2, may be used to check inlet control, but it should be noted
H ⫽ height of water (ft) in the pond above the centroid of that these nomographs were developed for highway cul-
the orifice or the difference in water surface elevations on verts; attaching a riser to the end of the culvert will likely
the upstream and downstream sides of orifice. alter the flow conditions somewhat. The configuration and
Discharge over a weir is computed as relative sizes of the riser and outlet pipe will determine how
closely the riser and outlet pipe resemble a highway culvert
Q ⫽ C ⫻ L ⫻ H 1.5 (22.23) in terms of hydraulic function.
Multiple Stage Risers. Depending on the design objec-
where C ⫽ a weir coefficient usually ⬇2.5 to 3.3, L ⫽ weir tives for the pond, the outlet structure may consist of a
crest length (ft), H ⫽ height (ft) of water above weir crest. simple culvert through a dam, or it may consist of a drop
If the weir is submerged (water elevation on downstream inlet spillway with a more complicated weir/orifice riser
side of the weir is above weir crest), the effect of submer- structure. Figure 22.16 shows a riser structure designed to
gence on the computed discharges should be checked. Val- meet several objectives. Table 22.6 shows a spreadsheet set
ues of the orifice and weir coefficients and the effects of up to calculate the discharge from a multi-stage riser. The
submergence on weirs can be obtained from hydraulics values of Table 22.6 correspond to the riser of Figure 22.16.
manuals such as Brater and King (1976). Orifices: Columns Q1 and Q2 represent the discharge
For flow through a conduit, pipe, or culvert, the equa- through the 6- and 12-in. diameter orifice, respectively. The
tions and nomograph from the publication Hydraulic Design discharge is computed using Eq. (22.22).
of Highway Culverts, Hydraulic Design Series No. 5 (HDS- Column Q3 is the discharge through the top of the riser
5) by the Federal Highway Administration (FHWA) can be as computed using Eq. (22.22). This is used as a compar-
used. HDS-5 provides methods for analyzing and designing ison with Q3 of the weir to determine whether the spillway
pipes of all different sizes, shapes, and materials to deter- is under orifice flow or weir flow control.
mine the energy or head loss associated with a given dis- For example, the discharge through each orifice for wa-
charge for both inlet and outlet control conditions. (See ter surface elevation 111 ft is
Chapter 21, Storm Drainage Design, for procedures on cul-
vert design.) Q1 ⫽ (0.6)(0.196) 兹2 g (111 ⫺ 100.75) ⫽ 3.0 cfs
A drop inlet spillway should be designed so that full flow
Q2 ⫽ (0.6)(0.785) 兹2 g (111 ⫺ 105.5) ⫽ 8.9 cfs
is established through the culvert and riser at as low head
over the riser crest as practical and before the head over Q3 ⫽ (0.6)(28.27) 兹2 g (111 ⫺ 110) ⫽ 136.1 cfs
the top of the riser becomes so large that the riser begins (22.24)
F IGURE 22.16 Riser structure schematic details.
Weir: Columns Q1 and Q2 are the discharge through Culvert capacity is the maximum discharge that the cul-
weirs at elevations below the top of the riser (in this case vert can convey for the given water surface (see Chapter 14
there is no weir for Q2 column). The discharge is computed on Storm Drain Design). The culvert discharge analysis is
using Eq. (22.23). Q3 is the discharge over the riser crest given in Table 22.7.
as computed using Eq. (22.23). For example, the weir dis- Q P.S.W. (discharge through the principal spillway) is
charges for water surface elevation of 111 ft are the lesser value of either the riser flow column or the culvert
capacity column.
Q1 ⫽ (3)(3)(111 ⫺ 109)3 / 2 ⫽ 25.5 cfs (22.25) Q E.S.W. (discharge through the emergency spillway) is
computed assuming a control section exists and calculating
Q3 ⫽ (3)(15.85)(111 ⫺ 110)3 / 2 ⫽ 47.5 cfs critical depth. It is assumed that the reservoir water surface
elevation equals the energy head associated with critical
Riser flow is the total discharge through the riser with- depth at the control section.
out consideration of culvert capacity. The riser is assumed Total flow is the sum of columns Q P.S.W. and Q E.S.W.
to act as either orifice control or weir control depending on To summarize the preceding discussion, the spillway sys-
the discharges computed for Q3 (orifice) and Q3 (weir). The tem consists of the principal spillway (culvert and riser) and
lesser of these values dictates the type of control. If Q3 (or- the emergency spillway. The total flow through the system
ifice) is less than Q3 (weir) the total flow through the riser is the sum of the principal and emergency spillway flows.
is Q1 (orifice) ⫹ Q2 (orifice ⫹ Q3 (orifice). If the top of the The flow through the principal spillway depends on the
riser is weir control, the total flow through the riser is Q3 controlling component—either riser or culvert. The greatest
(weir) ⫹ Q2 (weir) ⫹ Q3 (weir) ⫹ Q2 (orifice) ⫹ Q3 (orifice). flow through the system can be no greater than the capacity
The riser flow for water surface elevation 111 ft is of any single component for the given water surface ele-
vation. For example, at elevation 110 the flow through the
Riser Flow ⫽ 3.0 ⫹ 8.9 ⫹ 25.5 ⫹ 47.5 ⫽ 84.9 cfs riser is 19.9 cfs while the capacity of the culvert is 88.3 cfs.
(22.26) The culvert would convey 88.3 cfs, if the riser structure

TABLE 22.6 Spillway Rating Curve

PROJECT: EXAMPLE RATING CURVE ENGINEER/DATE: GLC/11-19-93
CULVERT RATING CURVE
ORIFICE FLOW SIZE: 36ⴖ DIA. RCP
CENTROID ELEVATION DISCHARGE
ORIFICE NO. ELEV. AREA C DESCRIPTION
100.5 0
1 100.75 0.196 0.6 6ⴖ dia. orifice .................................
...................................................................... 102.6 20
2 105.5 0.785 0.6 12ⴖ dia. orifice .................................
...................................................................... 103.8 40
3 (riser top) 110 28.274 0.6 72ⴖ dia. riser .................................
105.55 60
.................................
WEIR FLOW 108.53 80
.................................
WEIR CREST EMERGENCY 112.07 100
.................................
NO. ELEV. LENGTH C SPILLWAY FLOW 114.06 110
.................................
1 109 3 3 Crest Elev ⫽ 113 116.18 120
.............................................. .................................
Width ⫽ 20
2 118.08 130
.............................................. Z ⫽ 3 .................................
3 (riser top) 110 15.850 3 C ⫽ 120.11 140
ORIFICES WEIRS
RISER CULVERT Q P.S.W. TOTAL
ELEV. Q1 Q2 Q3 Q1 Q2 Q3 FLOW CAPACITY (CONTROL) Q E.S.W. FLOW COMMENTS
100.5 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0
...........................................................................................................................
102 1.1 0.0 0.0 0.0 0.0 0.0 1.1 14.3 1.1 0.0 1.1
...........................................................................................................................
103 1.4 0.0 0.0 0.0 0.0 0.0 1.4 26.7 1.4 0.0 1.4
...........................................................................................................................
104 1.7 0.0 0.0 0.0 0.0 0.0 1.7 42.3 1.7 0.0 1.7
...........................................................................................................................
105 1.9 0.0 0.0 0.0 0.0 0.0 1.9 53.7 1.9 0.0 1.9
...........................................................................................................................
107 2.4 4.6 0.0 0.0 0.0 0.0 7.0 69.7 7.0 0.0 7.0
...........................................................................................................................
108 2.5 6.0 0.0 0.0 0.0 0.0 8.5 76.4 8.5 0.0 8.5
...........................................................................................................................
109 2.7 7.1 0.0 0.0 0.0 0.0 9.8 82.7 9.8 0.0 9.8
...........................................................................................................................
109.5 2.8 7.6 0.0 3.2 0.0 0.0 13.5 85.5 13.5 0.0 13.5
...........................................................................................................................
110 2.9 8.0 0.0 9.0 0.0 0.0 19.9 88.3 19.9 0.0 19.9
...........................................................................................................................
110.5 3.0 8.5 96.3 16.5 0.0 16.8 44.8 91.1 44.8 0.0 44.8
...........................................................................................................................
111 3.0 8.9 136.1 25.5 0.0 47.5 84.9 94.0 84.9 0.0 84.9
...........................................................................................................................
111.5 3.1 9.3 166.7 35.6 0.0 87.4 135.3 96.8 96.8 0.0 96.8 culvert control
...........................................................................................................................
112 3.2 9.6 192.5 46.8 0.0 134.5 194.1 99.6 99.6 0.0 99.6 culvert control
...........................................................................................................................
113 3.3 10.4 235.8 72.0 0.0 247.1 249.5 104.7 104.7 0.0 104.7 culvert control
...........................................................................................................................
113.5 3.4 10.7 254.7 85.9 0.0 311.3 268.8 107.2 107.2 22.9 130.1 culvert control
...........................................................................................................................
114 3.4 11.0 272.3 100.6 0.0 380.4 286.7 109.7 109.7 68.0 177.7 culvert control
...........................................................................................................................
114.5 3.5 11.3 288.8 116.1 0.0 453.9 303.6 112.1 112.1 130.9 242.9 culvert control
...........................................................................................................................
115 3.6 11.7 304.4 132.3 0.0 531.6 319.6 114.4 114.4 210.6 325.0 culvert control
...........................................................................................................................
116 3.7 12.3 333.5 166.7 0.0 698.8 349.4 119.2 119.2 420.8 539.9 culvert control
...........................................................................................................................
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 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 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 0.0 0.0 0.0 0.0 0.0

502
TABLE 22.7 Discharge through the Culvert
STATION: CULVERT DESIGN FORM
PROJECT: EXAMPLE RATING CURVE SHEET: DESIGNER / DATE: GLC / 11-19-93
HYDROLOGICAL DATA
METHOD: RATIONAL CULVERT TYPE: RCP
DRAINAGE AREA: 40 ACRES ENT. TYPE: SQ. EDGE WITH HEADWALLS
DESIGN FLOWS / TAILWATER
R.I. (YEARS) FLOW (CFS) TW (FT) NO. OF PIPES ⫽ 1
DIAMETER ⫽ 3
0 100
..............................
20 101
.............................. MANNING’S n ⫽ 0.013
40 102 .......................................
.............................. Ke ⫽ 0.7
80 104 .......................................
.............................. ELi ⫽ 100.5
120 106 .......................................
.............................. EL0 ⫽ 100
160 106.5 .......................................
.............................. ELtr ⫽ 116 top of dam elev.
200 107 .......................................
.............................. ELsh ⫽ 113 emer spillway crest
250 107.2 .......................................
.............................. L ⫽ 80

300 107.3

..............................
400 107.4
..............................
600 107.5
HEADWATER CALCULATIONS

TOTAL FLOW INLET CONTROL OUTLET CONTROL
FLOW PER CONTROL APPROXIMATE
CULVERT DESCRIPTION: Q BARREL Dc ⴙ D HW OUTLET
MATERIAL-SHAPE-SIZE ENTRANCE (CFS) Q/N HWi / D1 HWi2 EL(HI)3 TW 4 Dc 2 H05 KE H6 EL(H0)7 ELEVATION VELOCITY COMMENTS
1,3⬘ dia. RCP, sq. edge with headwalls 20 20 0.70 2.10 102.60 1 1.45 2.23 2.23 0.7 0.28 102.51 102.60 5.90 I.C.
.............................................................................................................................................................................
ⴖ 30 30 0.90 2.70 103.20 1.5 1.80 2.40 2.40 0.7 0.64 103.03 103.20 6.79 I.C.
.............................................................................................................................................................................
ⴖ 40 40 1.10 3.30 103.80 2 2.08 2.54 2.54 0.7 1.13 103.67 103.80 7.65 I.C.
.............................................................................................................................................................................
ⴖ 50 50 1.33 4.00 104.50 2.5 2.32 2.66 2.66 0.7 1.77 104.43 104.50 7.94 I.C.
.............................................................................................................................................................................
ⴖ 60 60 1.62 4.85 105.35 3 2.53 2.76 3.00 0.7 2.55 105.55 105.55 8.49 O.C.
.............................................................................................................................................................................
ⴖ 70 70 1.96 5.88 106.38 3.5 2.68 2.84 3.50 0.7 3.46 106.96 106.96 9.90 O.C.
.............................................................................................................................................................................
ⴖ 80 80 2.36 7.08 107.58 4 2.78 2.89 4.00 0.7 4.53 108.53 108.53 11.32 O.C.
.............................................................................................................................................................................
ⴖ 90 90 2.82 8.45 108.95 4.5 2.86 2.93 4.50 0.7 5.73 110.23 110.23 12.73 O.C.
.............................................................................................................................................................................
ⴖ 100 100 3.32 9.97 110.47 5 2.90 2.95 5.00 0.7 7.07 112.07 112.07 14.15 O.C.
.............................................................................................................................................................................
ⴖ 110 110 3.88 11.63 112.13 5.5 2.93 2.97 5.50 0.7 8.56 114.06 114.06 15.56 O.C.
.............................................................................................................................................................................
ⴖ 120 120 4.48 13.45 113.95 6 2.95 2.98 6.00 0.7 10.18 116.18 116.18 16.98 O.C. RD.O.T.
.............................................................................................................................................................................
ⴖ 130 130 5.16 15.47 115.97 6.125 2.97 2.98 6.13 0.7 11.95 118.08 118.08 18.39 O.C. RD.O.T.
.............................................................................................................................................................................
ⴖ 140 140 5.92 17.75 118.25 6.25 2.97 2.99 6.25 0.7 13.86 120.11 120.11 19.81 O.C. RD.O.T.
.............................................................................................................................................................................
ⴖ 150 150 6.81 20.43 120.93 6.375 2.98 2.99 6.38 0.7 15.91 122.29 122.29 21.22 O.C. RD.O.T.
.............................................................................................................................................................................
ⴖ 160 160 7.89 23.68 124.18 6.5 2.98 2.99 6.50 0.7 18.10 124.60 124.60 22.64 O.C. RD.O.T.
TECHNICAL FOOTNOTES:
1
HWi based on polynomial best-fit equations from the FHA publication entitled Calculator Design Series #3.
2
HWi may not be accurate for values ⬍0.5D and ⬎4.5D.
3
EL(hi) ⫽ HWi ⫹ ELi (invert of inlet control section).
4
TW based on downstream control or flow depth in channel.
5
h0 ⫽ TW or (dc ⫹ D) / 2, whichever is greater.
6
H ⫽ (1 ⫹ Ke ⫹ (nˆ 2L) / R ˆ 1.33)V ˆ 2 / 2g.
7
EL(ho) ⫽ El0 ⫹ H ⫹ h0.

503
were not there to limit the flow to the culvert. At elevation be expected from the most severe combination of critical
111.5 the reverse is true. The potential flow through the meteorologic and hydrologic conditions that are reasonably
riser is 135.3 cfs while the capacity of the culvert is 96.8 possible in the region. The PMF is often estimated using
cfs. Since the culvert is the limiting component, the culvert hydrologic modeling techniques to determine the runoff hy-
controls. drograph associated with the probable maximum precipi-
Note that the flow through the emergency spillway be- tation. The PMP is the greatest depth of precipitation for a
gins at elevation 113. The total flow through the system is given duration that is physically possible over a given size
then the sum of the flow of the controlling component of storm area at a particular geographic location at a certain
the principal spillway (riser or culvert) plus the flow time of the year.
through the emergency spillway. The composite rating curve
of Figure 22.17 is obtained from the last column of Table Maintenance Access
22.6. This curve represents the combined hydraulic effects
Urban stormwater management facilities must be designed
of the individual spillway components.
such that access is provided to allow repairs, cleaning and
Emergency Spillways inspections. Areas of the dam frequented by maintenance
personnel are the top of the dam, spillway inlet/outlet
The typical function of SWM facilities is to detain runoff
structures and channels, shoreline areas, downstream face
for selected design storms and to allow the runoff from
of dam, mowing areas, and other mechanical areas such as
larger storms to pass through an emergency spillway. The
pump and valve houses. Preferably an all-weather surface
emergency spillway safely conveys the excess water
leading to these points of interest and wide enough for util-
through, over or around the dam to prevent uncontrolled
ity vehicle travel should be part of the design. A vehicle
overtopping—a major cause of dam failure. For large SWM
turn-around area might also be a consideration.
facilities, an emergency spillway typically consists of a wide
channel cut along the side of the dam and below the top
of dam elevation. For small SWM facilities, the emergency Hydrologic (Reservoir) Routing
spillway may be overland relief. That is, it may be a quasi- After a preliminary riser design has been completed, its ef-
natural flowpath (e.g., over roads, parking areas, lawns, fectiveness must be evaluated by routing the design storm
etc.) for the major storm event such that buildings are not hydrograph through the pond to obtain the outflow hydro-
inundated. graph. As a flood wave passes through a storage facility, it
For major SWM facilities the determination of the ap- is both delayed and attenuated as it spreads over the pool
propriate SDF and design of the emergency spillway may surface. The amount of attenuation depends on the stage-
consist of a detailed study of potential damage to down- storage characteristics of the pond and the stage-discharge
stream property in the event of failure. Many small on-site characteristics of the outflow structure. The amount of at-
facilities pose minimal risk in the event of failure since their tenuation and delay is reflected in the shape of the outflow
capacity is too small to create a high-risk flood wave. The hydrograph and the position of the peak outflow.
storm event used for designing the emergency spillway may Reservoir routing or hydrologic routing uses mathemat-
vary from the 100-yr flood to the probable-maximum flood ical relationships to calculate the outflow hydrograph from
(PMF) depending on the risk associated with a failure due the following known information: inflow, hydrograph, ini-
to overtopping. The PMF is the flood discharge that may tial reservoir conditions, reservoir characteristics and prin-
cipal spillway characteristics. Perhaps the most widely used
method of reservoir routing, where the relationship between
outflow and storage is non-linear, is the storage-indication
method, also known as the modified Puls method. To em-
ploy this method the known parameters must include: (1)
inflow hydrograph, (2) elevation-storage relationship, (3)
elevation-outflow relationship, (4) storage-outflow relation-
ship, and (5) storage indication relationship. Items 4 and 5
are derived from items 2 and 3.
Underlying assumptions behind the storage routing
method are that the reservoir water surface is always level
and outflow is a unique function of storage. The procedure
is based on the repetitive application of the conservation-
of-mass equation. The difference between the inflow, I, and
the outflow, O, during an incremental element of time, ⌬t,
is the change in storage ⌬S. This continuity principal is
F IGURE 22.17 Typical spillway rating curve. mathematically expressed as

⌬S where I ⫽ inflow, O ⫽ outflow, S ⫽ storage and t ⫽ time

I⫺O⫽ (22.27)
⌬t and the right side of the equation is the storage indication
variable. The increment of ⌬t is selected such that the hy-
drograph shape between the values of In and In⫹1 and On
With reference to Figure 22.18, the equation in discre-
and On⫹1 is approximately linear.
tized format, where the subscripts n and (n ⫹ 1) represent
The graphical representation of this equation is shown
the values at the beginning and ending points of the ⌬t
in Figure 22.18. In the calculation process, the elevation-
increment, is
storage and elevation-discharge relationships are used to de-
冉冊
velop a storage-indication discharge relationship; this curve
In ⫹ In⫹1 O ⫹ On⫹1 is then used to find the value of On⫹1.
⫺ n ⌬t ⫽ Sn⫹1 ⫺ Sn (22.28)
2 2
Detention Pond Design Example
Rearranging terms to get the known quantities on the A 50-acre parcel covered with brush and woods is projected
left side of the equality gives for development into 40 acres of 1-acre residential lots and
10 acres of commercial/retail development. The site is lo-
(In ⫹ In⫹1) ⫹ 冉2Sn
⌬t
⫺ On 冊 ⫽
2Sn⫹1
⌬t
⫹ On⫹1 (22.29)
cated in southeastern Virginia. The HSG is type B (fair con-
dition). Using SCS hydrologic methods, determine a
preliminary size of the detention pond and the spillway to
detain the 10-yr 24-hr design storm and to pass the 100-
yr 24-hr storm without overtopping the embankment. Al-
lowable discharge rate from the spillway for the 10-yr storm
cannot exceed the pre-development peak runoff. Site con-
straints dictate that the maximum allowable height of the
embankment is 10 ft. A schematic diagram of the project
site is shown in Figure 22.19.
1. The time of concentration and CN is needed for

pre-development conditions to compute the pre-
development peak runoff rate.
(a) From Figure 22.3, the 2-yr 24-hr rainfall depth
is 4 in., and from Table 22.2, n ⫽ 0.4. From topo-
graphic maps of the site, the average ground slope
for the first 300-ft flow path of sheet flow runoff
(shown A to B in Figure 22.19) is 0.035 ft/ft. From
Eq. (22.4) the travel time is
F I G U R E 2 2 . 1 8 Storage change (a) in a reservoir (b) from

inflow-outflow hydrographs. (Courtesy of Haan, C.T., and B.J. Barfield, Hy-
drology and Sedimentology of Surface Mixed Lands. Copyright 䉷 1978 by
the Office of Continuing Education and Extension, College of Engineering,
University of Kentucky, Lexington, Kentucky, 40506.) F IGURE 22.19 50-acre parcel for detention pond design.

(0.007){(0.04)(300)}0.8 2. An inflow hydrograph (i.e., direct runoff hydro-

Tt ⫽ ⫽ 0.51 hr (22.30)
(4)1 / 2(0.035)0.4 graph) is needed to design the principal spillway. To
determine the inflow hydrograph, the CN and tc for
(b) The travel time for 700 ft of shallow concen- post-development conditions is needed. The weighted
trated flow (B to C on Figure 22.19) over an aver- CN value is
age ground slope of 0.02 ft/ft (from a topographic
map of the site) from Eq. (22.5) is
92 (10 acre) ⫹ 68 (40 acre)
CN ⫽ ⫽ 73 (22.36)
50
V ⫽ (16.1345)(0.02)1 / 2 ⫽ 2.3 fps (22.31) The decrease in impervious area for the post-
700 development condition results in a decrease in tc and
Tt ⫽ ⫽ 0.09 hr consequently an increase in peak runoff. It is reasona-
(3600)(2.3)
ble to assume a 50% (or more) decrease in the length
(c) From field reconnaissance the 1000-ft length of of flow path for both overland flow and shallow con-
stream is rectangular in shape with average dimen- centrated flow due to the increase in imperviousness
sions; bottom width ⫽ 4 ft and depth ⫽ 2 ft. Man- and addition of pipes and inlets. For overland flow
ning’s n ⬇ 0.03 and S ⫽ 0.004 ft/ft. Using Eq. computation estimating L ⫽ 100 ft and assuming there
(22.6). is nominal change in ground slope, the overland flow
time for post-development conditions (assuming n ⫽
0.24—e.g, dense grasses listed in Table 22.2) is
V⫽
1.49
0.03 冉 (2)(4)
2(2) ⫹ 4 冊
0.67
(0.004)1 / 2 ⫽ 3.1 fps

Tt ⫽
(0.007){(0.24)(100)}0.8
⫽ 0.13 hr (22.37)
(4)1 / 2(0.035)0.4
1000
Tt ⫽ ⫽ 0.09 hr (22.32)
(3600)(3.1))
The initial 700-ft length used for shallow concen-
(d) The pre-development tc ⫽ (0.51) ⫹ (0.09) ⫹ trated flow travel time will undoubtedly be changed.
(0.09) ⫽ 0.69 hr. Assume the preliminary plans show that the length for
post-development conditions is 100 ft and also that
(e) The CN ⫽ 65 is obtained from Table 22.1 for
there is little change in ground slope. The post-
woods-grass category under HSG B (fair condition).
development travel time for shallow concentrated flow
Using Eq. (22.2),
is
V ⫽ 20.3282 (0.02)1 / 2 ⫽ 2.9 fps (22.38)

1000
S⫽ ⫺ 10 ⫽ 5.4 (22.33) 100
65 Tt ⫽ ⫽ 0.01 hr
(3600)(2.9)
(f) From Figure 22.4, the 10-yr 24-hr rainfall is 6
in. Substituting for P and S in Eq. (22.3), the depth
In computing the travel time for post-development
of runoff is
open channel flow, based on a preliminary layout, part
of the flow path will be in pipes and, also, part of the
existing stream will be improved to increase capacity. If
{6 ⫺ (0.2)(5.4)}2 the length of flow path in pipes is estimated to be 450
Q⫽ ⫽ 2.3 in. (22.34)
6 ⫹ (0.89)(5.4) ft with an average diameter of 2 ft, the travel time in
the pipes is
(g) Since Ia ⫽ 0.2 S, Ia ⫽ 1.08 and Ia / P ⫽ 1.08/6
冉冊
⫽ 0.18. Use Figure 22.12 (or Eq. (22.18) with ap- 0.67
propriate coefficients) to obtain qu ⫽ 305 cfs. Using 1.49 2
Vp ⫽ (0.02)1 / 2 ⫽ 10.2 fps (22.39)
Eq. (22.16), the peak discharge for pre-development 0.013 4
conditions is 450
Tt ⫽ ⫽ 0.01 hr
(3600)(10.2)
qp ⫽ (305) 冉冊 50
640
(2.3) ⫽ 55 cfs (22.35) The preliminary design projects the improved stream
to be increased in size to 5 ft wide and 3 ft deep (n ⬇

0.02) with a new channel length of 700 ft. The corre- drograph represents the storage of the pond. For this
sponding travel time is example the initial estimate for storage is about 4 acre-ft
(⬇170,000 ft3).
Vst ⫽
1.49
0.02 冉 (5)(3)
2(3) ⫹ (5) 冊 (0.008)1 / 2 ⫽ 8.2 fps
Before the pond is graded using this as the target vol-
ume, the site is assessed as to the controlling constraint,
area or depth or perhaps other limitations. For example,
(700) since the embankment height is limited to 10 ft, the max-
Tt ⫽ ⫽ 0.02 hr (22.40)
(3600)(8.2) imum depth of the water is 9 ft (if 1 ft is allowed for free-
board). Allowing for 2 ft of depth (as a first guess) over the
The tc for post development conditions: tc ⫽ (0.13) crest of the weir for the 100-yr storm sets the weir elevation
⫹ (0.01) ⫹ (0.01) ⫹ (0.02) ⫽ 0.17 hrs. at 147. This limits the depth of water over the low-flow
orifice at seven ft. Based on these assumptions, the diameter
3. The inflow hydrograph is computed using TR-55 of the orifice is
tabular method. As with the pre-development peak
discharge computations, values of S, Q, Ia, and Ia / P are
required. The results are shown in Figure 22.20. (Note 55 cfs ⫽ (0.6)(A) 兹2g7 or (22.41)
that the tabular method only applies to 24-hr storm A ⫽ 4.3 ft 2
durations). From the inflow hydrograph, the runoff

peak discharge is 190 cfs.
which corresponds to a diameter of 2.3 ft. A 27-in. diameter
To get a first estimate of the storage volume, draw a line hole is selected.
from the point where significant runoff begins to the target By the same procedure used to determine the pre-
discharge release rate on the falling limb of the inflow hy- development peak discharge for the 10-yr storm, the 100-
drograph. This line represents the rising limb of the outflow yr 24-hr post-development peak discharge is found to be
hydrograph. The area between this line and the inflow hy- 362 cfs. (Use P100 ⫽ 9 inches, weighted CN ⫽ 73, and tc ⫽
0.17 hr.) Using a depth of 2 ft over the crest of the weir
determines the length of weir needed to pass 362 cfs.
362 cfs ⫽ 3.0(L)(23 / 2) (22.42)

or L ⬇ 43 ft
To verify the orifice diameter, weir elevation, and length,

the inflow hydrograph is routed through the pond. Hydro-
logic routing using Eq. (22.29) is found in most elementary
hydrology textbooks. Long-hand calculations are tedious,
and although it is good practice for an engineer to have
performed such calculations at least once, routing calcula-
tions are typically done using microcomputers and appro-
priate software.
Figure 22.21 shows the outflow hydrograph for the
routed 10-yr inflow hydrograph. Note that the peak dis-
charge of 51 cfs is less than the maximum allowable peak
discharge of 55 cfs. The orifice size and/or weir length
would have been modified if the outflow peak discharge
had been substantially higher or lower than the maximum
allowable 55 cfs. Similar procedures are followed if the de-
tention facility is required to attenuate peak discharges for
other storm events. Multi-stage riser structures (those with
multiple weirs and orifices) can be designed for this pur-
pose.
Note that this example did not consider any factors that
might reduce the flow through the spillway. In the analysis,
consideration must be given to downstream tailwater effects
F IGURE 22.20 Inflow hydrograph. that may cause a culvert to function as outlet control rather

bankment. As the name implies, a homogenous dam em-

bankment is constructed entirely of one type of fill material.
Preferably, the material will be sufficiently impervious to
inhibit seepage. Some seepage can be expected for earthfill
dams of wet ponds. For this reason, homogeneous dams
should not be constructed of highly erodible materials such
as silts or fine sands, which could be carried away by water
seeping through the embankment (piping).
A zoned embankment may be preferred if sufficient im-
pervious material is not available to construct the entire
embankment or if the material requires additional measures
to prevent slope failures or erosion. For this alternative, two
or more zones of different fill material are used to construct
the embankment, with one zone, called the dam core, con-
structed of impervious material. The other zone(s) may be
constructed of more pervious materials, such as sand,
gravel, and cobbles, and may provide structural stability to
the embankment.
If impervious material is not available, an impervious
liner may be placed over the embankment to prevent seep-
age. The liner may consist of clay, possibly mixed with ben-
tonite, or it may be a manufactured synthetic liner. Special
care must be taken to ensure that the liner does not crack
or puncture. The liner should extend from above the nor-
mal pool of the pond to the pond bottom and some addi-
tional distance upstream. The distance upstream depends
on the imperviousness of the foundation. For very pervious
F IGURE 22.21 Inflow-outflow hydrograph. foundation materials, the entire pond may require a liner.
Drainage Blankets. The purpose of a drainage blanket is
to allow any seepage through the embankment to drain in
a controlled way and thereby minimize erosion of the em-
than inlet control, or may submerge a weir structure, bankment. A drainage blanket consists of a layer of sand,
thereby reducing the effective discharge coefficient. gravel or other pervious material surrounded by appropriate
filter material to prevent particles, or fines, from passing
DAM DESIGN from the embankment into the blanket. The filter material
There are many different types of dams, including concrete, may be either a fine-grained pervious material or a synthetic
rockfill, and earthfill. Earthfill dams are by far the most filter fabric. The filter material must be able to filter out
common for SWM ponds in urban development projects. particles based on the grain size of the embankment ma-
Regardless of the size or location of a proposed SWM fa- terial. The blanket is placed under the downstream side of
cility, or the similarity to other projects nearby, the design the embankment, downstream of the dam core. If the drain-
of the pond, and especially the embankment, should always age blanket is at the toe of the embankment, water may
be based on site-specific information. The actual subsurface drain from the blanket into a trench drain along the toe of
conditions for the particular site and the fill materials in- the dam. If a trench drain is not used, a toe drain consisting
tended for use as the embankment must be tested for bear- of a perforated pipe embedded in the toe of the drainage
ing capacity, seepage and stability. The structural integrity blanket can be used to carry water into the outfall channel.
should not arbitrarily be assumed just because of the prox- Cutoff Trench. A cutoff trench is usually recommended
imity or superficial similarities to another pond. In most under the embankment to prevent seepage from passing
cases a geotechnical consultant provides the geotechnical through the foundation and exiting on the downstream side
advice. of the dam when the foundation material immediately be-
low the dam is more pervious than the dam core material.
Geotechnical Design Considerations A cutoff trench is excavated into the foundation soil and
Embankments. The embankment should be constructed backfilled with the same impervious material used for the
to control the amount of seepage through the dam in order dam core. The cutoff trench should extend through the per-
to prevent piping, as this could lead to dam failure. De- vious stratum to rock or some less pervious stratum.
pending on the availability of suitable material, the dam The cutoff trench should be located at or upstream of
may be designed as either a homogeneous or zoned em- the centerline of the crest of the dam, but not so far up-

stream that the cover over the trench provides less resis- Spillway Design Considerations
tance to seepage than the trench itself. It should extend the Some items to be considered in designing a spillway struc-
full length of the dam. From the U.S. Bureau of Reclamation ture include the following:
publication Design of Small Dams, the width of the cutoff
trench may be determined by the equation 䡲 Reinforced concrete outlet pipes are recommended
and must be of sufficient strength to support the em-
bankment fill.
w⫽h⫺d (22.43)
䡲 All joints in the riser and outlet pipe should be
made watertight. This is especially important for a wet
where w ⫽ the bottom width of the cutoff trench, h ⫽ the pond but also good practice for a dry pond.
reservoir head above ground surface and d ⫽ depth of cut- 䡲 The riser should be designed to withstand buoyant
off trench below ground surface. forces, with a minimum factor of safety of 1.3.
Outlet Pipe. Another potential path for seepage to follow
䡲 Vortex action at the top of the riser should be con-
is along the contact between the outside surface of the out-
trolled. An anti-vortex plate or a headwall may be used
let pipe and the embankment. The compaction of the em-
to prevent a vortex from forming as the water enters
bankment fill around the outlet pipe must be equivalent to
the riser. Anti-vortex devices can often be incorporated
that elsewhere in the embankment. Anti-seepage collars
with a trash rack.
have been used extensively in the past to lengthen the seep-
age path along the pipe. If used, it is essential that proper 䡲 Trash racks or other debris control devices should
compaction around the collars be achieved. At least three be used to prevent the spillway from becoming
federal agencies—the Corps of Engineers (COE), the SCS clogged. Trash racks can also be used to discourage
and the Bureau of Reclamation—recommend other mea- children from playing inside risers and pipes. The trash
sures in lieu of anti-seepage collars in recent publications rack should be designed such that for the range of de-
(SCS TR-60, Earth Dams and Reservoirs, and Bureau of Rec- sign flows, the average velocity of flow through the
lamation, ACER Technical Memo No. 9, Guidelines For Con- trash rack is 2- to 3-fps maximum. An alternative cri-
trolling Seepage Along Conduits Through Embankments). The teria is to design the trash rack with a surface area of
SCS recommends use of a ‘‘drainage diaphragm,’’ which is 10 times the cross-sectional area of the riser or outlet
a layer of drainage material, such as sand or gravel, sur- pipe opening. The Federal Highway Administration’s
rounded by a filter layer, designed to allow water to drain (FHWA) Hydraulic Engineering Circular No. 9, Debris
out of the embankment but to trap any soil particles and Control Structures gives examples and guidelines for de-
prevent them from being washed away. If a drainage blanket sign.
is also used, then the drainage diaphragm should be de- 䡲 The outfall channel downstream of the spillway
signed in conjunction with the blanket. (See Figure 22.22 should be protected from erosive velocities of flow ex-
shows a typical dam embankment.) iting the spillway. Riprap lining or energy dissipators
may be necessary. The FHWA’s Hydraulic Engineering
Circular No. 14, Hydraulic Design of Energy Dissipators
for Culverts and Channels gives examples and proce-
dures for design.
The slopes of the embankment must be such that the
allowable foundation pressure is not exceeded, but flat
enough to prevent sloughing. Generally, 3H:1V or 4H:1V
slopes are adequate and are flat enough that maintenance
(mowing, etc.) can be accomplished.
The minimum recommended dam top-width is 8 ft. Ta-
ble 22.8, excerpted from TR-60, gives a list of minimum
dam topwidths for varying dam heights as recommended
by the SCS. However, the dam top-width may need to be
increased to meet local standards, to allow for different
zones of material within the embankment, or to allow traffic
to cross the dam.
Dam Safety
Regardless of how careful a dam is designed and how well
F IGURE 22.22 Typical dam embankment profile. it is built, there is always the potential for a dam to be

voir water level reaches a specified depth above the top of

T A B L E 2 2 . 8 Top Width of Dam versus
the dam, the dam is assumed to be breached, and the total
Embankment Height volume of water stored in the reservoir is routed down-
TOTAL HEIGHT OF MINIMUM stream.
EMBANKMENT TOP-WIDTH
(FT) (FT) BEST MANAGEMENT PRACTICES
Best Management Practices (BMPs) are policies, practices,
⬍14 8 procedures or structures implemented to mitigate the
.....................................................
adverse impacts to surface water quality resulting from
14–19 10
..................................................... development. BMPs are categorized as structural or non-
20–24 12 structural. A BMP policy may affect the limits on a devel-
..................................................... opment’s maximum density and open space requirements.
25–34 14 A public education program may be considered as a non-
structural BMP. Educating the public about activities that
contribute to pollution and about practices that may help
to reduce pollution can provide the incentive and ability for
breached, either due to overtopping or to erosion from homeowners to be directly involved in reducing non-point-
seepage or piping through or around the embankment. One source pollution and improving water quality. Such prac-
of the important considerations in pond design is the po- tices include the proper use of fertilizers, disposal of used
tential for a failure of the dam embankment and the poten- petroleum products, water conservation, litter control, and
tial hazard to downstream features if such an event occurs. controls for minimizing erosion from disturbed ground.
If a dam fails, the volume of water stored in the reservoir These most fundamental types of BMPs may only be of
can be released downstream, posing a risk to roads, build- limited use in land development engineering but should be
ings, homes, and other property, as well as to human lives. recognized as alternatives to be considered for a develop-
Many state and federal regulatory agencies have developed ment or community.
classification systems regarding the hazard potential for In terms of land development engineering, either struc-
damages due to a dam failure. The Soil Conservation Ser- tural or non-structural BMPs may be utilized. Structural
vice’s classification system is presented below (excerpted BMPs include such controls as extended detention ponds,
from TR-60, Earth Dams and Reservoirs, revised October dry ponds, infiltration trenches, porous pavements, and wa-
1985): ter quality inlets. Non-structural BMPs include street clean-
Class (a)—Dams located in rural or agricultural areas ing, fertilizer application control, and certain vegetative
where failure may damage farm buildings, agricultural practices such as grass swales, filter strips, and shallow
land, or township and country roads. marshes/wetlands.
The primary mechanisms for pollutant removal in BMP
Class (b)—Dams located in predominantly rural or ag- facilities are settling of particulate pollutants and sediments,
ricultural areas where failure may damage isolated and to a lesser degree infiltration of soluble nutrients
homes, main highways or minor railroads or cause in- through the soil profile, and biological and chemical sta-
terruption of use or service of relatively important bilization of nutrients. Settling column experiments have
public utilities. been performed to estimate the removal of pollutants from
Class (c)—Dams located where failure may cause loss urban runoff. Figure 22.23 (Scheuler, 1987), illustrating the
of life, serious damage to homes, industrial and com- percentage of pollutant removal with time, shows that each
mercial buildings, important public utilities, main curve roughly parallels that of suspended sediments. Thus,
highways, or railroads. suspended sediment removal frequently forms the basis of
BMP designs. It should be noted that the efficiency of re-
To assist in determining the dam classification, a dam moval of pollutants is related to the particle size of the
breach analysis may be necessary. This is a procedure where pollutants (which affects the settling velocity), the velocity
the outflow hydrograph resulting from a dam breach is of flow through the storage area, and the depth and total
routed down the stream valley below the dam to determine storage volume available (related to the hydraulic residence
the area that may be inundated. Two types of analysis may time, or the length of time during which settling may oc-
be performed. The first is sometimes called a ‘‘sunny day’’ cur). Since the majority of pollutants is normally washed
dam failure, where the dam is assumed to fail because of off the land surface in the first flush, or the initial portion
water seeping or piping through the embankment, with no of runoff from a storm event, most BMPs are designed to
additional precipitation. The normal pool volume of water capture or treat the ‘‘first flush’’ of runoff volume.
is then routed downstream to determine the breach flood- The selection for and effectiveness of a BMP facility de-
plain. The second type of analysis assumes the dam failure pends on numerous site conditions such as climate, water-
occurs as a result of being overtopped by a large storm (a shed size, soil permeability, ground slope, subsurface
storm that exceeds the spillway capacity). Once the reser- conditions (e.g., bedrock and groundwater), and land use
F I G U R E 2 2 . 2 3 Removal rate versus detention time for selected pollutants. (Courtesy of Schueler, Thomas R. 1987, Controlling Urban Runoff:
A Practical Manual for Planning and Designing Urban BMPs, Washington, DC: Metropolitan Washington Council of Governments, 777 No. Capital St. NE,
Suite 300, Washington, DC 20002-4226, 202 / 962-3256.)
to name a few. Figure 22.24 through Figure 22.26 recom- of up to 48 hr may be required to allow sediments to settle
mends various restrictions to specific BMP facilities. out. The storage time is a function of the volume and outlet
Another factor influencing the design and selection of a device used to control the release rate. Figure 22.28 shows
BMP facility is what the governing criteria are for efficiency. a typical facility. A modification to this ED pond is the two-
Local criteria prescribe the allowable post-development pol- stage ED pond of Figure 22.29. This type of BMP facility is
lutant loading. Typical policies range from ‘‘no net gains,’’ designed such that the volume of the lower part is the water
where post-development pollutant loading must be less quality control area, and the upper area is the water quan-
than or equal to pre-development pollutant loads, to re- tity control area. The lower part has sufficient BMP volume
ducing the post-development pollutant loads to a specific for the first flush of stormwater runoff. The upper area is
percentage of the pre-developed conditions. Other criteria sized to control the runoff larger than the first flush volume.
may set the allowable loadings on a site-by-site basis, per- Extended detention ponds rely primarily on settling to
haps based on location within a water or sewer district. The remove pollutants; thus, they are relatively effective in re-
pollutant removal efficiencies shown in Figure 22.27 might moving particulant pollutants and pollutants that are ad-
be considered for ideal conditions. These values are to be sorbed onto paticulants, but they are relatively ineffective
used as a guide since some studies have shown substantial in removing soluble pollutants.
differences between these efficiencies. Of the types of BMP Storage Volume/Detention Period. There are various
measures listed in Figure 22.29, the most effective types of methods in use for estimating the appropriate BMP storage
facilities, according to a study done in Maryland (Galli, volume and detention time. Frequently the state or local
1982), are the wet ponds, extended detention ponds, arti- government will mandate the volume to be detained and
ficial marshes and infiltration trenches (see Table 22.9). the detention period. A typical BMP design may involve
detaining the runoff from a one-in rainfall over a minimum
Extended Detention (ED) Ponds 24-hr drawdown period. If design methods are not speci-
Extended detention ponds operate in a manner similar to fied, one may design a facility to capture the runoff from
the conventional detention ponds used for controlling the 90% of the rainfall events and to store the runoff for a
quantity of stormwater runoff. For ED ponds, storage times period between 6 and 48 hr. Table 22.10 presents rainfall
F I G U R E 2 2 . 2 4 Watershed area restrictions for BMPs. (Courtesy of Schueler, Thomas R. 1987, Controlling Urban Runoff: A Practical Manual
for Planning and Designing Urban BMPs, Washington, DC: Metropolitan Washington Council of Governments, 777 No. Capital St. NE, Suite 300, Washington,
DC 20002-4226, 202 / 962-3256.)
F I G U R E 2 2 . 2 5 Soil permeability restrictions for BMPs. (Courtesy of Schueler, Thomas R. 1987, Controlling Urban Runoff: A Practical Manual
DC 20002-4226, 202 / 962-3256.)

F I G U R E 2 2 . 2 6 Other common restrictions on BMPs. (Courtesy of Schueler, Thomas R. 1987, Controlling Urban Runoff: A Practical Manual
DC 20002-4226, 202 / 962-3256.)
amounts for several cities. In the absence of explicitly stated fully constructed and stabilized. This method allows con-
volume and detention time requirements, judgment must struction to proceed after rainstorms since the short section
be exercised to determine the appropriate volume for a of pipe without the plate attached allows complete dewa-
given location and conditions. tering of the pond.
Some alternative criteria dictating requisite volumes and Key points used in designing ED ponds are outlined in
detention times are presented in Table 22.11. Table 22.12 and schematically diagrammed in Figure 22.31.
Outlet Configuration. The duration of the BMP storage is
controlled by the outlet device. The basic outlet device con- Wet Ponds
sists of a small orifice opening or a series of openings sized Wet ponds, or retention ponds, can function as multi-
to provide the desired drawdown time. Sizing the orifice purpose facilities. As a BMP facility, a wet point is one of
openings such that the pond provides adequate detention the most effective means for improving water quality. A wet
time for the entire spectrum of storms requires careful anal- pond, when properly designed, uses sedimentation, biolog-
ysis. Generally, the pond designer should perform several ical and chemical mechanisms to remove soluble and in-
storage routing calculations to determine the approximate soluble pollutants. Additionally, a wet pond can be used for
detention time for smaller, more frequent runoff events. controlling stormwater runoff, ecosystem habitat, source for
Grizzard et. al. (1986) suggest that, as a target, the average groundwater recharge, and as an amenity to the project.
detention time in the pond should be 24 hr for the entire Permanent Pool Volume. The volume of the permanent
spectrum of storms each year. pool of a BMP wet pond significantly affects the efficiency
Figure 22.30 shows two examples of devices that have of pollutant removal. The efficiency of pollutant removal is
been used as BMP extended detention outlet systems. The related to the ratio of the volume of the pond basin to the
first device shown is a perforated riser with a gravel jacket. volume of runoff generated from the ‘‘mean’’ storm, referred
The holes in the riser allow the detained runoff to drain to as the VB/VR ratio. The mean storm must be determined
from the pond, and the gravel jacket wire mesh screen pre- from rainfall records on a site-specific basis. As a figure for
vents clogging of the holes. Disadvantages of this design are comparison purposes, the mean storm for the Northern Vir-
that the outer layers of gravel, especially the lower layers, ginia area is estimated at approximately 0.4 in. of rain. This
may become clogged with sediments. is based on an average annual rainfall of 40 in. and an
The second device shows a short section of pipe con- average of 100 storm events per year.
nected to the riser at one end and covered with a steel plate Figure 22.32 relates the expected long-term efficiency of
at the other. A small diameter orifice in the plate controls pollutant removal to the VB/VR ratio. As can be seen in the
the outflow. The steel plate is attached after the pond is figure, the larger the VB/VR ratio (i.e., the larger the basin
F IGURE 2 2 . 2 7 Comparative pollutant removal of urban BMP designs. (Courtesy of Galli, John, 1982, Analysis of Urban BMP Performance
and Longevity in Prince George’s County, Maryland, Washington, DC: Metropolitan Washington Council of Governments, 777 No. Capital St. NE, Suite
300, Washington, DC 20002-4226, 202 / 962-3256.)
514
TABLE 22.9 Summary: General Attributes of BMP Systems Field Surveyed

I. BENEFITS
POROUS
PAVEMENT GRASS
INFILTRATION & DRY INFILTRATION FILTERS / ED DRY WET ARTIFICIAL POCKET OIL / GRIT DRY
FACTOR TRENCHES WELLS BASINS SWALES PONDS PONDS MARSHES WETLANDS SEPARATORS PONDS
Downstream Channel Protection 䢇嘷嘷嘷䢇䢇䢇䢇嘷嘷

......................................................................................................................
Removal of Particulate 䢇嘷䢇嘷䢇䢇嘷䢇嘷嘷
Pollutants
......................................................................................................................
Removal of Soluble Pollutants 䢇嘷嘷嘷嘷䢇䢇嘷嘷嘷
......................................................................................................................
Aquatic / Wildlife Habitat Creation 嘷嘷嘷嘷嘷䢇䢇嘷嘷嘷
......................................................................................................................
Wetland Creation 嘷嘷䢇嘷嘷䢇䢇䢇嘷嘷
......................................................................................................................
Thermal Impact Protection 䢇䢇䢇嘷嘷䢇嘷嘷嘷嘷
II. DISADVANTAGES
Soils Limitations 䢇䢇䢇䢇䢇䢇䢇䢇嘷䢇
......................................................................................................................
Maintenance Requirements 䢇䢇䢇䢇䢇䢇䢇䢇䢇䢇
......................................................................................................................
Space Consumption 䢇嘷䢇䢇䢇䢇䢇䢇嘷䢇
......................................................................................................................
Public Safety Hazards 嘷嘷䢇嘷䢇䢇䢇䢇嘷䢇
......................................................................................................................
Functional Life / Reliability* 嘷嘷嘷䢇嘷䢇䢇嘷嘷嘷
Source: Courtesy of Galli, John, 1982, Analysis of Urban BMP Performance and Longevity in Prince George’s County, Maryland. Washington, D.C.: Metropolitan
Washington Council of Governments, 777 No. Capital St. NE, Suite 300, Washington, DC 20002-4226, 202 / 962-3256.)
嘷 Low
䢇 Moderate
䢇 High
* General ability to provide water quality / quantity control benefits for ⱖ5 years without regular sediment / trash removal.
size), the greater the efficiency that can be expected. How- addition, it is recommended that the expected sediment
ever, the figure also illustrates that after a certain point, only load to the pond be determined. Based on this sediment
a small increase in efficiency can be expected for a large load and the expected trap efficiency for the facility, the rate
increase in basin volume. of sediment accumulation may be estimated. This sediment
The size of pond basin volume to be used for a particular will likely require periodic dredging from the pond, so ad-
application should be determined to meet the desired pol- ditional costs for maintenance will be incurred.
lutant levels. However, other factors must also be accounted The diagram of Figure 22.33, a BMP detention outlet
for, such as land requirements and construction costs. In system, is used for ponds with a permanent pool or shallow
F IGURE 2 2 . 2 8 Typical ED pond. (Courtesy of Engineers & Surveyors Institute and Northern Virginia Planning District Commission, 8401
Arlington Blvd. Fairfax, Va. 22031.)

T A B L E 2 2 . 1 0 Approximate Storm
Event Depth (in.) for the 90%
Event Frequency of Storms and Yearly
Volumes (with Minimum Inter-Event
Dry Periods of Four Hours)
APPROXIMATE
VOLUMES (IN)
ⱖ90% ANNUAL
LOCATION FREQUENCY VOLUME
Florida 1.0 52
.....................................................
Boston, Massachusetts 0.9 45
.....................................................
Baltimore, Maryland 1.0 42
.....................................................
Denver, Colorado 0.5 15
.....................................................
Washington, D.C. 1.0 44
.....................................................
Austin, Texas 1.0 32
Source: Warielista, Martin P. Stormwater Management, New York: John
Wiley & Sons. Reprinted by permission of John Wiley & Sons.
T A B L E 2 2 . 1 1 Selected Alternative
Criteria Used for Determining ED Volumes
and Detention Times
a) A volume equivalent to 1⁄2 in. of runoff distributed
over the contributing watershed released over a 50-
hr period (Montgomery County, MD).
.....................................................
b) The runoff volume generated from the 1-yr 24-hr
storm be released over a minimum of 24 hr (Prince
Georges County, MD).
.....................................................
c) The runoff volume generated from the 2-yr 24-hr
design storm released over 24 hr.
.....................................................
d) The runoff volume generated from a one inch storm
released over 24 hr.
.....................................................
e) A volume equivalent to a land use dependent runoff
depth distributed over the contributing watershed,
released over a 40-hr period (Fairfax County, VA).
.....................................................
f) The ‘‘first flush’’ runoff volume (i.e., one-half inch
per impervious acre) released over 24 hr (MD
F IGURE 2 2 . 2 9 Methods for extending detention time in dry WRA).
ponds. (Figure 22.33a courtesy of Schueler, Thomas R. 1987, Controlling
Urban Runoff: A Practical Manual for Planning and Designing Urban BMPs, Source: Courtesy of Schueler, Thomas R. 1987, Controlling Urban Runoff:
Washington, DC: Metropolitan Washington Council of Governments, 777 A Practical Manual for Planning and Designing Urban BMPs, Washington,
No. Capital St. NE, Suite 300, Washington, DC 20002-4226, 202 / 962- DC: Metropolitan Washington Council of Governments, 777 No. Capital
3256.) St. NE, Suite 300, Washington, DC 20002-4226, 202 / 962-3256.)

F I G U R E 2 2 . 3 0 Schematic of ED pond design features. (Courtesy of Schueler, Thomas R. 1987, Controlling Urban Runoff: A Practical Manual
DC 20002-4226, 202 / 962-3256.)
marsh at the bottom. It consists of a pipe extending from to have a length-to-width ratio of 3:1 to prevent short-
the riser at a negative slope into the permanent pool or circuiting.
marsh. The pipe may be sized to provide the flow rate re- The average depth of the pond is recommended to be
quired, or a cover plate may be bolted to the headwall, with between 3 and 6 ft. Shallower ponds are more efficient,
the appropriate sized hole or holes drilled in the plate. since settling is the primary removal mechanism, and re-
Table 22.13 lists various rules that determine the mini- moval is considered accomplished when the particles reach
mum volume of the permanent pool for areas in the met- the pond bottom. However, a very shallow pond causes
ropolitan Washington, D.C. area. resuspension of settled particles by wave action and pro-
Pond Shape and Condition. It is important to provide the motes vegetation throughout the entire pond. A very deep
maximum possible distance between the inlet(s) and the pond could become thermally stratified, which can result
outlet provided that the incoming water displaces water al- in anoxic conditions and possible subsequent resuspension
ready in the pond. If a pond is short-circuited—that is, if of pollutants in the lower layers.
the incoming water passes directly to the outlet without Vegetation within the pond also enhances pollutant re-
causing displacement—the pollutant removal will be removal. It may, therefore, be advantageous in grading the
duced. It is sometimes recommended to design the pond pond to provide a shallow area around the perimeter for

TABLE 22.12 Design Summary: Extended Detention Ponds
䡲 QUANTITY DETAINED:
At a minimum, the volume of runoff detained should be equivalent to the runoff volume produced by a 1-in. storm.
This volume is sufficient to achieve both high levels of particulate removal and downstream channel erosion protection
for most of the storms that occur during a year. Higher levels of control can be achieved when the runoff volume
from the one or 2-yr storm is detained.
䡲 DURATION:
24 hr of extra detention are needed for optimal pollutant removal for the design detention volume. The control device
should be adjusted so that smaller runoff events (0.1 to 0.2 in.), which normally pass through the pond quickly, are
detained for at least a minimum of 6 hr. In larger watersheds, up to 40 hr of extended detention may be needed for
streambank erosion control. As a final check, the runoff velocity of the downstream channel at the extended detention
release rate should be computed to make sure that it is not erosive (Example 23.1).
䡲 TWO-STAGE DESIGN:
A two-stage pond design is recommended when extended detention is applied to dry ponds. The upper stage of the
pond is sized and graded (2% minimum) to remain dry except during infrequent large storms, while the bottom stage
is expected to be regularly inundated. The volume of the bottom stage should be set to store the runoff produced by
the mean storm (approximately 0.45 in.; see Eq. (3.3)). The bottom stage will frequently be too wet to mow and is
best managed as a wetland or as a shallow pool. Both techniques act to prevent resuspension of previously deposited
materials. Extra storage, over and above stormwater and extended detention requirements, should be provided within
the bottom stage, or at the inlet to account for 20 yr of sediment deposition.
䡲 WETLAND CREATION:
Wherever possible, a wetland marsh should be created in the bottom stage of an extended detention pond to help
remove soluble pollutants that cannot be removed by conventional settling. Wetlands also provide wildlife habitat and
hide unsightly debris and sediment deposits that frequently accumulate near the riser. The area of the wetland should
be adjusted so that the average annual watershed loading (as computed by the Simple Method) does not exceed 45
lb of phosphorus or 225 lb of nitrogen per surface acre of wetland. Water depths of 6 to 12 in. are needed for optimal
wetland growth. The wetland should be planted with native species that are suited to that environment (see Chapter
9 for further guidance on wetland plantings).
䡲 EXTENDED DETENTION CONTROL DEVICE:
In dry ponds, a vertical, internally controlled extension of the low flow orifice is the most trouble-free design, since
it can withstand partial orifice is the most trouble-free design, since it can withstand partial clogging and gradual
sediment accumulation, and also can be used to set water levels. If the control device is below the ground surface,
it should be protected with filter cloth and/or wire mesh, and encased in a trench of stone or gravel with a diameter
greater than the orifice. The device should also have an above-ground extension, with a tight-fitting replaceable cap
to facilitate clean-out. In wet ponds, a negatively-sloped pipe protected by a wire mesh that extends from riser and
withdraws water from at least a foot below the surface should be used.
䡲 PILOT CHANNELS:
A riprap, concrete or paved low flow channel is required to route water through the upper stage of the extended
detention pond. The pilot channel should end at the lip of the lower stage, where riprap or gabion baffles are placed
to reduce velocities and spread out the flow path of the runoff reaching the lower stage, thus preventing scour and
resuspension.
䡲 SIDE SLOPES:
Side slopes should be no steeper than 3:1 (h:v), and no flatter than 20:1 (h:v).

TABLE 22.12 Design Summary: Extended Detention Ponds (Continued)
䡲 POND BUFFER:
A minimum 25-foot-wide buffer strip away from pond to the nearest lot should be reserved and landscaped using
low-maintenance grasses, shrubs and trees. A landscaping plan should be prepared for the pond and buffer that
improves the appearance for adjacent residents, meets specific design functions, and provides local wildlife habitat
(see Chapter 9 for further details).
䡲 EMBANKMENT:
At least 10–15% extra fill should be allowed on the embankment to account for possible subsidence. The embankment
should have at least one ft of freeboard above the emergency spillway. Anti-seep collars should be used to prevent
seepage around the barrel. The embankment should be graded to allow access for heavy equipment and should be
mowed twice a year to prevent woody growth.
䡲 SITE ACCESS:
Adequate access from public or private right-of-ways to the pond should be reserved. The access should be at least
ten ft wide, on a slope of 5:1 (h:v) or less, and stabilized to withstand the passage of heavy equipment.
䡲 MAINTENANCE:
Wet-weather inspections should be conducted annually, with as-built plans in hand. Inspections should emphasize the
condition of the extended detention control device and low flow pilot channel. Extended detention facilities should be
maintained as a meadow to reduce mowing frequency (two times per year) and maintenance costs. Maintenance
responsibilities should be clearly vested with funds reserved for both routine and non-routine activities.
䡲 SEDIMENT REMOVAL:
A five to ten-year sediment clean-out cycle is recommended. Extra storage in the lower stage of the pond can be
provided to accommodate sediment deposition. Also, on-site sediment disposal areas should be reserved to reduce
removal costs. Do not begin final pond construction until upland area is stabilized.
Source: Courtesy of Schueler, Thomas R. 1987, Controlling Urban Runoff: A Practical Manual for Planning and Designing Urban BMPs, Washington, DC: Metro-
politan Washington Council of Governments, 777 No. Capital St. NE, Suite 300, Washington, DC 20002-4226, 202 / 962-3256.
F IGURE 2 2 . 3 1 Typical wet pond profile. (Courtesy of Engineers & Surveyors Institute and Northern Virginia Planning District Commission,
8401 Arlington Blvd. Fairfax, Va. 22031.)

aquatic plants to grow. Vegetation around the edges of the

pond also provide the benefit of protecting against erosion.
The shallow area may also serve as a safety feature. See
Table 22.14 for summary of design features for wet ponds
and Figure 22.34 for the schematic diagram.
Infiltration Facilities
Infiltration facilities include trenches, basins, and porous
pavement, all of which are designed to allow a specified
volume of runoff to be stored in the facility until it infiltrates
into the ground. As such, these types of facilities are only
feasible if the soils are permeable and if the water table is
situated well below the ground surface. Because the volume
of water does not drain directly to a stream or other sur-
face water, both particulate and soluble forms of pollutants
F I G U R E 2 2 . 3 2 Estimated removal of selected urban pollutants may be controlled. However, coarse sediments should be
as a function of permanent pool size. (Courtesy of Schueler, Thomas R. trapped before entering these types of facilities, as they may
1987, Controlling Urban Runoff: A Practical Manual for Planning and De- easily become clogged. In addition to providing BMP con-
signing Urban BMPs, Washington, DC: Metropolitan Washington Council
trols, infiltration trenches and basins can contribute to re-
of Governments, 777 No. Capital St. NE, Suite 300, Washington, DC 20002-
4226, 202 / 962-3256.) charging groundwater, as well as augmenting low flow and
helping to control bank erosion in streams. There is a pos-
F I G U R E 2 2 . 3 3 Method for extending detention time in wet ponds. (Courtesy of Schueler, Thomas R. 1987, Controlling Urban Runoff: A
Practical Manual for Planning and Designing Urban BMPs, Washington, DC: Metropolitan Washington Council of Governments, 777 No. Capital St. NE,
Suite 300, Washington, DC 20002-4226, 202 / 962-3256.)
the perforated pipe. However, a valve can be placed on such

T A B L E 2 2 . 1 3 Selected Criteria for
an underdrain outlet, and the underdrain system can then
Sizing the Permanent Pool serve as a backup in case of clogging of the pores in the
Volume of a Wet Pond interface between the trench and the subsoils, or if there
are concerns about the permeability of the soil.
a) One-half in of runoff distributed over the contrib- Another design technique to incorporate a perforated
uting watershed area (Montgomery County, MD). drain pipe is to place the pipe near the top of the trench.
.....................................................
This allows the volume of stormwater in the trench up to
b) One-half in of runoff distributed over the impervious
the level of the drain pipe to infiltrate into the subsoil. Any
portion of the contributing watershed (MD WRA). stormwater in excess of this volume will then be carried in
.....................................................
c) Volume of permanent pool equivalent to a variable the drain pipe to the outlet.
A provision in the design must be made to account for
depth of runoff distributed over the contributing wa-
and adequately handle storm flows in excess of the capacity
tershed, depending on land use (Fairfax County, of the trench drain. If the infiltration trench is situated at
VA). an intermediate point along a slope, this may be accom-
.....................................................
plished by placement of an overflow berm on the down-
d) Two-and-a-half times the volume of runoff gener-
stream side of the trench. When a large runoff volume
ated from the mean storm over the watershed area exceeds the capacity of the trench, it will flow over the berm
(MD WRA). and should then be allowed to flow to a drainage convey-
.....................................................
ance system (ditch, pipe inlet, stream, SWM pond, etc.). If
e) Adjusted to achieve an average of two weeks of
the trench is placed along the invert of a flat swale, such
retention within the pond, or about four times the as in the median of a road or parking lot, then a perforated
volume of runoff generated by the mean storm over pipe may be used to handle the excess flow. Overland relief
the watershed area. must be provided so that runoff from very large storms does
not cause unnecessary flooding or damage.
Source: Courtesy of Schueler, Thomas R. 1987, Controlling Urban Runoff: Figure 22.35 shows a typical schematic layout for an
A Practical Manual for Planning and Designing Urban BMPs, Washington,
DC: Metropolitan Washington Council of Governments, 777 No. Capital
infiltration trench. As previously stated, the overall trench
St. NE, Suite 300, Washington, DC 20002-4226, 202 / 962-3256.) dimensions should be determined to provide the desired
detention volume. Sizing guidelines for determining the ap-
propriate volume for non-point-source pollution control are
sible risk of groundwater contamination with these facili- the same as for extended detention dry ponds, in which
ties, however, and they have been known to fail due to the goal is to capture the first flush of runoff and pollutants.
unsuitable soils or clogging from sediments. A grass filter strip is recommended along the inlet side(s)
Infiltration Trenches. These are constructed by excavat- of an infiltration trench to filter out grit, oil, etc. It is rec-
ing a trench, generally about 3 to 8 ft deep, and filling the ommended that the slope of the filter strip be no greater
excavation with stone. The resulting trench volume is de- than about 5%. (Further information on grass filter strips
signed with a storage capacity equivalent to a prescribed is provided in the section on Vegetative Practices.) The
design storm runoff volume. Trenches can be designed to sides, top, and bottom of the trench are lined with a per-
accept runoff entering as sheet flow along the length of the meable filter material, and the trench is filled with one to
trench, or as inflow from a pipe or conduit. Infiltration three-in washed stone aggregate (see Figure 22.36).
trenches have a more limited capacity than infiltration ba- The rate of infiltration is probably the most significant
sins and are generally used as an on-site control. They often factor in determining the applicability of using infiltration
may be suitable for placement along the perimeter or within trenches for a site. In general, a trench should be designed
the available open spaces of a development site, and in fact to completely drain in about three days or less. This will
are more typically employed at small sites. Stormwater vol- help prevent anoxic conditions from occurring in the trench
ume and peak runoff rates may be controlled by these fa- bottom and, therefore, help to maintain a bacterial popu-
cilities, but the large volume required may make other lation in the subsoil that will aid in pollutant removal. Also,
controls more acceptable. as the trench is drained more quickly, it is sooner available
A variation of the standard infiltration trench is a system to accept runoff from a subsequent storm. The soil types
with an underdrain of perforated pipe to assist in draining applicable for use with an infiltration trench may be
the runoff out of the trench. The underdrain augments the checked by the SCS soil classification system. SCS HSG type
infiltration of stormwater into the subsoil. At one end, the A or B are most suitable as subsoils for this type of appli-
underdrain is connected to a central outlet point. cation. Soil type C is marginal, and soil type D is likely to
This type of design will likely result in poor pollutant be too impermeable for application in an infiltration trench.
removal, because the residence time in the trench will be To enhance the performance of an infiltration trench, the
short, and the amount of stormwater infiltrating into the surface area available for infiltration into the subsoils should
soil will be small compared to the amount draining through be maximized. Therefore, to the extent possible with re-
TABLE 22.14 Design Summary: Wet Ponds
䡲 SIZE:
At a minimum, the volume of the permanent pool should be at least 2.5 times greater than the runoff volume generated
by the mean storm (0.45 in* runoff coefficient*watershed acres). The contributing watershed area should be at least
ten acres in size, the pond surface area at least 1⁄4 acre.
䡲 SHAPE:
The pond should be wedge-shaped, narrowest at the inlet and widest at the embankment. A minimum length-to-width
ratio of 3:1 should be used unless gabion baffles are used to extend the flow path. Irregular shorelines are preferred.
䡲 DEPTH:
Pond depth should average three to six ft, with a shallow underwater bench (minimum ten ft wide) around the pond’s
perimeter. Water depths should be shallow near the inlet and deeper at the riser. Extremely deep ponds (average depth
eight ft or more) should normally be avoided to prevent stratification and to minimize excavation costs.
䡲 SIDE SLOPES:
Side slopes should be no steeper than 3:1 (h:v) and not flatter than 20 to 1. A flat safety bench, at least ten ft wide,
should be located near the toe of the slope.
䡲 SOILS:
If soils at the pond site are highly permeable (in the ‘‘A’’ or ‘‘B’’ hydrologic groupings), it may be necessary to line
the bottom of the pond with an impermeable geotextile or a six-in clay liner. Often, impermeable fill soils can be
found elsewhere in the development for this purpose.
䡲 RISER DESIGN:
Where feasible, wet ponds should be designed to accommodate 24 to 40 hours of extended detention for a one-in
storm. Orifices used to maintain the permanent pool level should withdraw water at least one ft below the surface,
and where environmental conditions warrant, close to the pond bottom. Hoods or trash racks should be installed on
the riser to prevent clogging. For access and aesthetic reasons, the riser should be placed near or within the
embankment. However, if the riser is located on the face of the embankment, fencing may be required. To reduce
future maintenance requirements, concrete, rather than corrugated metal pipe, should be used for barrels and risers.
䡲 OUTFALL PROTECTION:
The channel immediately below the pond should be modified to conform to natural dimensions and lined with large
rip-rap placed over filter cloth. Stilling basins, rock deflectors, check dams and other devices should be used to reduce
flow velocities to non-erosive levels.
䡲 POND BUFFER:
Wet ponds should be surrounded by a buffer strip at least 25 ft wide. The buffer strip should be planted with water-
tolerant, low-maintenance grasses, shrubs and trees.
䡲 VEGETATION:
When feasible, it is suggested that artificial marsh fringe be established near the inlet or forebay, and around at least
50% of the pond perimeter.
䡲 EMBANKMENT:
At least 10–15% extra fill should be allowed on the embankment to account for possible subsidence. The embankment
should have at least one ft of freeboard above emergency spillway. Anti-seep collars should be used to prevent seepage
around the barrel, and a core trench should be installed under the embankment to key it to the substrate. The
embankment should be graded to allow access and mowed twice annually to prevent woody growth.
䡲 SITE ACCESS:
Adequate access from public or private right of way to the pond should be reserved. The access should be at least
ten ft wide, on a slope of 5:1 or less, and stabilized to withstand the passage of heavy equipment. The access road
should not cross the emergency spillway, unless it is properly stabilized.

TABLE 22.14 Design Summary: Wet Ponds (Continued)
䡲 ENVIRONMENTAL REVIEW:
Consult with planners and biologists to develop a design that mitigates impacts to downstream aquatic life. Prepare
a landscaping plan that provides habitat requirements for wildlife and waterfowl and is attractive to local residents.
䡲 MAINTENANCE:
Wet weather inspections should be conducted annually, with as-built plans in hand. Maintenance responsibilities
should be clearly vested, with funds reserved for both routine and non-routine tasks.
䡲 SEDIMENT REMOVAL:
Begin final construction after upland area has been stabilized. Construct a sediment forebay near the inlet of the pond
with extra storage equal to the volume of projected sediment trapping over a 20 to 40-year period. Reserve on-site
sediment disposal areas near the pond in the form of a site easement.
Source: Courtesy of Schueler, Thomas R. 1987, Controlling Urban Runoff: A Practical Manual for Planning and Designing Urban BMPs, Washington, DC: Metro-
politan Washington Council of Governments, 777 No. Capital St. NE, Suite 300, Washington, DC 20002-4226, 202 / 962-3256.)
spect to the available land area, the trench bottom should building foundations. Also, trees should be cut back away
be made as wide as possible. This also will increase the rate from infiltration trenches so that leaves do not fall on the
of infiltration into the subsoil and will reduce the risk of surface and cause clogging, and so that roots do not punc-
clogging of the interface between the trench and the subsoil. ture the filter fabric surrounding the trench.
In addition, the bottom of the trench should have a flat Infiltration Basins. These are capable of treating storm-
slope and be located 2 to 4 ft above the seasonal high water water runoff from a much larger contributing area than in-
table and/or bedrock. filtration trenches. A basin is constructed by either
Infiltration trenches should be placed such that no ad- excavating a storage area or creating one by placement of
verse impacts will be inflicted on drinking water wells or an embankment. These basins are designed with a storage
F I G U R E 2 2 . 3 4 Design schematic of a wet pond. (Courtesy of Schueler, Thomas R. 1987, Controlling Urban Runoff: A Practical Manual for
Planning and Designing Urban BMPs, Washington, DC: Metropolitan Washington Council of Governments, 777 No. Capital St. NE, Suite 300, Washington,
DC 20002-4226, 202 / 962-3256.)
F I G U R E 2 2 . 3 5 Typical infiltration trench. (Courtesy of Engineers & Surveyors Institute and Northern Virginia Planning District Commission,
8401 Arlington Blvd. Fairfax, Va. 22031.)
F I G U R E 2 2 . 3 6 Parking lot perimeter trench. (Courtesy of Schueler, Thomas R. 1987, Controlling Urban Runoff: A Practical Manual for Planning
and Designing Urban BMPs, Washington, DC: Metropolitan Washington Council of Governments, 777 No. Capital St. NE, Suite 300, Washington, DC
20002-4226, 202 / 962-3256.)
524
capacity equal to a prescribed design storm runoff volume The advantages of porous pavement include saved costs,
and allow the runoff to infiltrate into the soil. These types because of reduced or eliminated curbs and gutters, and
of facilities are also capable of being modified to provide safer pavement for driving, because of less accumulated wa-
peak flow rate reduction by incorporating a spillway outlet ter, which can cause skidding and hydroplaning. One dis-
system, as with a conventional dry pond. Runoff quantities advantage is that if clogging occurs, the maintenance
in excess of the design storm volume pass through the basin required to clean out the deposited sediment may be dif-
via an emergency spillway outlet. One advantage of infil- ficult and costly. Also, the construction must be performed
tration basins is that they can most closely reproduce pre- with good workmanship to assure proper functioning of the
developed flow conditions by providing water quality porous pavement.
improvement, groundwater recharge, and runoff volume To prevent clogging, it is recommended that the surface
and peak flow rate reductions. However, they are reported of porous pavement be vacuum swept and washed with a
to have one of the higher failure rates of the different types high pressure hose at least four times per year. In addition,
of BMPs available. coarse grained particles such as sediments are not intended
All of the restrictions regarding soil types, sediment con- to be removed by porous pavement infiltration systems.
trols, depth to water table and bedrock, proximity to build- All of the restrictions regarding soil types, sediment con-
ings and drinking wells, and the information regarding trols, depth to water table and bedrock, proximity to build-
functioning of these facilities, is identical to those listed in ings and drinking wells, and the information regarding
the previous discussion on infiltration trenches. In addition, functioning of these facilities, is identical to those listed in
construction and maintenance of an embankment and the previous discussion on infiltration trenches. During
emergency spillway for an infiltration basin should be in construction, it is important that measures be taken to pre-
accordance with the requirements discussed in the SWM vent compacting the subgrade by construction equipment.
section for quantity control. If the subgrade becomes compacted, the infiltration rates
Porous Pavement. (Figure 22.37). Like infiltration may be reduced to unacceptable levels.
trenches, porous pavement allows runoff to be stored in an
excavated, stone-filled reservoir, from which infiltration into Water Quality Inlets
the subsoil takes place. It is generally used for managing Water quality inlets are also known as oil/grit separators
runoff from low volume parking areas, although some ad- and are intended to separate out oil and other hydrocar-
ditional runoff from other areas such as rooftops or adjacent bons, grit, and coarse sediments from runoff. They are often
parking areas may be handled in some cases. High-volume used to pre-treat runoff from parking lots before it enters
traffic areas should be paved by conventional methods, and an infiltration device or storm sewer system. Because of the
the runoff can be directed to the porous pavement areas if short retention time of runoff, they are effective only in
necessary. Porous pavement will perform comparable to reducing the amounts of coarse grained sediments, debris,
conventional pavement when properly designed and in- oil, and grease present in runoff. Water quality inlets must
stalled. Further information on installing porous pavement be cleaned out frequently, at least twice a year, to remove
may be found in the publication Porous Pavement: Principles collected grit and pollutants for disposal.
of Development and Design Manual, published in 1978 by A schematic diagram of a typical three-chamber water
the Franklin Institute Press, Philadelphia, PA. quality inlet is shown in Figure 22.38. Runoff enters the
first chamber through a storm drain pipe or curb inlet,
passes through two screened orifice openings to the second
chamber, then passes through an inverted pipe elbow to
the third chamber. Flow exits the third chamber through a
storm drain outlet pipe. The first two chambers both con-
tain a permanent pool of water three to four ft deep, and
the third chamber should as well, if possible, to maximize
the opportunities to settle out pollutants.
The first chamber is used to trap floatable debris and
settle coarse particles such as sediment. The second cham-
ber is used to separate out oil, grease, and other hydrocar-
bons that float to the surface while the runoff is withdrawn
from the opening of the elbow several feet below. The float-
ing hydrocarbons remain in this chamber until removed at
clean-out or adsorbed by sediment and settled out. The
third chamber will have a permanent pool if the outlet pipe
is elevated above the floor. Additional sediments may settle
F IGURE 2 2 . 3 7 Schematic of typical porous pavement section. out in this chamber. An overflow opening is included in
(Courtesy of Engineers & Surveyors Institute and Northern Virginia Planning each chamber for large stormwater flows to bypass the or-
District Commission, 8401 Arlington Blvd. Fairfax, Va. 22031.) ifice openings between chambers.
F I G U R E 2 2 . 3 8 Schematic of a water quality inlet. (Courtesy of Engineers & Surveyors Institute and Northern Virginia Planning District
Commission, 8401 Arlington Blvd. Fairfax, Va. 22031.)
It is recommended that water quality inlets be sized to Many pollutants, such as heavy metals and suspended
provide at least 400 ft3 of permanent wet storage for each solids, are physically removed as the water is ‘‘strained’’
acre of contributing watershed. Access for clean-out is avail- through the filter media. However, other pollutants, such
able through manhole openings. A variation in this basic as phosphorus, nitrogen and BOD, are removed through
design is to provide weep holes in the bottom of the cham- chemical processes and adsorption.
bers with permanent pools, so that the runoff may drain
out of the chambers, through a gravel layer, and infiltrate Vegetative Practices
into the soil. However, it is likely that the holes would soon Various vegetative BMPs can provide some measure of water
become clogged by sediment and debris, and the inlet quality enhancement for a site, as well as improve aesthet-
would then function like the standard. Also, some risk of ics. Included as vegetative practices are grassed swales and
groundwater contamination exists if infiltration into the soil filter strips.
occurs. Grassed Swales are utilized to convey stormwater, often
as an alternative to a curb and gutter or storm sewer. They
Sand Filters are less expensive than other conveyance systems but have
Another type of BMP rapidly gaining acceptance is the in- only a limited range of flows/velocities over which they
termittent sand filter (see Figure 22.39). Austin, Texas and may be used. Large flows with erosive velocities should be
Florida have been using sand filters to treat stormwater run- handled by other methods.
off since the early 1980s. Other localities, such as Wash- Pollutants may be removed from runoff in grassed swales
ington, D.C., Alexandria, VA and Delaware, have adopted by the filtering action of the grass, deposition in low-
sand filters for use as BMPs. Although the sand filters for velocity areas, and by infiltration into the subsoil. To en-
each locality vary in design and configuration, the basics of hance the efficiency of pollutant removal, swales should be
the operations are the same. constructed with the minimum slope practical to allow pos-
The typical sand filter has a gravel layer overlain on a itive drainage. Side slopes of the swale should also be min-
layer of sand. The two filter medias are separated with a imized and should be no steeper than 3:1 to allow mowing.
geotextile fabric to prevent the sand from intermixing with A dense cover of grass should be maintained to filter pol-
the gravel. Beneath the filtering media is a collection pipe lutants and prevent erosion. Check dams can be placed
system to convey the filtered runoff to the discharge point. along the swale to slow flow velocities and promote infil-
Sand filter.
22.39
FIGURE
527
tration. Additional measures such as riprap may be neces- The average annual rainfall is 46 in. The imperviousness
sary on the downstream side of the check dams to prevent of the site for pre-developed conditions is estimated at 2%,
erosion. and the total phosphorus concentration is estimated at 0.15
Filter strips are vegetated strips along a slope or flowpath mg/l (from Table 22.9 under total phosphorous for hard-
designed to convey sheet flow and filter out pollutants. wood forest). Using Eq. (22.46), the pre-development an-
They may be used to filter runoff before it enters a stream nual phosphorus load is
or other stormwater conveyance system and are often used
to filter runoff before entering an infiltration-type BMP fa-
cility. Pollutant removal occurs by the same mechanisms as
for grassed swales, and the design guidelines for enhancing
Lpre ⫽ 冉
(46)(0.9)(0.05 ⫹ 0.009 (2))
12 冊 (0.15)(50)(2.72)
pollutant removal for grassed swales basically apply to filter ⫽ 4.8 lb/yr
strips as well. It is important that flow over filter strips flows (22.44)
as sheet flow and not concentrated flow, as the latter would
effectively short-circuit the filter strip, and little pollutant
For the post-development conditions, the estimated im-
removal would likely occur. Filter strips can be virtually
perviousness is 10% for residential areas and 75% for com-
cost free if preserved before any development activities take
mercial areas, and the phosphorus concentration is 0.26
place, and they can be effective at filtering out pollutants
mg/l. A weighted impervious value is
with either grassed or forested vegetation.
To ensure that sheet flow occurs across filter strips, they
should be graded to a uniform, even, and relatively flat 10% (40 acre) ⫹ 75% (10 acre)
Weighted I ⫽ ⫽ 23%
slope. Level spreaders may be used to spread concentrated 50 acre
flows out before entering a filter strip. If a cross slope exists (22.45)
along the strip, berms may be placed perpendicular to the
strip to prevent flows from concentrating. The contributing
The post-development phosphorus load is
drainage area to a filter strip should be relatively small to
冉冊
further inhibit concentrated flow from forming.
The pollutant removal efficiencies for filter strips are not (46)(0.9)(0.05 ⫹ 0.009 (23)
Lpost ⫽ (0.26)(50) 2.72
easily quantified, but forested filter strips are reported to 12
have greater pollutant removal capability than grass strips,
⫽ 31.3 lb/yr
due to the greater uptake and long-term retention of nu-
(22.46)
trients in forest biomass. However, because the amount of
vegetative cover is less in forested areas than in grassy areas,
a greater filter strip length is recommended for forested ar- and this results in a phosphorus load increase of 26.5 lb/
eas than for grass. yr. To achieve no net increase in phosphorus load, m, the
There are no standard rules for the preferred length of post-development phosphorus load, must be reduced by
filter strip required for pollutant removal. Strips should be 26.5 lb/yr or approximately 85% decrease relative to the
no less than 20 ft in length, but it is recommended that 50 pre-development load level. According to the data pre-
to 75-ft lengths be used. For very short lengths, flat slopes sented in Schuler (1987), no single BMP facility is capable
are mandatory for pollutant removal to occur. A rule of of 85% removal efficiency. A combination of two or more
thumb for steeper slopes is to add 4 ft beyond the 50 to facilities in series might be a consideration, such as an in-
75 ft for every 1% increase in slope. Grades of 5% or less filtration trench followed by an ED pond. Recognize that
are recommended for filter strip application, whiles slopes this would use more land. Regardless of the number of fa-
of 15% or greater will preclude the pollutant removal func- cilities used in series, most of the soluble pollutants will
tion of filter strips. not be captured.
A summary of the effectiveness of various types of BMP Another approach offered by local jurisdictions is to im-
facilities appears in Table 22.15. plement ‘‘regional’’ pollutant removal goals where required
pollutant removal is not determined by pre- and post-
BMP Design Example development conditions of a particular site but by average
Using the same 50-acre parcel of the detention example, watershed conditions and/or a preset value. For the re-
determine the annual phosphorus load from the site for quired 50%, phosphorus removal efficiency equates to re-
both pre-developed and post-development conditions. ducing the post-development annual phosphorus load by
What type(s) of BMP facility should be used to maintain 50%.
the pre-development pollutant load level? Size a BMP facil- Using the methodology of Schuler (1987), an extended
ity to reduce the post-development phosphorus load by detention pond sized to detain runoff volume produced by
40%. 1 in. of rainfall for 24 hr will provide removal efficiency on

TABLE 22.15 Comparative Effective of Urban BMP Practices
RELIABILITY FOR APPLICABLE TO
URBAN BMP POLLUTANT MOST WILDLIFE HABITAT ENVIRONMENTAL SPECIAL
OPTIONS* REMOVAL LONGEVITY* DEVELOPMENTS POTENTIAL CONCERNS COMPARATIVE COST CONSIDERATIONS
STORMWATER Moderate to high 20⫹ years Applicable to High. Stream warming; Marginally higher Recommended
WETLANDS depending on expected. most sites if land natural wetland than wet ponds. with design
design. is available. alteration. improvements and
with the use of
micropools and
wetlands.
............................................................................................................................................................................
EXTENDED Moderate, but not 20⫹ years, but Widely applicable, Moderate. Possible stream Lowest cost Recommended
DETENTION always reliable. frequent clogging but requires at warming and alternative in size with design
PONDS and short least 10 acres of habitat range. improvements and
detention drainage area. destruction. with the use of
common. micropools and
wetlands.
............................................................................................................................................................................
WET PONDS Moderate to high. 20⫹ years. Widely applicable, Moderate to high. Possible stream Moderate to high Recommended,
but requires warming, trophic compared to with careful site
drainage area of shifts, habitat. conventional. evaluation.
greater than 2
acres.
............................................................................................................................................................................
MULTIPLE POND Moderate to high; 20⫹ years. Widely applicable. Moderate to high. Selection of Most expensive Recommended.
SYSTEMS redundancy appropriate pond pond option.

increases option minimizes
reliability. overall
environmental
impact.

............................................................................................................................................................................
INFILTRATION Presumed 50% failure rate Highly restricted Low. Slight risk of Cost-effective on Recommended
TRENCHES moderate. within 5 years. (soils, groundwater smaller sites. with pretreatment
groundwater, contamination. Rehab costs can and geotechnical
slope, area, be considerable. evaluation.
sediment input).
............................................................................................................................................................................
529
530
TABLE 22.15 Comparative Effective of Urban BMP Practices (Continued)
RELIABILITY FOR APPLICABLE TO
URBAN BMP POLLUTANT MOST WILDLIFE HABITAT ENVIRONMENTAL SPECIAL
OPTIONSa REMOVAL LONGEVITY* DEVELOPMENTS POTENTIAL CONCERNS COMPARATIVE COST CONSIDERATIONS
INFILTRATION Presumed 50% failure rate Highly restricted Low. Slight risk of Cost-effective on Recommended
TRENCHES moderate, if within 5 years. (soils, ground groundwater smaller sites. with pretreatment
working. water, slope, contamination. Rehab costs can and geotechnical
sediment input). be considerable. evaluation.
............................................................................................................................................................................
INFILTRATION Presumed 60–100% failure Highly restricted Low to moderate. Slight risk of Construction cost Not widely
BASINS moderate, if within 5 years. (see infiltration groundwater moderate, but recommended
working. trench). contamination. rehab cost high. until longevity is
improved.
............................................................................................................................................................................
POROUS High (if working). 75% failure Extremely Low. Possible Cost-effective Recommended in
PAVEMENT within 5 years. restricted (traffic, groundwater compared to highly restricted
soils, impacts; conventional applications with
groundwater, uncontrolled asphalt when careful
slope, area, runoff. working properly. construction and
sediment input). effective
maintenance.
............................................................................................................................................................................
SAND FILTERS Moderate to high. 20⫹ years. Applicable (for Low. Minor. Comparatively Recomended, with
smaller high construction local
developments). costs and demonstration.

frequent
maintenance.
............................................................................................................................................................................
GRASSED Low to moderate, 20⫹ years. Low-density Low. Minor. Low compared to Recommended,
SWALES but unreliable. development and curb and gutter. with checkdams,

roads. as one element of
a BMP system.
............................................................................................................................................................................
FILTER STRIPS Unreliable in Unknown, but Restricted to low- Moderate if Minor. Low. Recommended as
urban settings. may be limited. density areas. forested. one element of a
BMP system.
............................................................................................................................................................................
WATER QUALITY Presumed low. 20⫹ years. Small, highly Low. Resuspension of High, compared Not currently
INLETS impervious hydrocarbon to trenches and recommended as
catchments (⬍2 loadings. sand filters. a primary BMP
acres). Disposal of option.
hydrocarbon and
toxic residuals.
Source: Courtesy of Galli, John. 1982, Analysis of Urban BMP Performance and Longevity in Prince George’s County, Maryland, Washington, DC: Metropolitan Washington Council of Governments, 777 No. Capitol St. NE, Suite 300,
Washington, DC 20002-4226. 202 / 962-3256.
* Based on current designs and prevailing maintenance practices.

531
the order of 40%. The runoff volume from 1 inch of rainfall cal Survey Water-Supply Paper 2363, U.S. GPO, Washington,
is D.C., 1990.
Federal Highway Administration, Debris-Control Structures, Hy-
draulic Engineering Circular No. 9, Washington, D.C., 1971.
(P(Rv)(A)
Vol ⫽ (22.47) Federal Highway Administration, Drainage of Highway Pavements,
12 Hydraulic Engineering Circular No. 12, Washington, D.C., 1984.
(1)(0.05 ⫹ 0.009(39))(50) Federal Highway Administration, Hydraulic Design of Energy Dis-
⫽ sipators for Culverts and Channels, Hydraulic Engineering Circular
12
No. 14, Washington, D.C., 1983.
⫽ 1.67 acre-ft of storage Federal Highway Administration, Hydraulic Design of Highway
Culverts, Hydraulic Design Series No. 5, Washington, D.C.,
1985.
Recommendation for this example is to use an ED pond
that detains 1.67 acre-ft of runoff and slowly release it over Federal Emergency Management Agency, Flood Insurance Study
Guidelines and Specifications for Study Contractors, Washington,
24 hr to achieve the 40% annual phosphorus reduction for
D.C.
the post-development conditions. Note that the post-
Federal Emergency Management Agency, Appeals, Revisions, and
development total phosphorus load from the site after re- Amendments to Flood Insurance Maps, A Guide for Community Offi-
lease from the extended detention facility is cials, Washington, D.C., 1985.
冉冊
Fread, D.L., DAMBRK, the NWS Dam-Break Flood Forecasting
40 Model, National Weather Service, Silver Spring, Md., 1979.
Lpost ⫽ 27.3 lb / yr ⫽ 10.9 lb / yr (22.48)
100 Galli, John, Analysis of Urban BMP Performance and Longevity in
Prince Georges’s County, Maryland, Metropolitan Washington
Council of Governments, Washington, D.C., 1982.
which is an increase over the pre-development phosphorus
load of 6.1 lb/yr. Garman, Gayle D., Gregory B. Good and Linda M. Hinsman,
Phosphorus: A Summary of Information Regarding Lake Water Qual-
This example for sizing a SWM facility for quality con-
ity, Illinois Environmental Protection Agency, Springfield, Illinois,
trol, and the previous example for sizing a facility for quan- 1986.
tity control, were presented separately to better illustrate the Gundlach, D.L., and W.A. Thomas, Guidelines for Calculating and
mechanics of the procedures. If the same facility is to serve Routing a Dam-Break Flood, U.S. Army Corps of Engineers, Hy-
both purposes, the volume for water quality would be de- drologic Engineering Center, 1977.
termined first. Hammer, Mark J., and Kenneth A. MacKichan, Hydrology and
Quality of Water Resources, John Wiley & Sons, New York, 1981.
REFERENCES1 Heaney, J.P., W.C. Huber, and S.J. Nix, Stormwater Management
American Public Works Association, Urban Stormwater Manage- Model: Level I—Preliminary Screening Procedures, EPA Rep. No.
ment, Special Report No. 49, Chicago, Illinois, 1981. 66 / 2-76-275, U.S. Environmental Protection Agency, Washing-
American Society of Civil Engineers, Stormwater Detention Outlet ton, D.C., October, 1976.
Control Structures, American Society of Civil Engineers, New Huber, W.C., J.P. Heaney, S.J. Nix, R.E. Dickinson, and D.J. Pol-
York, 1985. mann, Storm Water Management Model User’s Manual, Version III,
Bell, Warren, Intermittent Sand Filter BMPS for Stormwater Qual- EPA-600 / 2-84-109a, U.S. Environmental Protection Agency, Ath-
ity, Engineers and Surveyors Institute Stormwater Management ens, Ga., 1981.
Council, Stormwater Management Symposium, Sept. 8, 1994. Hydrologic Engineering Center, Urban Storm Water Runoff:
Brater, E.F., and H.W. King, Handbook of Hydraulics for the Solu- STORM, Generalized Computer Program 723-58-L2520, U.S. Army
tion of Hydraulic Engineering Problems, 6 ed. McGraw-Hill, New Corps of Engineers, Davis, Ca., 1975.
York, 1976. Johanson, R.C., J.C. Imhoff, and H.H. Davis, Users Manual for
Chow, V.T., Open-Channel Hydraulics, McGraw-Hill, New York, Hydrological Simulation Program-FORTRAN (HSPF), EPA-600 / 9-
1959. 80-015, U.S. EPA, Athens, Ga., 1980.
Chow, Ven Te, David R. Maidment, and Larry W. Mays, Applied Kibler, David F., ed., Urban Stormwater Hydrology, Water Re-
Hydrology, McGraw-Hill, New York, 1988. sources Monograph 7, American Geophysical Union, Washing-
ton, D.C., 1982.
Driver, Nancy E. and Gary D. Tasker, Techniques for Estimation of
Linsley, Ray K., and Joseph B. Franzini, Water Resources Engineer-
Storm-Runoff Loads, Volumes, and Selected Constituent Concen-
ing, 3d ed., McGraw-Hill, New York, 1979.
trations in Urban Watersheds in the United States, U.S. Geologi-
Metropolitan Washington Council of Government, Urban Runoff
in the Washington Metropolitan Area, Final Report, Washington,
D.C. Area Urban Runoff Project; EPA Nationwide Urban Runoff
1
Some of the references listed below are government documents. In addition to the
Program, prepared by Metropolitan Washington Council of Gov-
individual agencies, some of the government publications may be available through
the National Technical Information Service (NTIS) or the Government Printing Office
ernments, December, 1983.
(GPO) for a minimal charge. For availability and price, contact: National Technical National Weather Service, Five to 60-Minute Precipitation Fre-
Information Service (703) 487-4650 and U.S. Government Printing Office (202) 783- quency for the Eastern and Central United States, (NWS Hydro-
3238. 35), Washington, D.C., 1977.

Ponce, Victor Miguel, Engineering Hydrology. Principals and Prac- ogy Subcommittee, Interagency Advisory Committee on Water
tices, Prentice-Hall, Inc., Englewood Cliffs, N.J., 1989. Data, 1982.
Sartor, J.D., and G.B. Boyd, Water Pollution Aspects of Street Sur- U.S. Department of the Interior, Bureau of Reclamation, Design
face Contaminants, Environmental Protection Series, Environmen- of Small Dams, 3d ed., U.S. Government Printing Office, 1987.
tal Protection Agency, Report EPA-R-2-272-081, Washington, U.S. Department of Transportation and Environmental Services,
D.C., 1972. Alexandria Supplement to the Northern Virginia BMP Handbook,
Schueler, Thomas R., Controlling Urban Runoff: A Practical Man- Dept. of Transportation and Environmental Services, Alexandria,
ual for Planning and Designing Urban BMPs, Metropolitan Wash- Va., 1992.
ington Council of Governments, 1987. U.S. Environmental Protection Agency, Report to Congress: Non-
Schueler, Thomas R., Design of Stormwater Wetlands Systems point Source Pollution in the United States, Washington, D.C., Jan-
Guidelines for Creating Diverse and Effective Stormwater Wetland uary, 1984.
Systems in the Mid-Atlantic Region, Metropolitan Council of Gov- U.S. Environmental Protection Agency, Results of the Nationwide
ernments, Washington, D.C., 1992. Urban Runoff Program, Final Report, Washington, D.C., Decem-
Shelley, P. E., Monitoring Requirements, Methods, and Costs, Area- ber, 1983.
wide Assessment Procedures Manual, EPA-600 / 9-76-014, Water U.S. Environmental Protection Agency, Lake and Reservoir Resto-
Planning Division, U.S. Environmental Protection Agency, 1976. ration Guidance Manual, First Edition, Washington, D.C., 1988.
Stahre, Peter, and Ben Urbonas, Stormwater Detention for Drain- U.S. Geological Survey, Roughness Characteristics of Natural Chan-
age, Water Quality, and CSO Management, Prentice Hall, Engle- nels, Water Supply Paper 1849, U.S. Gov’t. Printing Office,
wood Cliffs, N.J., 1994. Washington, D.C., 1967.
U.S. Department of Agriculture, Rainfall Frequency Atlas of the Urbonas, Ben, and L.A. Roesner, eds., Urban Runoff Quality—
United States for Durations from 30 Minutes to 24 Hours and Re- Impact and Quality Enhancement Technology, Proceedings of a
turn Periods from 1 to 100 Years (Technical Paper No. 40), Wash- Conference at Henniker, N.H., Published by the American Soci-
ington, D.C., 1963. ety of Civil Engineers, New York, 1986.
U.S. Department of Agriculture, Simplified Dam-Breach Routing Viessman, Warren, Jr., and Mark W. Hammer, Water Supply and
Pollution Control, 4th ed., Harper & Row, New York, 1985.
Procedure, Technical Release Number 66, Washington, D.C.,
1979. Walesh, Stuart G., Urban Surface Water Management, John Wiley
& Sons, Inc., New York, 1989.
U.S. Department of Agriculture, Earth Dams and Reservoirs, Tech-
nical Release No. 60, Washington, D.C., 1985. Wanielista, Martin P., and Yousef A. Yousef, John Wiley & Sons,
New York, 1993.
U.S. Department of Agriculture, National Engineering Handbook,
Section 4, Hydrology, Washington, D.C., 1985. Wetmore, J.N., and D.L. Fread, The NWS Simplified Dam Break
Flood Forecasting Model for Desk-top and Hand-held Microcomput-
U.S. Department of Agriculture, National Engineering Handbook, ers, Printed and distributed by the Federal Emergency Manage-
Section 5, Hydraulics, Washington, D.C. ment Agency, undated.
U.S. Department of Agriculture, Urban Hydrology for Small Wa- Whipple, William, Neil S. Grigg, Thomas Grizzard, Clifford W.
tersheds, Technical Release 55, Washington, D.C., 1986. Randall, Robert P. Shubinski, L. Scott Tucker, Stormwater Man-
U.S. Department of the Interior, Geological Survey Guidelines for agement in Urbanizing Areas, Prentice-Hall, Inc., Englewood
Determining Flood Flow Frequency, Bulletin #17B of the Hydrol- Cliffs, N.J., 1983.


CHAPTER 23
FLOODPLAIN STUDIES
Philip C. Champagne, P.E. / Gilbert R. Jones, P.E.
INTRODUCTION FEMA AND THE NATIONAL FLOOD INSURANCE PROGRAM

Historically, development has occurred near the water, History of the NFIP
whether it was a navigable stream or a coastline, for rec- Historically, the federal government responded to develop-
reation or for commerce. Although the benefits of being on ment in and around the floodplain by constructing flood-
the water are numerous, so too are the potential problems control projects (dams, levees, and seawalls) and providing
created by being so close to such a powerful entity. Flood- emergency disaster relief funding to both communities and
plain studies are used to understand the potential hazard individuals. However, this approach did little to discourage
of being near the water and to identify where the flood- unwise development, and in some cases, may have encour-
waters will go after a major storm. aged development in floodprone areas. In response to es-
As discussed previously within the chapter on Storm- calating flood-related losses and the burgeoning cost to the
water Management, changing land use from vacant rural taxpayer, in 1968, the U.S. Congress created the National
land to residential/commercial use inevitably results in a Flood Insurance Program (NFIP). The purpose of the NFIP
decrease in pervious surface and an increase in impervious is to encourage responsible development practices in flood-
surface. This change in basin imperviousness results in in- prone areas and to protect property owners through an in-
creased flow rates, runoff volumes, the frequency of flood- surance mechanism that is funded by those who are most
ing, and the degradation of surface water quality. In order at risk of flooding.
to accommodate the increased runoff, systems consisting of The NFIP, first established in 1968 with the passage of
curb and gutter, storm sewer, ditches and paved channels the National Flood Insurance Act, was broadened and
are developed to convey the runoff safely through the basin. strengthened by the Flood Disaster Protection Act of 1973,
These systems directly increase flow velocity and conse- as well as the National Flood Insurance Reform Act of 1994.
quently decrease the basin time of concentration resulting The NFIP was administered by the Department of Housing
in higher peak flow rates. and Urban Development (HUD) until 1979, when it was
In a typical moderately-developed watershed, the in- absorbed by the newly created Federal Emergency Manage-
crease in peak discharge could be from two to five times ment Agency (FEMA). Currently, FEMA administers the
higher than pre-developed conditions. The volume of run- NFIP primarily through the Federal Insurance and Mitiga-
off can be increased by as much as 50%, and the time of tion Administration, which manages both the insurance as-
concentration may be decreased by an even greater per- pects and the floodplain management aspects of the
centage (see Figure 22.1). Although such effects from a program.
small individual site may seem inconsequential, the collec- The NFIP is a community-based program. A commu-
tive effects of numerous sites, throughout the watershed, nity’s participation in the NFIP is voluntary (although some
can have substantial impact on the anticipated flood ele- states require participation as part of a state-wide floodplain
vation, especially in the lower reaches of a watershed. management program). It is the responsibility of each com-
535
FLOODPLAIN STUDIES
munity to assess their flood risks and determine whether During the early years of the NFIP, to get as many com-
they would benefit from the flood insurance and floodplain munities in the program as quickly as possible, FEMA es-
management assistance provided through the program. At tablished the ‘‘Emergency Phase’’ of the program, which was
the time of publication, approximately 19,000 communities designed to provide limited amounts of insurance coverage
participate in the program nationwide. (See Table 23.1 for at less than actuarial rates. In general, no detailed floodplain
a list of FEMA regional offices.) studies have been conducted for communities in the Emer-
TABLE 23.1 FEMA Regional Offices
REGION I REGION VI
(Connecticut, Maine, Massachusetts, New (Arkansas, Louisiana, New Mexico,
Hampshire, Rhode Island, and Vermont) Oklahoma, and Texas)
J. W. McCormack Post Office and Federal Regional Center
Courthouse Building 800 North Loop 288
Room 442 Denton, Texas 76201
Boston, Massachusetts 02109 (940) 898-5399
(617) 223-9540
REGION VII
REGION II (Iowa, Kansas, Missouri, and
(New Jersey, New York, Puerto Rico, and Nebraska)
Virgin Islands) 2323 Grand Blvd.
26 Federal Plaza Suite 900
Room 1311 Kansas City, Missouri 64108
New York, New York 10278 (816) 374-2161
(212) 680-3600
REGION VIII
REGION III (Colorado, Montana, North Dakota,
(Delaware, District of Columbia, South Dakota, Utah, and Wyoming)
Maryland, Pennsylvania, Virginia, and Denver Federal Center
West Virginia) Building 710
Liberty Square Building (Second Floor) P.O. Box 25267
105 South Seventh Street Denver, Colorado 80225-0267
Philadelphia, Pennsylvania 19106 (303) 235-4800
(215) 931-5500
REGION IX
REGION IV (Arizona, California, Hawaii, and
(Alabama, Florida, Georgia, Kentucky, Nevada)
Mississippi, North Carolina, South Presidio of San Francisco
Carolina, and Tennessee) Building 105
3003 Chamblee-Tucker Rd. San Francisco, California 94129
Atlanta, Georgia 30341 (415) 923-7100
(770) 220-5200
REGION X
REGION V (Alaska, Idaho, Oregon, and
(Illinois, Indiana, Michigan, Minnesota, Washington)
Ohio, and Wisconsin) Federal Regional Center
536 South Clark St. (6th Floor) 130 228th Street, S.W.
Chicago, Illinois 60605 Bothell, Washington 98021-9796
(312) 408-5500 (425) 487-4600

FLOODPLAIN STUDIES
23 䡲 FLOODPLAIN STUDIES 537
gency Program, and the communities are required to adopt Generally, placing obstructions in the riverine flood-
only limited floodplain management ordinances to control plains, such as buildings or other structures, inhibits the
future use of their floodplains. Only about one percent of flow of floodwaters downstream and results in an increase
the communities participating in the NFIP are in the Emer- of the upstream flood elevations. To ensure that develop-
gency Phase. ment in the floodplain does not result in unacceptable in-
The remainder of the participating communities are in creases in the base flood elevation, as a condition of
the ‘‘Regular Phase’’ of the NFIP. These communities are participating in the NFIP, the community must adopt a reg-
generally provided detailed studies of their floodprone areas ulatory floodway into its ordinances. The floodway is com-
and are required to adopt more comprehensive floodplain posed of the actual stream channel plus the portion of the
management ordinances in exchange for higher amounts of overbank area that must be kept free from encroachment
flood insurance coverage. in order to convey the one-percent annual-chance flood
without increasing the BFE by more than a specified
Types of FEMA Flood Maps amount.
One of the primary tools in administering the NFIP is maps Under the NFIP, the allowable increase, or surcharge,
that identify floodprone areas. Because the NFIP is a com- within the floodway is one foot; however, many commu-
munity-based program, the maps are generally produced for nities and states have adopted more stringent floodway sur-
individual communities, although FEMA has recently charge limits. For example, New Jersey has established a
started updating the maps for select areas to a county-wide maximum surcharge limit of 0.2 ft, resulting in a wider
format. floodway than that needed to convey the one-percent
FEMA has produced different types of flood hazard maps annual-chance flood with a one-foot surcharge, while other
over the history of the NFIP. The two primary types of maps more conservative communities have set a zero surcharge
used in the program are: limit, effectively defining the entire floodplain as the flood-
way.
䡲 Flood Hazard Boundary Maps (FHBMs)
The area outside the floodway, but inside the SFHA, is
䡲 Flood Insurance Rate Maps (FIRMs) commonly referred to as the floodway fringe. Although the
floodway is typically shown on a community’s FIRM, be-
FHBMs show the floodplain boundaries based upon ap- tween the mid-1970s and mid-1980s, separate Flood Boun-
proximate data and limited analyses. They were issued dur- dary and Floodway Maps (FBFMs) were created for some
ing the Emergency Phase of the NFIP and generally have communities that show only the floodways, but not the
limited information regarding the floodprone areas. BFEs or flood risk zones. (See Figure 23.2.)
Communities that have been converted from the Emer- The full text of the NFIP regulations is contained in Parts
gency Phase to the Regular Phase of the NFIP are provided 59 through 77 of Title 44 of the Code of Federal Regula-
with FIRMs. FIRMs are generally based upon detailed stud- tions, which can be found on the internet at http:/ /
ies of the floodprone areas and show more detailed infor- www.fema.gov/nfip/laws or ordered from the Government
mation regarding the floodprone areas than the FHBM. Printing Office by calling (202) 512-1800.
Regulations and Terminology Options for Map Revision
Under the NFIP, the mortgages for any insurable structures FEMA’s inventory of flood maps contains over 100,000 map
that are federally-backed (which almost all are) must have panels that cover most of the floodprone areas in the nation.
flood insurance if they are located within a Special Flood Maintaining these maps is an enormous challenge. Devel-
Hazard Area (SFHA). The SFHA is defined as the land area opment and other man-induced and natural changes are
that would be inundated by a flood having a one-percent constantly altering the floodplains throughout all areas of
chance of occurring in any given year. The one-percent the country. FEMA conducts flood studies routinely in an
annual-chance flood is often referred to as the ‘‘base’’ or effort to keep its maps updated. However, given its limited
‘‘100-year’’ flood. The elevation of the one-percent annual- resources and the pace of the changes, FEMA is unable to
chance flood (referred to as the base flood elevation or ‘‘BFE’’) conduct detailed studies of every area that is in need of
is typically shown on the FIRM for those SFHAs that have restudy. Consequently, FEMA has established several differ-
been studied in detail. ent methods of amending and revising a FEMA flood map
To identify the SFHA and other areas on the FIRMs, based upon data submitted by communities and property
different zone designations are used. Non-coastal areas owners.
within the SFHA are designated as Zone A, AE, AO, AH, The options for revising FEMA’s flood maps are described
A1-A30, or A99. Coastal SFHAs, where wave action is a below.
concern, are designated as V, VE, or V1-V30. Areas outside
the SFHA include Zones B, C, D, and X. Because each zone FEMA-funded Updates
designation represents different classes of risk, the insur- FEMA-funded Studies and Restudies. When flood risks
ance premium for a structure is based upon the zone des- are identified in a community that does not have a flood
ignation. (See Figure 23.1.) map, or if flood maps have been prepared for a community

FLOODPLAIN STUDIES
FIGURE 23.1 Sample flood insurance rate map.

FLOODPLAIN STUDIES
within a given FEMA region for a set number of years.

LMMPs are subject to the same due process and compliance
periods as studies and restudies; however, because of the
limited scope of the projects, these processes are typically
much more streamlined.
Existing Data Studies. These studies rely on existing
flood hazard information that was developed for another
purpose by a state or another federal agency. These studies
which do not require a Study Contractor, are subject to the
same due process and compliance periods.
Community/Property Owner-Initiated Amendments

and Revisions
Letters of Map Amendment (LOMA). Although NFIP maps
are prepared using the best available topographic maps at
the time they are prepared, due to limitations of scale and
topographic definition, a property may appear to be in a
SFHA even though it is actually above the 100-year flood
elevation. If no fill1 has been used to elevate the property,
FIGURE 23.2 Showing a floodway and a floodway fringe.
the property owner or lessee may submit a request to be
removed from the SFHA via a letter. To obtain a LOMA,
but there are still floodprone areas on the map that do not the requestor must submit technical data to FEMA certify-
have designated floodplains, FEMA may conduct a flood ing that the lowest ground elevation adjacent to the struc-
study to establish the SFHA boundary. Flood studies require ture (lowest adjacent grade or ‘‘LAG’’) is above the BFE. If
detailed engineering analyses and are generally only con- the building is located in a SFHA for which no BFEs have
ducted in areas where development warrants it. Restudies been determined (e.g., floodplains designated as Zone A),
are detailed engineering analyses conducted in areas that then FEMA will assist the requestor in calculating the BFE
were previously studied but have become outdated or infor that location. Upon review and acceptance of the data,
accurate. FEMA will issue a LOMA that officially removes the prop-
At the initiation of a study or restudy field surveys, site erty from the SFHA. The map is not republished when a
investigations, and/or aerial photography are conducted. LOMA is issued, and the letter does not affect the SFHA
Based upon this data, detailed hydrologic and hydraulic delineation or any other features of the NFIP map.
analyses are performed and draft work maps are prepared, Letter of Map Revision Based on Fill (LOMR-F). If a prop-
which are submitted to FEMA for review and issuance. Tra- erty is located within the boundaries of an SFHA but has
ditionally, engineering firms, under contract to FEMA as been elevated above the BFE by fill, the property owner
‘‘Study Contractors,’’ would perform all field work, engi- may submit technical data to FEMA to request a LOMR-F
neering analyses and work map preparation. Recently, in removing the property from the SFHA. The submission
addition to using their own Study Contractors, FEMA has must show that both the LAG and the lowest floor (includ-
been partnering with communities and States that have ing basement/crawlspace) is above the BFE. Fill used for
mapping capabilities and resources to contribute to flood structural support must meet specific engineering criteria
studies. (Information on FEMA’s requirements for FEMA for erosion, stability, and compaction. Please note: LOMR-
Study Contractors is provided in ‘‘Flood Insurance Study Fs are not permitted in SFHAs designated as V-Zones.
Guidelines and Specifications for Study Contractors (FEMA Letter of Map Revision (LOMR). Often, revisions to NFIP
37).’’) During the subsequent 90-day due process period, maps are warranted due to construction or improvements
the ‘‘preliminary’’ maps are issued for public comment. in the floodplain, annexations that include unmapped
Upon resolution of any appeals or protests received during floodplains, or other changes that affect BFEs and/or flood-
this time, the maps are issued final. The community is then plain and floodway delineations. A community may request
given a six-month compliance period to update their reg- that the maps be revised to reflect such changes by provid-
ulations to reference the new/updated maps. ing technical data that support the revision. If the changes
Limited Map Maintenance Program (LMMP) Revisions. are not extensive and do not warrant republishing the
LMMPs are engineering analyses that are limited in scope maps, a LOMR may be issued. Because the community
and detail, typically involving no more than one flooding must adopt changes and revisions to the maps in their local
source. In general, they are ‘‘quick fixes’’ to blatant mapping
problems. However, unlike studies and restudies in which
Study Contractors are selected independently for each pro- 1
‘‘Fill’’ is defined to include any earthen material used to raise the ground elevation
ject, FEMA contracts, with a single contractor, all LMMPs and includes both structural and non-structural fill.

FLOODPLAIN STUDIES
floodplain ordinances, all such requests must be submitted Hydrologic Data and Methodologies
by, or at the direction of, the community CEO. Information Search. Before beginning a floodplain study,
Physical Map Revisions (PMRs). A PMR is performed if an information search should be conducted to determine if
changes to BFEs, floodway or SFHA boundaries, or plani- previous studies on the subject stream exist or if other stud-
metric features warrant republishing the NFIP map. The ies have been performed that may provide some of the data
decision to issue a LOMR or a PMR is made by FEMA upon needed for a study on the subject stream. Some federal
receipt of a community’s revision request. This decision is agencies perform floodplain studies as an aid to identifying
based upon a number of factors: the extent and scope of flood-prone areas. These agencies include the U.S. Geolog-
the changes; the cost of making the changes; the number ical Survey, the U.S. Army Corps of Engineers, and FEMA.
of map panels affected by the changes; the number of pre- In addition, some local or state organizations may have
viously issued LOMAs and LOMR-Fs; and whether a study/ drainage plans or floodplain studies already established. If
restudy is planned in the near future. a development project is near a previously or concurrently
developed site that is also affected by the subject stream, a
Acceptable Flood Study Methodologies floodplain study may have been developed in conjunction
To ensure that the studies and restudies meet the minimum with the nearby development. These studies should be
standards required by FEMA, certain technical methods identified and examined to determine if they may be used
have been reviewed and accepted by FEMA. These methods outright or if some pieces of information may be used from
include hydrologic and hydraulic models and computation the studies.
methods used in the detailed engineering analyses con- Methodologies. The first step in performing a floodplain
ducted as part of most studies/restudies. See Chapter 41 study is the hydrologic analysis. A hydrologic analysis is
for lists of acceptable methods at the time this book was performed in order to estimate the flood discharge at a lo-
published. Because FEMA occasionally reviews and ap- cation along the flooding source. As with other aspects of
proves new models and methods and updates to existing the floodplain study process, the first step in performing a
models and methods, FEMA should be contacted about the hydrologic analysis should be to determine if there is a
use of any method not listed in Chapter 41 prior to its use. stream gauge on the stream in question. Typically, in the
land development process, the drainage areas of the flood-
PREPARING A FLOODPLAIN STUDY
ing sources in question are smaller (less than one square
Introduction mile) and likely not gauged.
A flood plain study graphically depicts an engineering es- In trying to determine the flood discharge for an un-
timate of the water surface elevation expected along a length gauged stream, several techniques can be employed. Often,
of a stream for some specified design storm. Typically, a more than one technique will be utilized in order to support
floodplain study is conducted as a design tool or as a reg- your results. These techniques can be broken down into
ulatory requirement. As a design tool, they are often used two categories, namely Regression Equations and Rainfall-
to determine the limits of inundation, for some specified Runoff Modeling. Federal, state, and local ordinances
recurrence interval, to assure that new developments will should be consulted to determine which technique is ap-
lie beyond the floodplain. Similarly, they may be used to proved for use in your jurisdiction.
evaluate the changes in flood elevations due to changes or
additions to structures within the floodplain. A floodplain Regression Equations: The land development engineer should
study may also be conducted to evaluate the effectiveness once again determine if any federal, state, or local agency
of channel improvements or modifications. has established flood discharges previously for the un-
Even if a floodplain study does not seem necessary for gauged stream under consideration or should check the
design, it is often a regulatory requirement. It is common FEMA effective Flood Insurance Study. In the absense of
for local or state governments to require that a floodplain such an analysis, the land development engineer shall use
study be performed and submitted in support of a land the most recent regional flood flow frequency report, pub-
development plan. Regulations often contain a provision lished by the USGS. These reports are generally available
that a floodplain study is required for a reach of stream if on a statewide basis. Caution should be exercised when
the drainage area is greater than some minimum value (100 applying these equations, for they have been developed for
conditions and locations for which they are recommended.
acres may be typical).
Rainfall-Runoff Modeling: Where USGS regional flood flow
Structures or fill placed within the floodplain may con-
frequency reports have not been developed or are not ap-
strict the flow, raising the flood elevation upstream of the plicable due to either rapid watershed development, stor-
encroachment. When new structures are proposed within age, or stream regulation, the land development engineer
the floodway, it is common to require a floodplain study to can develop a rainfall-runoff model such as HEC-HMS or
ensure that the new construction does not increase the wa- TR-20. These programs as well as the procedures for de-
ter surface elevation more than the allowable surcharge veloping these models have been described in the Storm-
above the base flood elevation. water Management chapter (Chapter 22).

FLOODPLAIN STUDIES
Hydraulic Data and Methodologies section locations is therefore a very important step in setting
Data Requirements. The data required for a floodplain up a floodplain model. The topographic map should be
study will vary to some degree depending on the methods used in conjunction with field information to determine the
used, the level of detail required, and the desired results. best locations for cross sections. Cross sections should be
However, the basic data to be gathered will normally in- located at points along the stream where the shape of the
clude topographic mapping, the limits of stream to be stud- section changes, where the slope of the stream changes, at
ied, flow discharges (hydrology), cross sections, and bends in the stream, and at locations where the floodplain
Manning’s ‘‘n’’ values. conditions otherwise change from the conditions upstream
First, topographic mapping of the area to be studied or downstream. Consideration should be taken of the entire
should be obtained. Sources of topographic mapping in- floodplain, not just the channel portion, when locating
clude local and state agencies, USGS Quadrangle maps, and cross sections. In addition, cross sections should be located
site topographic maps for the land development project. upstream and downstream of bridges and culverts, and
This mapping will be indispensable for properly setting up downstream of tributary inflows where the stream flow dis-
the floodplain study. The mapping should cover the area to charge should be adjusted. Cross sections should also be
be studied, with plenty of additional coverage beyond the placed at locations where conditions may change due to the
actual floodplain limits. There are several uses of the map- land development project, or at locations where floodplain
ping, not the least of which is as a base map for plotting elevations are desired for a specific purpose. After cross sec-
floodplain boundaries. Other uses for the topographic map- tions have been located as described above, additional cross
ping will be discussed as appropriate. sections may be placed to provide additional, more detailed
Next, the limits of the stream to be studied must be information for interpolating between cross sections. Also,
determined. The limits will be determined based on the local regulations may dictate a maximum allowable distance
desired results of the study. If the reason for performing a between cross sections for a floodplain study.
floodplain study is due to a regulatory requirement related At each cross-section location, the cross-section geome-
to the land development project, then the entire length of try is required. This may be determined from a topographic
stream through the project limits will likely be studied. If map, if the map provides an acceptable level of detail for
the reason for performing the study is to determine the the study. Often, field surveys will be required to obtain the
floodplain boundary in a certain location, or to determine cross-section geometry necessary for a floodplain study. Us-
the necessity for channel improvements, etc., then the limits ing a greater number of cross sections will increase the level
of study must be determined such that the portion of the of detail of the study, but will also increase costs for data
stream impacting the development will be studied. Once collection and modeling. Also, a greater level of detail in
the necessary limits have been determined, some additional cross sections may be unwarranted if other aspects of the
distance upstream and downstream should also be included study have a greater level of uncertainty. For example, if the
to insure that the appropriate reach is covered and to ac- flow discharges are highly questionable, then detailed mod-
count for downstream and upstream impacts. The topo- eling will still provide highly questionable results. There-
graphic mapping should be used to lay out the limits and fore, considerable judgment must be used in selecting
to investigate the stream upstream and downstream of the cross-section locations.
section to be modeled. The limits should be set such that Roughness coefficients must be determined for each
no hydraulic control sections in the floodplain occur be- reach of stream. Most floodplain models use Manning’s ‘‘n’’
yond the limits, such as a severe constriction, a bridge, or values to estimate the roughness of the stream channel and
a weir, that will have a significant impact on the reach being overbanks. Selection of n values is very important because
modeled. of the influence of roughness on water surface elevations.
The appropriate discharges must be determined for the Furthermore, n value selection is the one parameter that
floodplain analysis. An analysis of the hydrology may be cannot simply be measured in the field but, instead, must
required, as discussed earlier in this chapter. Also, appro- be determined largely from engineering judgment. Proper
priate recurrence intervals should be chosen to provide the selection of n values will provide a greater level of confi-
level of risk or protection desired. The 100-year floodplain dence in the floodplain model. Manning’s n values for sev-
is the most common for analysis, because of regulatory re- eral types of channels are presented in Table 23.2.
quirements from local jurisdictions and from FEMA. In ad- Methodology. Flood elevations for riverine areas are nor-
dition, the incremental changes to the flow discharges may mally determined by step-backwater computation models,
need to be made along the stream reach where tributaries like HEC-RAS, WSPRO, or WSP-2. The most common
or storm sewers discharge or where the drainage area in- model is the USACE HEC-RAS (which supercedes HEC-2)
creases significantly. program, although the land development engineer should
A floodplain study usually requires analyzing cross sec- consult the local regulations to determine which of the
tions for flood depth, width, velocity, etc., and interpolating above noted programs is acceptable for use. The models
the results between cross sections. The selection of cross- accepted by FEMA are listed in Chapter 41.

542
TABLE 23.2 Values of the Roughness Coefficient n
TYPE OF CHANNEL AND DESCRIPTION MINIMUM NORMAL MAXIMUM TYPE OF CHANNEL AND DESCRIPTION MINIMUM NORMAL MAXIMUM
Excavated or Dredged 8. Very weedy reaches, deep pools, or floodways 0.075 0.100 0.150
a. Earth, straight and uniform with heavy stand of timber and underbrush
1. Clean, recently completed 0.016 0.018 0.020 b. Mountain streams, no vegetation in channel, banks
2. Clean, after weathering 0.018 0.022 0.025 usually steep, trees and brush along banks
3. Gravel, uniform section, clean 0.022 0.025 0.030 submerged at high stages
4. With short grass, few weeds 0.022 0.027 0.033 1. Bottom: gravels, cobbles, and few boulders 0.030 0.040 0.050
b. Earth, winding and sluggish 2. Bottom: cobbles with large boulders 0.040 0.050 0.070
1. No vegetation 0.023 0.025 0.030 2. Flood plains
2. Grass, some weeds 0.025 0.030 0.033 a. Pasture, no brush
3. Dense weeds or aquatic plants in deep 0.030 0.035 0.040 1. Short grass 0.025 0.030 0.035
channels 2. High grass 0.030 0.035 0.050
4. Earth bottom and rubble sides 0.028 0.030 0.035 b. Cultivated areas
5. Stony bottom and weedy banks 0.025 0.035 0.040 1. No crop 0.020 0.030 0.040
6. Cobble bottom and clean sides 0.030 0.040 0.050 2. Mature row crops 0.025 0.035 0.045
c. Dragline-excavated or dredged 3. Mature field crops 0.030 0.040 0.050
1. No vegetation 0.025 0.028 0.033 c. Brush
2. Light brush on banks 0.035 0.050 0.060 1. Scattered brush, heavy weeds 0.035 0.050 0.070
d. Rock cuts 2. Light brush and trees, in winter 0.035 0.050 0.060
1. Smooth and uniform 0.025 0.035 0.040 3. Light brush and trees, in summer 0.040 0.060 0.080
2. Jagged and irregular 0.035 0.040 0.050 4. Medium to dense brush, in winter 0.045 0.070 0.110
FLOODPLAIN STUDIES
e. Channels not maintained, weeds and brush 5. Medium to dense brush, in summer 0.070 0.100 0.160
uncut d. Trees
1. Dense weeds, high as flow depth 0.050 0.080 0.120 1. Dense willows, summer, straight 0.110 0.150 0.200
2. Clean bottom, brush on sides 0.040 0.050 0.080 2. Cleared land with tree stumps, no sprouts 0.030 0.040 0.050
3. Same, highest stage of flow 0.045 0.070 0.110 3. Same as above, but with heavy growth of 0.050 0.060 0.080
4. Dense brush, high stage 0.080 0.100 0.140 sprouts
Natural Streams 4. Heavy stand of timber, a few down trees, little 0.080 0.100 0.120

1. Minor streams (top width at flood stage ⬍100 ft) undergrowth, flood stage below branches

a. Streams on plain 5. Same as above, but with flood stage reaching 0.100 0.120 0.160
1. Clean, straight, full stage, no rifts or deep 0.025 0.030 0.033 branches
pools 3. Major streams (top width at flood stage ⬎100 ft). The
2. Same as above, but more stones and weeds 0.030 0.035 0.040 n value is less than that for minor streams of similar
3. Clean, winding, some pools and shoals 0.033 0.040 0.045 description, because banks offer less effective

4. Same as above, but some weeds and stones 0.035 0.045 0.050 resistance.
5. Same as above, lower stages, more 0.040 0.048 0.055 a. Regular section with no boulders or brush 0.025 — 0.060
ineffective slopes and sections b. Irregular and rough section 0.035 — 0.100
6. Same as 4, but more stones 0.045 0.050 0.060
7. Sluggish reaches, weedy, deep pools 0.050 0.070 0.080
Source: Courtesy of Chow, V.T., Open-Channel Hydraulics, New York: McGraw-Hill, 1959. Reproduced with permission of McGraw-Hill, Inc.
FLOODPLAIN STUDIES
Typical plan profile sheet for a floodplain study.

FIGURE 23.3
543
FLOODPLAIN STUDIES
Format and Presentation Brater, E.F., and H.W. King, Handbook of Hydraulics for the Solu-
tion of Hydraulic Engineering Problems, 6th ed., McGraw-Hill,
The end product of a floodplain study should consist of
New York, 1976.
three items: (1) a plan view of the stream being studied,
Chow, V.T., Open-Channel Hydraulics, McGraw-Hill, New York,
usually on a topographic base, with the floodplain bound-
1959.
aries delineated along the stream; (2) a profile (longitudinal
Chow, Ven Te, David R. Maidment, and Larry W. Mays, Applied
cross section) of the stream, with the stream invert eleva-
Hydrology, McGraw-Hill, New York, 1988.
tions and flood elevations delineated; (3) technical docu-
Code of Federal Regulations, Title 44, Chapter 1, Parts 59–72
mentation regarding the determination of the floodplain
(National Flood Insurance Program).
elevations and limits. This documentation may include cal-
Federal Highway Administration, Debris-Control Structures,
culations and/or computer modeling results, a written de- Hydraulic Engineering Circular No. 9. Washington, D.C.,
scription of the methods used, sources of data, special or 1971.
unusual items that affected the modeling, assumptions Federal Emergency Management Agency, Flood Insurance Study
made, and limitations of the model. Guidelines and Specifications for Study Contractors, Washington,
Figure 23.3 shows a typical plan and profile sheet for a D.C.
flood study. If a floodplain study is prepared to determine Federal Emergency Management Agency, Appeals, Revisions, and
and document the changes to flood elevations or floodplain Amendments to Flood Insurance Maps, A Guide for Community Offi-
boundaries due to a development project, both pre- cials, Washington, D.C., 1985.
developed and post-developed floodplains should be pre- French, Richard H., Open-Channel Hydraulics, McGraw-Hill, New
sented. If a floodway is required, the floodway boundaries York. 1985.
should also be presented. A typical plan and profile sheet Linsley, Ray K., and Joseph B. Franzini, Water Resources Engineer-
of a floodplain study should include the following infor- ing, 3rd ed., McGraw-Hill, New York, 1979.
mation: cross-section location, orientation, and numbering; National Weather Service, Five to 60-Minute Precipitation Fre-
floodplain and floodway boundaries; water surface profiles; quency for the Eastern and Central United States, (NWS Hydro-
water surface elevations; locations of bridges and culverts; 35), Washington, D.C., 1977.
locations of incoming tributaries; floodplain tie-in to flood- U.S. Army Corps of Engineers, HEC-2, Water Surface Profiles,
plains on tributaries; and location and elevation of any crit- User’s Manual, Hydrologic Engineering Center, Davis, CA,
ical structures within or near the floodplain. 1991.
U.S. Department of the Interior, Geological Survey, Guidelines for
REFERENCES2 Determining Flood Flow Frequency, Bulletin #17B of the Hydrol-
Bedient, Philip B., and Wayne C. Huber, Hydrology and Flood- ogy Subcommittee, Interagency Advisory Committee on Water
plain Analysis, Addison-Wesley, Reading, Mass., 1988. Data, 1982.
U.S. Geological Survey, Roughness Characteristics of Natural Chan-
nels, Water Supply Paper 1849, U.S. Gov’t. Printing Office,
2
Some of the references listed below are government documents. In addition to the
individual agencies, some of the government publications may be available through
the National Technical Information Service (NTIS) or the Government Printing Office U.S. Geological Survey, Guide for Selecting Manning’s Roughness
(GPO) for a minimal charge. For availability and price, contact: National Technical Coefficients for Natural Channels and Flood Plains, Water Supply
Information Service (703) 487-4650 and U.S. Government Printing Office, (202) 783- Paper 2339. U.S. Government Printing Office Washington, D.C.,
3238. 1989.

CHAPTER 24
GRADING AND EARTHWORK

John Matusik, P.E. / Revised/Updated: Daniel Deible, R.L.A.
INTRODUCTION sign should allow for the efficient collection, convey-

Grading is configuring the surface of the land by removing ance, and detention of stormwater runoff. Proper
or adding earthen material to shape the land to best suit grading prevents wet basements, damp crawl spaces,
the project. It is accomplished with both large machines, foundation damage, eroding hillsides, and muddy
such as bulldozers, pans, and dump trucks, and men wield- stream waters.
ing rakes and shovels. Grading is a major component of the 3. Grading helps define the character and aesthetics of
function and success of a land development project (see the site. Site design is the foundation upon which
Figure 24.1). many other elements of development depend. Proper
In this chapter, a general overview of the grading process grading should be cost-effective to the developer, ap-
will be followed by an explanation of how grading is rep- pealing to the user, and responsive to the opportunities
resented and worked with on plans. A more specific break- and restraints offered by the site. In this way, it en-
down of grading strategies and requirements follows, hances property values and contributes to the success
providing all the tools needed by the designer to produce of a land development project.
an effective grading plan.
A good design integrates the natural landforms of the Often, the word ‘‘grade’’ refers to the slope, as in ‘‘the
site with the proposed program to create an aesthetically mountain road has a steep grade.’’ However, the word is
pleasing, yet functional and cost-effective site plan. Because also used as a reference to elevation, as in ‘‘what is the grade
a grading scheme must consider function and utility, as well at the top of the driveway?’’ Both uses are correct, in that
as aesthetics, it is both a science and an art. The grading of grading changes the ground elevation and, therefore, the
a site serves three basic purposes: inclination of the ground surface.
1. Grading re-forms the land surface to make it compati-
ble with the intended land use. Subsequently, the relative CONTOUR GRADING
elevations and gradients of streets, buildings, parking Description of Contour Lines
areas, and pedestrian/vehicle accesses must be mutu- Contour lines are a method for depicting three dimensions
ally compatible if they are to function as a system. on two-dimensional media, while maintaining a uniform
Similarly, they must be compatible with the surround- scale in all directions. A contour line is an imaginary line
ing existing terrain. Incompatibility with the existing connecting points of equal elevations and is formed by the
terrain, which leads to excessive earthwork, the use of
intersection of a horizontal plane with the ground surface.
retaining walls, and drainage problems, increases con-
The spacing and shape of contour lines indicate the shape
struction costs.
and the inter-relationships of these land forms. A natural
2. Grading establishes and controls the new drainage example of a contour line is the shoreline of a still body of
patterns. In order to be cost effective, the grading dewater.
545
F IGURE 24.1 Grading the site. (Photo Courtesy of Christer Carshult)
The vertical distance between successive contour lines is Characteristics of Contour Lines
the contour interval. Most topographic maps, especially A key to conceptualizing and executing a grading plan is
those associated with a land development project, have a the ability to visualize the two-dimensional information de-
constant contour interval. For instance, every contour may picted on the plan in three dimensions. In order to engineer
indicate a 2-ft change in elevation. Typically, the contour a land development plan, the designer needs to have an
line at every fifth or tenth contour interval is shown as a understanding of contour lines and be able to recognize the
heavier or darker line to make the map easier to read. In land features associated with them. The following list briefly
the rare instances where extremely flat areas and extremely describes the fundamental characteristics of contour lines.
steep slopes are shown on the same map, the addition or
deletion of contour lines may be warranted. However, this 䡲 All contour lines eventually close on themselves if
depends on the scale of the drawing and the desired level traced in their entirety. Any apparent break in a contour
of detail. The addition or deletion of intermediate contour line is due to the limitations of the map. Contour lines
lines results in an inconsistent contour interval for the map. that extend beyond the limits of the subject area termi-
Topographic maps are an integral part of the design pro- nate at the map edge.
cess of land development projects. The contour interval and
䡲 A series of contours that close on themselves within the
level of detail depends on the purpose of the task and the
mapped area indicate either a localized hill or localized
scale of the drawing.
depression. Figure 24.2-a shows a hill and Figure 24.2-
Large scale topographic maps, with 5 to 10-ft contour
b shows a depression. In Figure 24.2-a, the elevations
intervals, are usually available at a reasonable cost from gov-
shown on the contour lines increase up to the summit.
ernment agencies and are used for feasibility studies of the
Conversely, in Figure 24.2-b, the elevations decrease
project, where detailed information is not as critical. Be-
towards the bottom of the depression.
cause these maps are not constantly updated, their accuracy
may be suspect, especially in areas of rapid development, 䡲 Valleys and ridges are indicated by contour lines confi-
so always qualify the information presented when using gured in V-shapes. Imagine the contours of the hill in
them. Figure 24.2-a being stretched in one direction. The re-
Smaller scale maps, with 2-ft contour intervals, are used sult is an elongated hill, depicted by contours that are
for final design and detailed studies. These maps are usually shaped like Vs at either end, as indicated in Figure
produced from recently collected data and provide a more 24.2-c. The tips of this V-shaped hill, when connected,
accurate basis for design. State and local agencies, through depict a ridge. Stretching the contours of the depres-
ordinance and design standards, often require specific con- sion of Figure 24.2-b creates the valley configuration of
tour intervals for drawings submitted for review. Figure 24.2-d. Both stretched figures are identical in
24 䡲 GRADING AND EARTHWORK 547
an overhanging cliff, where contour lines may appear

to cross, this does not indicate dual elevations, since
the two contours are actually in different horizontal
planes.
A contour line cannot split, nor can several lines
join to form one line. This implies a knife-like edge,
which is an unnatural occurrence.
In general, irregularly shaped contour lines designate

rough, rugged landforms, while parallel, equally spaced
contour lines indicate a smooth, uniform slope—often a
machine-graded slope. Note: the steepest slope and also the
path of flowing water is perpendicular to the contour lines,
an important consideration when establishing drainage di-
vides.
On a relatively large scale, the natural ground line is
considered smooth and continuous. Relatively few ground
features show sharp jagged or abrupt changes in ground
relief. This smoothness is carried over to the concept of
contour lines. Contour lines indicate distinct elevations,
with the actual ground line between contour lines having
local areas of irregular depressions and mounds, which may
deviate (up to 1Ⳳ ft) from the assumed smoothed ground
line, as schematically shown in Figure 24.3. When deter-
mining an elevation between contour lines, the ground is
assumed to be straight. Machine-graded slopes tend to be
more uniform than natural ground and consequently have
fewer irregularities.
Ground Slope
Ground slope is the rate of change in elevation with respect
to the horizontal distance, commonly expressed as either a
F IGURE 2 4 . 2 Contour pattern: (a) for hills, (c) for ridges, (b)
for depressions and (d) for valleys.
appearance except for the direction of increasing eleva-

tions. To distinguish the ridge from a valley, notice the
direction of the apex of the V. On ridges, the V points
down ridge (i.e., downhill), while the V points up-
stream (i.e., uphill) in valleys. Additionally, stream val-
ley contours typically have a sharper V-shape, whereas
ridges may be in a rounded U-shape.
䡲 Spacing of contours indicates general steepness of the
ground. While closely spaced contours indicate steep
slopes, as the ground slope becomes flatter, the dis-
tance between the contours increases. Most natural
hills and depressions are convex or concave in shape.
A slope is convex-shaped if there is an increase in
spacing between contour lines near the crest of the
hill. Conversely, a slope is concave-shaped if there is
an increase in spacing between the contour lines near
the bottom of the slope.
䡲 Technically, contour lines never cross. If a contour
line represents a single elevation, then intersecting con-
tour lines indicate two distinct elevations at the same
point, a physical impossibility. However, in the case of F IGURE 24.3 Irregularities in natural ground.
F IGURE 24.4 Various ways to denote slope gradients: (a) 4H:1V, (b) 25%.
percentage or a ratio. The percent slope describes the uni- Given two end points (A and B) at positions xA and xB
form change in elevation for a 100-foot horizontal distance. apart, with elevations ElA and ElB, the average ground slope,
For example, if elevation changes 25 ft over a distance of Savg, between the two points is
100 ft, the slope is expressed as 25%. Mathematically, this
slope is defined as the ratio of ⌬v /⌬x, where ⌬v is the ElB ⫺ ElA ⌬v
Savg ⫽ ⫽ (24.2)
change in vertical direction and ⌬x is the change in hori- xB ⫺ xA ⌬x
zontal position (i.e., a distance, h). A simple way to remem-
The distance ⌬x (h) may be the scaled distance from the
ber this basic tenant is in terms of ‘‘rise/run.’’ As a ratio,
drawings, or it may be obtained through coordinate ge-
this slope would be expressed as 4 ft horizontal to 1 ft
ometry if coordinates of points A and B are known.
vertical, or simply ‘‘4h to 1v.’’ For example, the rate of
change in elevation between two points that are 200 ft ElP ⫽ ElA ⫹ (Savg ⫻ h⬘) (24.3)
apart, with corresponding elevations of 100 ft and 150 ft
(Figure 24.4), is In Figure 24.5, the elevation at any point P between A and
change in elevation
rate of change in elevation ⫽ (24.1)
horizontal distance
⌬v 150 ⫺ 100
⫽ ⫽
h 200
⫽ 0.25 feet/foot
Hence, for every 1 ft of horizontal distance, the ground

changes 0.25 ft in elevation. As a percentage, this equates
to a slope of 25%; as a ratio this is equivalent to a 4h:1v
slope (or 1v:4h). Figure 24.4 illustrates these various ways
for designating slope gradients.
On most civil site drawings, the ratio is shown as hori-
zontal to vertical, h:v. However, the order is sometimes re-
versed, (i.e., v:h) in other professional disciplines (e.g.,
architecture). Because of the significant difference between
the two, always verify the order. To that end, it is good
practice to include the h and v designation (e.g., 4h:1v) or
indicate in a note on the plans the order of the h and v in
the ratio.
The specific elevation of any point that lies between two
points of known elevation is found by interpolation, assum-
ing the ground slope between the two known points is lin-
ear. Hence, the newly determined elevation is based on the
average ground slope between the two end points. F IGURE 24.5 Interpolation using similar triangles.
B and relative to point A is where h⬘ is the horizontal dis- For instance, swales and mounds have distinct patterns
tance from A to point P. The relative elevation of any point similar to valleys and ridges. Reading the contours identifies
P along h is accounted for by the algebraic sign of Savg, as important information such as drainage patterns and road
determined by Equation 24.2. In this instance, the slope gradients. The following discussion focuses on the contour
increases in going from A to B. line patterns of the most common types of constructed fea-
Another way to compute the elevation at any point P is tures.
to recognize that triangles APP⬘ and ABB⬘ are similar and Retaining Walls. Although it is physically impossible for
the ratios of their corresponding sides is a constant, as several contours to join and form a single contour line,
shown in Figure 24.5. Hence from the following geometric retaining and exterior building walls can appear in plan
ratios view to do just this. A machine-graded uniform slope pro-
duces equally spaced, parallel contour lines. For the same
h (BB⬘) contour interval, the spacing of the contour lines decreases
⫽ (24.4)
h⬘ (PP⬘) (in the plan view) as the inclination of the slope increases.
For a vertical slope (wall), the space between the contour
the elevation is found by adding (or subtracting depending
lines disappears. Consider the face of a wall as a series of
on the relative slope) the distance PP⬘ from the elevation.
contour lines stacked one on top of another, as shown in
Typically, the h measured is the shortest distance between
Figure 24.7.
the two points and, as a result, produces the steepest gra-
In tracing the contour line around a wall, the contour
dient between the two points. However, the horizontal dis-
line intersects the wall at the contact elevation (i.e., where
tance measured between the two points may be more
the ground meets the wall) and then continues along the
circuitous if the situation warrants. For instance, the aver-
face of the wall. The contour line leaves the wall where the
age slope may be desired along a curb return or along a
wall intersects the ground at that elevation.
winding stream channel.
Exterior Walls of Buildings. These serve as earth retaining
Figure 24.6 provides an example of interpolating be-
walls, as well as structural support. Similar to the conven-
tween contours to determine the elevation of a point.
tional retaining wall, the contour line enters the wall where
Contour Line Patterns for Constructed Surfaces the ground surface intersects the wall at the prescribed el-
evation, shown as points A, B, and C in Figure 24.8. The
The concepts of contour lines can be applied to constructed
surfaces just as easily as they are used on natural features.
F I G U R E 2 4 . 7 Schematic and plan view of retaining wall with

F IGURE 24.6 Working with contours. contour lines superimposed.
Hence, the depth of two ft. The V-ditch section shows the
V-apex pointing upstream—a quick indication of the direc-
tion of flow. Direction of flow in the other channel sections
is evident from inspection of the contour elevations.
Another indication of the depth of the channel is how
far upstream the contour line runs. The spacing of the con-
tour lines along the sides of the channel is an indication of
the steepness of the bank. Figure 24.10 shows a 2-ft-deep
and 4-ft-deep V-ditch with the same longitudinal slopes and
the same top-widths, w. Note how the contour lines extend
farther upstream for the 4-ft-deep channel as compared to
the 2-ft-deep channel. Because the top widths are the same,
the 4-ft-deep channel has steeper side slopes, evidenced by
the contour line spacing on the sides of the channel.
Streets. Two types of streets commonly used in devel-
opment projects are the crown street with curb and gutter
and the crown street with shoulder and ditch. Figure 24.11
shows the contour line pattern for a curb and gutter street
section with longitudinal slope S. For a normal crown sec-
tion street, the elevation decreases on a line perpendicular
to the centerline due to the cross slope of the pavement.
From the prescribed elevation on the centerline (point A),
the contour line follows a straight line path that leads uphill
until it meets a point at the edge of the gutter (point B)
equal in elevation to the centerline elevation.
The break in the contour at the edge of the gutter (point
B) results if the cross slope in the gutter pan differs from
the cross slope of the street. From the edge of the gutter,
the contour line continues uphill to the point on the flow
line with the same elevation (point C). The contour line
then follows the face of the curb downhill to the point on
the top of the curb with the same elevation (point D). In
the plan view, the contour line from C to D does not appear
since the top of curb, the bottom of curb, and contour are
all superimposed. The contour line intersects the outside
edge of the sidewalk at the prescribed elevation. Typically,
sidewalks are inclined towards the street. This is apparent
F I G U R E 2 4 . 8 Schematic and plan view of exterior building wall from the contour line’s downhill direction (points D to E)
with contour lines superimposed.
across the sidewalk. A similar trace of the contour line is
shown in the shoulder/ditch type of street of Figure 24.12.
contour line then follows the exposed face of the building Knowing that water flows perpendicular to the contour
wall until it reaches the point where the ground surface is line, it is easy to determine the direction of the longitudinal
the same elevation, shown as points A⬘, B⬘ and C⬘ in the gradient for crown section streets from a quick glance of
plan view of Figure 24.8. Since a contour line is continuous, the contour pattern. Typically, surface drainage on the pave-
if it ‘‘enters’’ the wall, it must ‘‘exit’’ the wall. ment flows toward the curb and gutter (or ditch); therefore,
Conveyance Channels. Four frequently used conveyance water flows in the direction perpendicular to the contour
channel sections are trapezoidal, V-ditch, rectangular, and lines towards the curb or ditch.
semicircular. In the plan view of Figure 24.9, each of the
channels is two ft deep. The depth of the channel is evident Plotting Street Contours
by comparing the elevation at the top of bank with the Knowing the concepts and mechanics for plotting contour
elevation at the bottom of the channel. On each type of lines is essential in land development design. Manual plot-
channel section, point A, the top of bank, has an elevation ting of contour lines is rarely done for large street projects,
of 06 ft. A line drawn perpendicular to the flow line, given the technology of computers, software and digitizing.
through the top of bank, intersects the flow line at elevation However, there is occasion to manually plot contours on
04 ft, representing the elevation of the channel invert. short street sections and throughout other areas of the site.

F IGURE 24.9 Contour line pattern for conveyance channels.
Typically, on a subdivision street with normal crown section, given), the longitudinal slope of the street is ⫺4.5%
the crown is coincident with the centerline of the street. in the direction of increasing stationing and the ele-
For this discussion, the focus will be on a straight segment vation of station 10 ⫹ 50 ⫽ 125.50 ft. Plot the con-
of a crown section street with a uniform longitudinal slope. tour lines at 2-ft intervals between stations 10 ⫹ 00
The longitudinal reference line plotted in the profile and 11 ⫹ 50.
view, identifying the design elevations of a street, is the
SO LUTION :
profile grade line (PGL). The PGL may be the centerline, a
line following the top of curb or median, or any other con- 1. On the plan view, locate the stations for the eleva-
veniently established line. The PGL is the reference line that tions of the contour lines to be plotted along the PGL
has a known horizontal and vertical relationship to any line. This can be done by mathematically calculating
other part of the street. For example, the top of curb ele- the elevations and their locations2 or by scaling the lo-
vation is known, given the pavement width and cross slope cation of the elevations3 from the profile view. Depend-
from the PGL centerline. ing on the longitudinal slope of the street, the scale of
the plan and profile views and the desired precision,
E X A M P L E 1 : The PGL line is the centerline of the latter may not be the acceptable method. The sta-
a straight segment of a crown section street that has tion of contour line 126 is determined by Eq. (24.2).
curb and gutter and sidewalk on the left side, and
shoulder and ditch on the right side.1 Figure 24.13
shows the typical section. From the profile view (not 2
Most engineers and designers have access to computer programs for hand-held
calculators or microcomputers that provide elevations at incremental stations along
the PGL.
1
This particular street section is used to illustrate the mechanics of plotting contour 3
Scaling elevations is not recommended especially if the elevation can be obtained
lines and is not a type of street section typically used in street design. mathematically. Scaling is done only when a mathematical relationship is not known.

F IGURE 24.10 Example of 2-ft and 4-ft-deep channels with gradual and steep side slopes.
(126.0 ⫺ 125.5)
1050 ⫺ ⫽ 1039 (24.5)
0.045
A uniform gradient of 4.5% corresponds to 2-ft
change in elevation every 44.4 ft from Eq. (24.2).
Therefore, contour lines 124 and 122 are located at
stations 10 ⫹ 83 and 11 ⫹ 28 respectively (shown in
Figure 24.14).
2. Calculate the elevation difference between the PGL
and any other points of interest (e.g., the edge of pave-
ment, the bottom and top of curb, and the back edge
of the sidewalk). A 2% cross slope and 12-ft pavement
width results in the edge of pavement being 0.24 ft
lower than the PGL (0.02 ⫻ 12 ft ⫽ 0.24 ft). Table
24.1 lists the elevation difference for the other specific
points.
3. Since the elevation difference between the PGL
and edge of pavement is ⫺0.24 ft, elevation 124 at the
edge of pavement is located at the station (on the
PGL) where the elevation is 124.24, namely sta. 11 ⫹
77.67. Mark the point on the edge of pavement that is
perpendicular to the PGL from station 11 ⫹ 77.67.
Similarly, the 124 contour at the flow line of the gutter
F IGURE 24.11 Contour line pattern for curb and gutter street occurs at the point perpendicular to the PGL point
section. with elevation 124.41, namely sta. 11 ⫹ 92.33. The

F IGURE 24.14 STEP 1: Plot the location of the contour line

elevations along the PGL.
124 contour at the top of curb will occur at a point

perpendicular to the centerline point with elevation
124.09, namely sta. 11 ⫹ 30. This is done for all
points of interest in the typical section (see Figure
24.15).
4. Connect all plotted points with a straight line. A
constant longitudinal slope on a straight section of
street results in uniformly spaced parallel contour lines
(see Figure 24.16).
F IGURE 24.12 Contour line pattern for shoulder and ditch 5. Since this straight section of street has a uniform
type of street. longitudinal slope (i.e., it is not within a vertical
curve), the other contour lines will all be parallel to
this one. However, if the profile of the PGL is in a ver-
F IGURE 24.13 Typical section for Example 1.

T A B L E 2 4 . 1 STEP 2: Compute
Elevation Differences Between PGL and
Points on Street Section
ELEVATION RELATIVE
POINT ON STREET SECTION TO PGL (FT)
Edge of Pavement/Gutter ⫺0.24

.....................................................
Gutter Flow Line ⫺0.41
.....................................................
Top of Curb ⫹0.09
.....................................................
Edge of Sidewalk ⫹0.17 F IGURE 24.16 STEP 4: Draw the contour line.
.....................................................
Edge of Pavement/Shoulder ⫺0.24
.....................................................
Typically, spot elevations are used for:
Edge of Shoulder/Top of Ditch ⫺0.49
.....................................................
䡲 Paved areas at points critical to construction, such
Ditch Flow Line ⫺2.49 as curb returns and parking lot corners
䡲 Precise information regarding the tops of drainage
and sewage structures
tical curve, only steps 1 through 3 apply. Similarly, for
streets with non-uniform cross slopes, new relative ele- 䡲 Identification of high and low points in the grading
vations need to be calculated (see Figure 24.17). scheme
Spot Elevations 䡲 Description of retaining walls (i.e., top and bottom

of wall elevations)
Often, contour lines alone cannot provide sufficient grading
information to detail the existing ground conditions. As a 䡲 Elevations at building entrances and corners
result, the level of precision needed to construct the pro-
posed features, detailed on land development plans, is not Note: spot elevations show up in a profile as an abrupt
afforded by contours alone. Therefore, spot elevations are acute angle at the spot elevation location. The house-
used to identify specific elevations at precise locations. For grading plan of Figure 24.30 illustrates the liberal use of
this reason, spot elevations take precedence over contour spot elevations. Abbreviations are written next to the spot
lines when determining grades. elevation when the elevation pertains to a specific feature,
A spot elevation is indicated in the plan view by a ‘‘⫹’’ for instance, TC ⫽ 105.5. Selected abbreviations are given
symbol with the elevation written next to it. Spot elevations in Table 24.2.
identify discontinuous or abrupt grade breaks in the ground
Cut and Fill
surface, where straight-line interpolation between contours
does not give the intended elevation. Therefore, spot ele- The term ‘‘cut’’ refers to an area where soil is removed, while
vations are used when the uncertainties associated with the term ‘‘fill’’ refers to the area where soil is added. Addi-
scaling distances and interpolating between contours can- tionally, ‘‘excavation’’ refers to the removal of soil and ma-
not be tolerated. terial from an area, and ‘‘embankment’’ is used to reference
F IGURE 2 4 . 1 5 STEP 3: Plot location of the 124 contour lines F IGURE 24.17 STEP 5: Add the remaining contour lines fol-
at other points of interest on the street. lowing a similar procedure.
T A B L E 2 4 . 2 Spot Elevation
Nomenclature
ABBREVIATION MEANING
TW/BW Top/Bottom of wall

.....................................................
TC/BC Top/Bottom of curb
.....................................................
FF El. Finished floor elevation
.....................................................
BF El. Basement floor elevation
.....................................................
HP/LP High/low point
.....................................................
Inv. El. Invert elevation
.....................................................
MH El. Manhole elevation
the addition of soil onto an area to bring it to grade. For

example, a cut area is evident by the upward sloping
ground along the sides of a road, while fill areas are evident
as the downward slopes away from a building or street.
Cut and fill areas are indicated on the grading plan by
comparing the existing contour lines to the proposed con-
tour lines at a specific location. Where the proposed con-
tour line elevation is higher than the existing contour line
elevation, the area is a fill. Conversely, a cut area is one in
which the proposed elevation is lower than the existing el- F IGURE 24.18 Plan and section view showing cut and fill
evation. areas.
Figure 24.18 shows a grading plan of a building with
cut and fill areas. As an example of how to determine the
depth of cut from comparison of contour lines, consider
point A, where the existing 106 contour line intersects the soil as fill on the lower portion of the site. This concept is
proposed 100 contour line. The section view shows the 6- illustrated in Figure 24.18.
ft depth of cut at this point. One of the most compelling reasons to achieve a balance
The left side of the building is a cut area and the right of earthwork is its effect on project cost. Moving soil around
side is a fill area. The plan view shows a line around the a site is less costly than either importing fill to the site or
cut and fill areas known as the zero cut/fill line. This line hauling excess cut from the site. Generally, importing fill
connects the points where no fill or cut occurs and sepa- onto the site costs more than hauling excess material away.
rates the cut areas from the fill areas. Additionally, notice Balancing the earthwork helps keep costs under control and
that the line also follows the points where the proposed often will help the finished site appear more in harmony
contour lines connect to the existing contour lines around with its surroundings.
the perimeter of the graded area. Since the basement floor The relationship between cut and fill is simple in con-
elevation has been established at elevation 99.0 ft, the zero cept, but other factors must be considered that complicate
line follows the existing 99.0-ft contour line through the the equation. These factors include:
center of the building. Although this grading plan shows
䡲 Construction qualities of the specific soils on site.
only one cut and one fill area, other projects may have
It cannot be assumed that on-site material may be
several areas of both types. The zero cut/fill lines are helpful
used as fill, especially in areas where a load, such as a
for determining earthwork quantities, which will be dis-
building or wall, is to be placed. The designer must
cussed later in the chapter.
verify the engineering characteristics of on-site soils
Consideration of cut and fill quantities is very important
rather than assuming they may be used as fill material.
when developing a grading plan. For many reasons, a bal-
(See the chapter entitled Soils for further discussion).
ance of cut vs. fill is usually desirable. Balance is achieved
when the quantity of cut is roughly equal to the amount of 䡲 Soils generally shrink when used as fill, and the
fill. For example, in order to create a flat area on a hillside, shrinkage factor can vary greatly between different
it is most effective to cut into the hillside and use the excess soils. A grading plan that may appear to produce a
balance of materials may come up short on fill due to flows of runoff is covered thoroughly in the chapter entitled
the shrinkage of the fill volume. Storm Drain Design, this chapter will display a broader per-
spective, with a mixture of guidelines and rules, beginning
䡲 A site developer may have several concurrent pro-
with small flows.
jects with different cut and fill needs. It may be desira-
Overland flow in its most benign form is called sheet
ble to produce intentionally a need for fill on one
flow, where little or no concentration of water exists as it
project in order to dispose of excess fill from another
moves across uniform, fairly level areas. Sheet flow is an
nearby project (hauling fill long distances is impractical
ideal way to convey water because it helps absorption and
due to high costs).
is non-erosive. It is difficult to maintain sheet flow for large
DEVELOPING A GRADING STRATEGY areas, however, due to water’s tendency to concentrate. Left
on its own, water quickly gathers into swales and ditches.
Now that the basics of grading, plan graphics, and grading
The designer’s job is to manipulate this transition from sheet
mechanics have been discussed, it is time to combine these
flow artfully to shallow concentrated flow using sound en-
elements and develop a grading plan. Grading experience
gineering principles that accomplish the goal without oblit-
makes most of these considerations second nature, and en-
erating the site. Although it may be possible to direct all
ables the designer to concentrate on an overall strategy that
runoff to its outfall points via overland flow, often it is ad-
produces the best possible plan.
vantageous to pipe it underground. Guiding the designer to
Grading and Drainage either method are general rules-of-thumb that help simplify
the process. A basic premise of grading is that a minimum
Grading is necessary to enable a site to accommodate a slope of 2% needs to be maintained to drain runoff across
proposed use. Perhaps the most important aspect of grading non-paved areas. Decreasing the slope below 2% may result
is to ensure proper drainage for the site. If a developed site in sluggish drainage and standing water. It also can slow
traps water, causes it to flow to undesirable locations, or down the construction process. Very flat slopes are difficult
causes erosion, the grading has failed in its most basic re- to achieve in the field, even given the precision of modern
quirement. construction equipment. Flat areas also remain wet for a
The designer must take into account the runoff that longer time, and cause longer construction delays following
starts on the site as well as the runoff that flows onto the rain. Yet, site constraints often require slopes of less than
site from off-site areas. The drainage shed analysis serves as 2%. The use of flat slopes should be carefully considered
the basis for the design of all the proposed drainage struc- and simply avoided if possible.
tures and often influences the very layout of the site plan. In some instances, the minimum desirable slope exceeds
For instance, the analysis may show that a large swale lo- 2%, such as the grading adjacent to a building, where the
cated on the site carries a considerable amount of water objective is to move the water away quickly. The ground
during a storm. The drainage structure required to convey elevation at the building is referred to as the parge grade.4
the runoff underground proves to be too costly to construct; Dropping the proposed elevation at least six inches below
hence, the decision is made to leave the channel open and the parge grade within ten ft of the building (5%) is ideal.
not construct site improvements over it. Figure 24.19 shows the three basic methods for directing
The drainage study sets the basic parameters for the surface drainage away from a building. The ground beyond
grading design. The following is a list of goals for a site- the parge grade directs the runoff to eventual points of col-
grading plan from a drainage perspective: lection. Although grades can vary beyond this point, a min-
䡲 Collect runoff and direct it safely to adequate imum slope of 2% helps prevent drainage problems.
outfall points at non-erosive velocities. Conversely, proposed grades that are too steep can lead
to erosion and maintenance concerns. Steep slopes increase
䡲 Quickly convey runoff away from buildings to pro- the velocity of water and therefore its energy, so that even
tect them from foundation damage and wet basements. relatively small amounts of runoff can erode large quantities
䡲 Prevent the formation of unintentional wet areas of mulch or soil off a hillside. If grass is established on the
that cause maintenance problems. slope, mowing is dangerous if slopes exceed 3h to 1v. While
slope stability depends on many factors, they are all exac-
Experience and imagination both play a role in devel- erbated with steeper slopes, especially in a fill condition.
oping the final grading scheme. As the designer begins to Local policy may also dictate the maximum (and minimum)
work through the process, relationships between proposed slopes required for specific situations, and this makes a
improvements and existing conditions begin to coalesce. working knowledge of pertinent ordinances a valuable tool.
Important relationships begin to dictate patterns, such as
existing elevations at site entry points compared to ground
elevations at proposed building sites. 4
A coat of masonry cement (parge) is applied to the part of the building walls below
Drainage is conveyed either overland or underground. grade as a deterrent to moisture penetration. The parge grade is the elevation of the
While the design of drainage facilities for concentrated ground around the building sufficient to cover the parge coating.

F IGURE 24.19 Schematic diagram for grading for drainage around a building.
F IGURE 24.20 Illustration of grading strategies for subdivisions.
557
Minimum and maximum slopes are also an important

consideration when designing roads, driveways, parking ar-
eas, sidewalks, and trails. Road design is a science unto
itself, and the grading of roads is explained in the chapter
entitled Suburban Street Design. More rules-of-thumb apply
when planning for the movement of people across a site.
Since the driveway entrance is the transition from the pub-
lic or private road onto the site, the grading must facilitate
its function. The following discussion explains grading for
private and commercial driveways.
Private Driveways. A house set 25 to 35 ft from the street
typifies the private driveway entrance. The slope of the
driveway should be kept in the range of 2% minimum to
about 7% to 14% maximum, depending upon whether the
driveway is inclined up or down. The following points
should be considered for driveway slopes exceeding about
5%:
䡲 In snowy climates, steep driveways can become

slippery and dangerous.
䡲 If a walkway is proposed from the street to the
house, a steep slope may require long flights of stairs,
which are expensive to construct and can make the
entrance to the house awkward.
䡲 The transition from the street to the drive must be
lengthened so that car bottoms don’t drag.
F I G U R E 2 4 . 2 1 Grading to improve aesthetics. (Courtesy of
䡲 A landing with a slope of 2% should be provided Nelischer, Maurice, ed., Handbook of Landscape Architectural Construction
in front of the garage that transitions to the steeper Vol 1, 2nd ed. Washington, D.C.: Landscape Architecture Foundation,
grade of the driveway. 1985.)
Such points of potential concern are illustrated in Figure

24.20. ing a visually undesirable element, as shown in 24.21b, or
Public Driveways. The higher traffic volumes encoun- opening up a view, shown in 24.21c. The landforms created
tered at public entrances dictate more conservative guide- for aesthetic reasons can simultaneously serve functional
lines than private driveways. A landing at least 20 ft long roles. The landform may aid in the balancing of earthwork
with a maximum slope of 4% should be provided at the by providing an on-site location to dispose of excess soil,
entrance. Grades on site should be in the 2% to 8% range. or it may be used to direct wind away from buildings or
Local ordinances and requirements for access by physically outdoor-use areas.
challenged individuals (discussed below) must be incor- However, using the grading to enhance the site aesthet-
porated into the plan. ically is not achieved by simply following formulas and
rules; it must be coupled with a thorough knowledge of the
Grading and Aesthetics site and the sensitivity to know what will work. Whereas a
Rules, regulations, and formulas have been discussed ex- 20-ft berm on one site is appropriate, it might be totally
tensively above, and the mastery of the mechanics of grad- inappropriate on another. Similarly, a small retaining wall
ing will ensure a functionally sound site. But a functionally used to help save a grove of trees may serve as the signature
sound site is usually not enough in the competitive world design element for a new project. Because most of these
of land development. A site must appeal to a user’s aesthetic grading devices have an impact on project costs, the aes-
sense in order to be successful. Grading can transform a thetic gain must be compared to the extra construction ex-
flat, featureless site into a visually pleasing series of rolling pense. Sometimes the designer can justify the expense, but
landforms that enhance the user’s experience and create a he/she must be prepared with lower cost solutions if the
higher demand for the property. builder balks.
Figure 24.21 illustrates how grading can be used to en-
hance aesthetics. The grading itself can become the feature, Access for Disabled Individuals
as in the creation of landforms where none exist (24.21a). Two legislative laws that may impact the grading scheme of
Grading can also be used to influence what we see by hid- certain types of construction are the Fair Housing Amend-

ments Act (FHA) of 1988 and the Americans With Disa- ing paper, but may be layed out in the computer in a digital
bilities Act (ADA) of 1990. Both acts deal with providing format. The first few schemes may only involve siting the
accessibility for individuals with disabilities. The FHA deals building, showing spot elevations at critical locations, and
with multi-family housing of four or more dwelling units, drawing several proposed contour lines. Additional detail is
and the ADA addresses accessibility to public places and added to new iterations as the grading scheme is further
commercial buildings such as hotels, stores, theaters, offices refined. Once refined to the desired comfort level, the grad-
etc. Guidelines and standards adopted by the Department ing needs to be compiled in a reproducible format so that
of Housing and Urban Development (HUD) for specific ac- the designer can make work prints and distribute them to
cessibility requirements of the FHA are given in Federal other members of the design team. Whether the grading
Register Vol. 56 No. 44 (March 6, 1991). Similar guidelines was accomplished by hand drafting or through a digital
and standards for the ADA are developed by the Archi- application, it needs to adhere to general industry-wide
tectural and Transportation Barriers Compliance Board graphic standards for both symbology and neatness to be
(ATBCB). The guidelines can be found in Federal Register effective.
Vol. 58 No.144 (July 26, 1991), In general practice, lighter, dashed lines are used for ex-
From the grading and site development perspective, isting contour lines, while darker, solid lines are used to
HUD guidelines state that elevated buildings must have an represent proposed contour lines. Note: the local jurisdic-
accessible entrance on an accessible route, regardless of the tion may have specific graphic requirements for plans that
terrain, unless site conditions and terrain make such ac- should be considered as well. Additionally, drawing the ex-
cesses impractical. Because of the complexity of the require- isting contour lines on the back of the reproducible while
ments and its language, the reader is referred to the placing the proposed contours on the front makes changing
guidelines to make his or her own determination and in- the proposed grading scheme easier. In a digital format, a
terpretations. Local public works agencies are a good source variety of methods may be used to keep proposed infor-
of current requirements. mation separate from existing. Either way, the goal is to
create an easy-to-read plan that adheres to sound drafting
Schematic Grading Analysis principles.
Before detailed grading plans are underway, the designer
should develop a schematic generalized grading scheme to Grading for Residential Purposes
determine any problem areas and get a feel for the type of Consumer appeal for a subdivision or a particular house
limitations the site may have as design progresses. Devel- type depends on numerous factors, one of which is ap-
oping a schematic grading plan consists of placing building pearance. The layout of the lots and houses, the style and
footprints on the site and setting the building elevation, type of house, as well as their spatial arrangement affect the
road grades, and parking area grades. Spot elevations and overall appearance of the development and combine to
sketching the 5-ft, or sometimes 2-ft, contour lines helps form its character.
determine the feasibility of the building elevations. Frequently, residential land development projects incor-
The road and parking area gradients for the schematic porate several different house types and styles within a
preliminary scheme are checked against any minimum re- small price range. This practice is done for three reasons.
quirements.
䡲 The first reason is to accommodate the varying
䡲 Drainage patterns are analyzed
needs and the aesthetic tastes of buyers. The various
䡲 Rough estimates of cut and fill quantities are calcu- house designs attract a wider range of consumers,
lated thereby enhancing sales.
䡲 Steep slopes and retaining walls are identified 䡲 The second reason is to take advantage of the vary-
ing topographical features of the lots. This provides the
䡲 Tree-save areas are identified
developer flexibility in the layout of the houses and re-
During this process, several grading schemes may result, duces some of the construction costs.
each with its own advantages. Conferring with the client 䡲 The third reason is for energy efficiency. Figure
may help in establishing the favorable grading scheme. 24.22 identifies the considerations for room layout and
house siting concerning climate conditions. Different
ESTABLISHING THE GRADING PLAN
house types offer varying responses to local climatic,
A grading plan is established through refinement of differ- slope, and orientation factors.
ent schemes through several trials. The first layout is rarely
the best or accepted by the developer. During the first few Professional and industry associations use different def-
trials, grades are adjusted to accommodate site constraints, initions in describing and categorizing houses. Some defi-
earthwork, different building designs, and the preferences nitions overlap or conflict. Therefore, for the subsequent
of the developer. The design is often done by hand on trac- discussion the following definitions apply.

F I G U R E 2 4 . 2 2 Considerations for siting a building for different climate regions of the United States. (Courtesy of Robinette, Gary O., and
Charles McClennon, Landscape Planning for Energy Conservation, New York: Van Nostrand Reinhold, 1983.)
Architectural Style. This is defined as the architectural basement walkout and single-family attached and de-
features and configuration of a house that categorize it as tached).
belonging to a particular time period or region e.g., Colo- Not only is it imperative that the engineer developing
nial, Cape Cod or Victorian. (See Figure 24.25.) the grading plan know the house types available in a sub-
House Type. This is the classification of a dwelling by the division, the engineer should also know the location and
arrangement of floor elevations, location of entrances, lo- elevation of entrances, windows, garages, decks, patios, and
cation of walls, and property lines (e.g., 1-story, 2-story, roof lines. The engineer must consider each lot individually;

F IGURE 24.22 (Continued) Considerations for siting a building for different climate regions of the United States.
however, he/she must also collectively consider the spatial be used to diminish the effects of poor siting, a good layout
arrangement of the houses along the street and within the is paramount to a development’s success.
development. In many suburban developments, the cost of Spatial arrangement is part of what is known as the
land and the demand for greater living space forces the streetscape. Setbacks, rooflines, utility corridors, street trees
building of larger houses on smaller lots. The higher density and landscaping, sidewalk and trail locations, and signage
produces a higher yield for the developer, and this in turn further define the streetscape. These elements work with
keeps housing costs down by reducing infrastructure costs the grading to lend the development a uniform character
on a per unit basis. However, smaller lots put houses in and create a cohesive, unified design.
closer proximity, making house orientation a very important A residential lot can be categorized according to the di-
consideration. The designer must consider the views from rection of the ground slope using the front property line as
one house to another, avoiding direct lines of site from one reference. A downhill lot is one in which the ground slope
house into intimate areas of another house. For instance, falls away from the front property line. An uphill lot has
no one wants to look out his front door and see into the ground sloping upwards from the property line, while a
dining area of the next house, or worse, to peer into the side-to-side lot has slopes across its width. Efficient land
window of a second floor bedroom. Although grading can use includes the selection of a house type that is compatible

with the terrain. Proper design and siting of the house min- differences. For instance, the house shown in Figure 24.23b
imizes earthwork and reduces the disturbed area, and this has a grade change of about 4 ft from front to back, and
helps the environment and saves on construction costs. this may enable the proposed grade to tie-in with existing
For grading purposes, it is useful to separate the myriad grade sooner, thereby reducing the disturbed area.
of housing styles into one of the three following categories. In addition to enabling the house to blend in with the
The main difference between them is how their foundations site better, the use of basements can also generate small
are set up to deal with site grading. amounts of excess dirt that can be used elsewhere on a
No-Basement Units. No-basement-type buildings are built project. If a site is slightly deficient in fill dirt, basements
on a concrete slab or crawl space and are best suited for can be incorporated to make up the deficiency. The use of
flat areas with high water tables or where extensive rock basements also increases the living space of the house. This
lies near the surface. They are generally less expensive be- living space is enhanced by the presence of natural light,
cause of savings in excavation and construction costs. They so often a partially buried basement that allows for window
are less suitable for hilly sites, since they require more grad- space is better than a completely buried basement. Another
ing to accommodate the building footprint. The no- design element that enhances basements is the walk-out,
basement unit is common in many regions of the country, which provides direct access outdoors from the basement.
and virtually every style of house can be constructed with- The typical site layout for a walkout is depicted in Figure
out a basement. 24.24.
Basement Units. That part of the house that is wholly or Split-Entry Units. Floor elevations of a split-entry house
partially buried is the basement. Basement units are useful are staggered such that their access from a preceding level
on hilly lots because of their ability to accommodate grade is less than the full flight of stairs typical of the common
F IGURE 24.23 Basic house types and their foundations.

F IGURE 24.24 Selection and location of building types that fit natural land forms.
2-story unit. Split-entry houses and their variations are ideal the surrounding structures and terrain, while ensuring com-
for all types of hilly lots. These houses work best when the pliance with all appropriate codes and ordinances. In most
grade difference across the lot is 2 to 4 ft. Houses in this residential, single-family-detached subdivisions of moderate
category are frequently referred to as split-levels and split- density, siting a house is limited to the lot layout of the
foyers. Split-level houses have a combined slab and base- subdivision and the orientation of the street. Presumably,
ment foundation system as shown in Figure 24.23. solar exposure and compass orientation was considered
Similarly, the basement of a split-foyer is partially exposed. when the lot and street layout were established in the sche-
Figure 24.23 shows the basic house types and their corre- matic design stages, since there is not much practicality in
sponding foundations. Figure 24.25 illustrates more con- orienting the house for energy efficiency if it is in conflict
temporary examples of the basic house styles. with the street and lot layout.
The house type is selected based on the topography of
Siting the House and Grading the Lot the lot, adherence to all applicable setbacks, and any con-
When siting a house on a lot, one must position the house straints by the client (see Figure 24.24). Using generic
horizontally and vertically in a manner harmonious with building footprints, the engineer produces the block-

F IGURE 24.25 Examples of different house types: (a) Southern Colonial (b) Victorian (c) Tudor. (Courtesy of Sutton, Sullenberger Yantis
Architects.)
F IGURE 24.25 (Continued) Examples of different house types: (d) Rambler (e) Side-to-side / Uphill (f) Split Foyer.
565
grading plan, which defines the general grading patterns for such a manner as to provide a gravity sewer for the lowest
groups of lots. This plan verifies the site’s feasibility regard- level of the house. A quick way to determine approximate
ing a fairly specific program and is often used by a devel- finished floor based on the sewer line elevation is:
oper to market the land to builders. The goal is to produce
finished lots that are then sold to the builder. The builder 䡲 Determine the invert of the sewer main at the con-
can then use the block-grading plan to check the feasibility nection point.
of a very specific program. Usually, the engineer portrays 䡲 Multiply the distance from the connection point to
an exact footprint of the builder’s house on a proposed lot, the farthest point of the house by 0.0208⫻(1⁄4 in./ft),
precisely measures its distance to the property lines, and and add to the invert elevation (the fall, f, in Figure
produces a lot-grading plan, the final step in siting a house 24.26).
on a lot.
The above scenario illustrates the two types of grading 䡲 Add the diameter of the sewer main (distance d in
schemes: lot grading and block grading. Lot grading in- Figure 24.26).
volves only one building and one lot. Grading is limited to 䡲 Add an allowance for clearance under the founda-
the constraints at the boundaries of the lot, and any grading tion (shown as * in Figure 24.26).
beyond the lot requires permission from the adjacent
owner. Typically, lot grading applies to infill projects and Typically, the house sewer runs under the footing for
commercial projects. Block grading involves grading a shallow footings and foundations. Therefore, the elevation
group of lots, a frequent occurrence in single-family resi- of the lowest level should be raised an additional 6 in to
dential projects. Block grading is not bound by the rigid 1.5 ft (depending on local construction practices) to allow
constraints of lot grading since the whole group of lots is for clearance beneath the footing and floors. In situations
owned by one entity. Additionally, the spatial arrangement where it is not feasible to run the house sewer line under
and the drainage pattern can be integrated much more eas- the footing, the house sewer line can be run through the
ily. footing. Figure 24.26 shows this concept.
In addition to the relationship of the house to its lot and When a basement, because of its depth related to the
surroundings, another relationship that affects the siting of sewer main in the street, cannot be sewered using a gravity
a house is the elevation and location of the sanitary sewer. line, the sewer is referred to as a hung sewer. A pump may
As shown in Figure 24.26, the house should be sited in be installed to eject sewage from the basement to the sewer
F IGURE 24.26 Sewer line from house to sewer main.

main if it will not flow by gravity, but this practice may of construction materials and provides a haven for insects
come under special regulations in many jurisdictions. Other that can damage the house. Figure 24.28 shows the rela-
solutions, such as lowering the sanitary main, may be fea- tionship of the exterior grade for selected foundation sys-
sible, but the engineer must consider the impact of such a tems. The architectural plans should be consulted for the
solution on the rest of the project. Careful planning while relationship of the flooring to the foundation wall, since
designing the grading plan will help avoid awkward situa- setting the first floor elevation dictates the maximum
tions such as basements that won’t sewer by gravity. ground elevation. The ground elevation around the perim-
Another controlling factor for setting the house elevation eter of the house is adjusted to account for windows, doors,
is the street elevation. Typically, the first floor elevation is garages, and other architectural features, all of which are
above the street, but limitations on driveway grades, as dis- indicated on the house template.
cussed above, also control the maximum elevation of the Once the house is positioned on the lot, the elevations
house. The relationship of the house to the street is a major at all critical points are shown with spot elevations. Typi-
factor in its ‘‘curb appeal,’’ and any deviation from general cally, stoop, patio and ground elevations outside of doors
standards (e.g., a very steep driveway or slope that drains are six in (minimum) lower than the first floor elevation.
to the foundation of the house), looks out of place and Additionally, elevations are shown at windows located near
lowers the curb appeal. ground level to ensure they are not buried. Walkways lead-
Finally, the development of any grading scheme includes ing from the front door to the driveway or street should
the assimilation of other existing data and the constraints not be steeper than 5%. If walkways become too steep and
that data may impose. These existing constraints are com- steps cannot be used, then the overall house elevation may
bined with the data available on the proposed building have to be raised or lowered to account for such con-
structure. Ideally, these constraints are obtained from the straints.
approved5 architectural and mechanical drawings. The lo- When grading out a rear yard, the designer should seek
cation and relative elevations of doors, garages and win- to provide an area sufficiently level as a place for lounging
dows, other appurtenances such as decks, patios, stoops, and family recreation. A space of 15 to 20 ft by 30 to 40
walkways, and any utility connections are necessary to de- ft graded to a maximum of 5% to 6% slope immediately
velop an effective grading plan. This information becomes behind the house is reasonably adequate. In areas of steep
part of the constraints for grading. From this architectural slopes, where a flat yard of this size would require expan-
information, develop a footprint or template of the building sive fill slopes, the size of the back yard may be reduced,
showing all entrances, windows and other appurtenances with perhaps a large deck proposed to provide the outdoor
at or near the ground level that affect the grading. The rel- living space.
ative elevations of these items with respect to the floor el- As shown in Figure 24.29, spot elevations and drainage
evations are labeled on the template. Figure 24.27 depicts direction arrows are used liberally on the grading plans to
examples of house templates for three different house types show the contractor the intentions of the engineer for the
used on a project. The building template is placed on the design. Note that the house types of Figure 24.27 corre-
grading plan and oriented such that it best suits the topog- spond to the grading plan of Figure 24.29.
raphy, ordinance setback requirements, and utility con- After all of the houses are set on the lots, the engineer
straints. The specific footprint of the desired house is then should notify the developer of the proposed mix of house
transferred onto the grading plan after the best orientation types since many developers know, from experience, what
of the template is obtained. Since a typical subdivision has mix will be successful. In fact, sometimes the developer
several house styles, the use of templates allows the de- gives the engineer a range on the mix before any grading
signer to shuffle the house types around the lots for quick plan is started. Nonetheless, the engineer should verify the
analysis. mix of house types to be sure no changes in the developer’s
Additionally, siting of buildings on corner lots must al- program have occurred before proceeding with the project.
low for site distances of the intersecting streets. This in-
cludes high walls and steep slopes resulting from the Grading in Townhouse Development
grading that might impede the required sight distance. Townhouse developments consist of parking areas, private
However, in most cases the required zoning building set- streets, open space, and blocks of ‘‘attached’’ residential
backs and minimum radii of curvature allow for adequate units. Typically, the blocks or sticks of residential units con-
sight distances. tain approximately three to nine homes. The interior units
The height of the earth fill around the house depends share a wall with either neighbor, while the end units have
on the exterior surface and type of foundation system. Soil only one wall common with an adjoining unit. Typically,
and accompanying moisture accelerates decay of some types the property line runs down the center of the common wall.
Although a block of townhouses may have several house
types, variations in architectural style and different lengths,
5
There are frequent changes in drawings during design and it is difficult to dissem-
inate this information to all people involved in the design of the project in timely
usually they have a constant width. These variations help
fashion. Final coordination of the architectural drawings with the civil site design avoid the visual monotony that would occur if all the
must be checked when all plans are finalized. houses aligned and had the same style (see Figure 24.30).
F IGURE 24.27 House template.

F I G U R E 2 4 . 2 8 Foundation systems, exterior surfacing and grading. (Reprinted with permission of C. Harris and N. Dines, 1988, Time Saves
Standards for Landscape Architecture. New York: McGraw-Hill.)
569
F IGURE 24.29 House grading plan.
Other variations include vertical and horizontal staggering, ios, decks and other constraining information about the
which provides flexibility in the layout and helps the sticks units, all of which impacts the grading design. During the
conform to sloping sites. preliminary-design phase, several layouts and rough grad-
Since each unit is attached to another unit within a ing plan designs might be necessary to optimize the site.
block, there must be coordination in the structural design The preliminary lot layout provides information on the
with adjacent units (e.g., roof lines, wall framing, etc). The number of blocks, the number of units in each block, and
minimum or maximum variations in horizontal and vertical a rough idea of the vertical arrangement of the units. From
relationships may be dictated by local ordinance and build- these preliminary studies, the architect develops the final
ing codes. Certainly, restrictions on staggering and vertical arrangement of the units. During final design, the site de-
orientation will be limited to the structural and architectural signer determines the floor elevations of the units. The ar-
design. chitect’s drawings guide the site designer in setting the floor
From an engineering aspect, the units have to coincide elevations.
with the site constraints. Yet, from a sales perspective the Some refinement of the elevations shown on the prelim-
units have to be appealing to the consumer. For this reason, inary plan is necessary at the final design stage. Whereas
the layout and design of a townhouse project requires ex- the preliminary study may have shown elevations to the
tensive communication and coordination between the site nearest foot or half foot, final design drawings show floor
designer, developer, and architect. elevations to the nearest hundredths of a foot. Therefore,
During the preliminary phase of design, the site designer deviations from the preliminary design are expected. In ad-
obtains general criteria regarding the size, limitations on dition, the architect’s drawings may also have to be refined
horizontal and vertical placement, location of garages, pat- during final engineering design. Occasionally, the architect

F IGURE 2 4 . 3 0 Townhouse block showing vertical staggering to accommodate the longitudinal slope: (a) Front elevation; (b) Rear elevation.
(Courtesy of Sutton Sullenberger Yantis Architects.)
allows some flexibility in adjusting the vertical and hori- the units and the location of stoops, patios, decks and other
zontal orientation of the units. Adjusting units several appurtenances. When vertical adjustment between units is
inches or even a foot or two may present no critical di- necessary, it is recommended, and usually mandatory with
lemma. When vertical separation between units is two ft or brick veneer, to raise or lower floor elevations in eight-in
more, small retaining walls are required. increments. This recommendation is based on the dimen-
Setting the floor elevations for townhouses is more in- sions of masonry units used for construction. Using 8 in.
volved than single-family detached houses. A certain limited or a multiple of eight simplifies the construction while still
structural relationship, evident from the architectural plans, providing flexibility to the designer.
exists among the units of a block. In some townhouse de- Depending on the experience of the site designer and
signs, there is flexibility in adjusting the stagger distance architect, the site designer may be the one who sets the pad
and the vertical relationship of floor elevations of adjacent elevations and staggers the setbacks. This information is
units. This flexibility is needed to allow for better coordi- then sent to the architect, who then develops the block
nation between the housing units and the site conditions. designs. Whether the site designer suggests the initial unit
To set the townhouse elevations properly, the engineer requirements to the architect first, or vice-versa, commu-
needs a complete and current set of architectural plans. nication between the site designer and architect (through
From these plans, the site designer determines the relative the developer) is imperative to exchange the inter-
location of the units in a block. As with single-family disciplinary information necessary for design.
homes, a template of the townhouse block may simplify the Another problem encountered in setting townhouse el-
process. This template shows the relative floor elevations of evations is the number of risers (steps) from the street to

the door. The site designer needs to verify the horizontal should not be placed in areas of heavy pedestrian use, such
and vertical distance necessary to accommodate the full run as crosswalks and curb-cut ramps. Additionally, the de-
of the stairs. Zoning ordinances may not allow the steps signer should locate inlets in areas where people can access
and stoop to encroach into the building setback limits. The their vehicles without stepping around the inlet. Figure
site designer must verify that the vertical distance from the 24.31 shows recommended placement of inlets in parking
door (or stoop) to the ground, and the horizontal distance areas.
from the door (or stoop) to the property line, is capable of Another rule-of-thumb is that long runs of sheet flow on
accommodating the required number of risers. A safe as- steep slopes in parking areas should be avoided, especially
sumption is to allow a tread width of 1 ft; therefore, if ten in colder climates where the sheet flow can freeze and cre-
risers are needed, the minimum setback to the stoop is 10 ate hazardous conditions for pedestrians and drivers. Ad-
ft. Furthermore, additional distance may be needed be- ditionally, runoff should be directed away from sidewalks
tween the sidewalk and the start of the steps. Although riser and pedestrian travelways, as this not only makes it easier
heights can vary with the maximum height typically limited for walking but also reduces the splash from passing traffic.
to 71⁄2Ⳳ in., building codes require the riser height to be When devising the grading scheme in larger parking ar-
constant for the run of steps. Therefore, the vertical distance eas, consideration should also be given to paving opera-
from the sidewalk/street to the entrance must be a multiple tions. Parking areas that have extensive wash-board effects
of the riser height. are difficult to pave, especially if there are numerous grade
breaks and relatively steep slopes.
Grading in Commercial Sites Many commercial buildings have ramps that lead to un-
Commercial projects (e.g., high and low rise offices, retail derground parking or to loading areas. The grading should
plazas, houses of worship, and schools) mainly consist of direct the runoff away from the ramp areas, while inlets at
buildings, parking areas, and access points. Due to the high the bottom of the ramps carry the small amount of runoff
premium rates for commercial land, rarely are there large that does fall in the ramp and loading area.
areas of natural ground to allow for extensive flexibility in
the grading scheme. On residential projects, groups of lots Grading and Software
are worked on simultaneously, and the grading can extend The process of grading explained in this chapter has de-
beyond the limits of a single lot, since the group of lots has veloped over many years; most of the concepts presented
only one owner. On commercial projects, rarely does one have been in use long before the advent of computers.
owner develop several parcels simultaneously; therefore, the These concepts change very little, and they must be thor-
limits of the grading cannot extend off site. Grading on an oughly understood before trying to grade a site. Only when
adjacent parcel, with a different owner, requires permission the designer has this understanding should tools such as
in the form of a letter of agreement or an off-site grading computer programs be employed.
easement, either of which is often difficult and expensive Both AutoCAD and Microstation have software packages
to obtain. Therefore, assume that proposed grades must tie- designed to perform many tasks associated with site grad-
out at the property line. When this practice requires ex-
pensive retaining walls or severely curtails the development
program, then it is appropriate to explore the off-site per-
mission. On small sites, this limitation makes developing a
grading plan more challenging, especially when steep slopes
exist.
The controlling factors for grading commercial sites are
basically the same as other sites, and include drainage,
slopes in parking and pedestrian areas, and access points
to the building structures. From an aesthetic point of view,
the grading concept for commercial sites is often tied to the
visual goals that the architect (and developer) set for the
proposed building.
The necessity for large expanses of paving on commercial
projects leads to rules-of-thumb somewhat unique to this
genre. Remember the requirements for commercial en-
trances discussed above. From the entrance, the recom-
mended pavement slope in the travel lanes varies from 1%
to 5%. The pavement is sloped to direct runoff to curb
inlets, sump areas, or ditches off the edge of pavement.
Placement of all drainage structures should take into con-
sideration the movement of pedestrians and vehicles. Inlets F IGURE 24.31 Recommended inlet locations in parking areas.

ing. By assigning a third dimension to the two-dimensional presented herein, the one selected depends on the type of
line, a z value, a three-dimensional entity is created, and site and the way the project is set up. For many projects,
this allows grading to be accomplished in the digital world. the ETO is developed from the contour grading plan, or in
The use of computers theoretically leads to increased pre- the case of roads, the cross-section drawings. Of major in-
cision and productivity. terest to the developer or contractor is the net amount of
Most of the more mundane tasks associated with grading cut and fill material. Therefore, in order to get a final quan-
have been automated. Today, programs are available that tity, cut and fill values must be adjusted for such things as
not only aid in site grading but may actually design the site topsoil, pavement thicknesses, undercut, large conduits, soil
grading. Despite the level of sophistication within these pro- shrink-swell, and other factors. Many of these factors are
grams, it is still imperative that the person applying the fully discussed in Chapter 40, Soils.
technology know what to tell the machine and what the
machine is telling him. Only then can the grading plan truly Cross-Section Method
represent the best solution. The cross-section method is used to calculate earthwork
quantities for roads, utility trenching, and other projects
Conclusion when the length is greater than the width. A contour grad-
The person designing the site grading plan must combine ing plan is not necessarily needed to use this method since
several skills to accomplish the task. Knowledge of plan cross sections for streets and prismatic channels can be ob-
graphics and the mechanics of grading provides the means tained from the typical section and the profile. Street cross
to represent the scheme on paper. Identifying the natural sections are easily plotted manually, although computer
and manmade constraints and knowing how to work with software is available to produce street cross sections more
them ensures feasibility. Manipulating the grades so that the easily.
proposed uses are facilitated and enhanced contributes to If the cross-section method is used for a building site,
the plan’s viability. Creation of an attractive site that is en- the grading plan is used to develop the cross sections. A
hanced by the grading helps marketability. Accomplishing baseline or reference line is drawn on the plan. Although
all of the above requires a combination of art and science the location is arbitrary, it is usually down the center or
rarely equaled in any other aspect of the site development along one edge of the project. The baseline does not need
process. to be straight. Slight curvature or angles can be used when
the situation warrants. Lines perpendicular or radial to the
EARTHWORK baseline are drawn where the cross sections are desired and
Calculating the amount of displaced material is referred to the sections are then plotted. Distortion of the topography
as an earth take-off (ETO). Although rarely the case, the as it appears on the cross-section plot increases when the
ideal scenario is to have a balance of earthwork, where all section line is significantly skewed relative to the prevailing
of the required excavation is used to backfill and to bring land slope. This, in turn, contributes to errors in the cut
the lot to finished grade. In order to attain any semblance and fill values. On the other hand, the distance is not uni-
of an earthwork balance, the excavated material must be of form between two section lines if they are not perpendicular
adequate quality to be reusable. In projects with excessive to the baseline, and this also adds to the error in the ETO.
rock, loam soils, or expansive soils, an earthwork balance, Judgment and experience dictate the orientation of the sec-
in all likelihood, is unattainable. If a balance cannot be at- tion line relative to the baseline and prevailing land slope
tained, the next best alternative is to have excess soil, since in order to obtain reasonably precise ETO quantities.
hauling the excess away from the site is typically less ex- Section lines do not have to be at constant intervals.
pensive than hauling in borrow material. They are located where the cut and fill does not substan-
A grading plan may have to go through several iterations tially change and at points where there is an abrupt change
before an acceptable earthwork balance is obtained. Fre- between cut and fill. For example, cross sections located
quently, a rough grading plan is developed as a first ap- before and after foundation walls will not account for the
proximation. This rough grading plan shows the buildings, excavated volume. Additional cross sections should be in-
streets, and parking areas with spot elevations at critical cluded just inside of the foundation walls. Precision of the
points and contours lines with 2- or 5-ft contour intervals. ETO depends on judicious selection of the cross-section
An ETO is performed to determine the net earthwork quan- locations and their orientation to the baseline.
tity. Since this rough grading plan serves as an unpolished Once the existing and proposed grades are plotted on
first guess for design, the earthwork analysis cannot be ex- the cross sections, thicknesses for pavement, concrete slabs,
traordinarily detailed. As the rough grading plan is refined and subbase depths are then added to the drawings. The
and approaches final design, the detail and accuracy of the gross cut and fill quantities are adjusted according to these
earthwork analysis increases. depths. The cut and fill areas of each section are determined
Most earthwork calculations are performed with the aid by using a planimeter, geometry or grids. The latter way is
of earthwork software, although occasion does arise when tedious, has inherent errors (e.g. estimating partial segments
manual methods are more effective. Of the several methods of the squares), but can be effective for very rough esti-

mates. If the measured area from the cross-section drawing wedge segment as computed by the average end area and
is in square inches, the conversion to actual square feet the wedge equation shows that the average end area volume
based on the horizontal and vertical scale is is 50% greater. The volume due to this error in this segment
must be weighed against the total volume of earthwork.
SFact ⫽ A ⫻ Hscale ⫻ Vscale (24.6) Since the error applies only to the two end segments, it is
where SFact ⫽ actual square feet, A ⫽ measured area in left to the judgment of the engineer which equation is used
square inches, Hscale ⫽ horizontal scale in feet per inch, and for the wedge-shaped segments.
Vscale ⫽ vertical scale, also in feet per inch. E X A M P L E 2 : Figure 24.33 shows three cross
Ai ⫹ Ai⫹1 sections of a roadway where C and F designate the
Vinc ⫽ ⫻L (24.7) cut or fill area on the cross section. Table 24.3 shows
2
the tabular organization of the data to determine the
The incremental volume of cut and fill between succes- earthwork quantities using the cross-section method.
sive cross sections is equal to the averaged area of the cut (Assume stations 0 ⫹ 50 and 2 ⫹ 50 are the begin
or fill multiplied by the (average) length between the cross and end points of construction.)
sections as given in Eq. (24.7), where Vinc is the incremental The accuracy of this method is determined by the
volume of material between two consecutive cross sections, variation of cut or fill areas of subsequent cross sec-
Ai and Ai⫹1 are the areas of cut or fill on the two consecutive tions. Although most cross sections are taken at con-
cross sections, and L is the average horizontal distance be- stant intervals, intermediate cross sections may be
tween the sections. Summation of the incremental cut and necessary. If one cross section is in total fill and the
fill volumes determines the total cut and fill. following cross section is in total cut, an intermediate
The volume from the average end area (Eq. (24.7)) sig- cross section is necessary for a higher degree of ac-
nificantly overestimates the volume at the two end sections. curacy. The intermediate cross section is located
As shown in Figure 24.32, the solid segment bounded by where the fill section transitions to the cut section;
station 10 ⫹ 60 and station 11 ⫹ 00 is wedge-shaped. The this is the point where the cut and fill areas are nearly
volume for a wedge (pyramid) is zero. The accuracy of this method can be increased if
the interval length is reduced. The trade-off for this
A increased accuracy is the time to evaluate more cross
Vw ⫽ ⫻L (24.8)
3 sections. Another factor affecting accuracy is the cost
where A is the area of the first cross section, in this case

station 11 ⫹ 00. A comparison of the volumes for the
F IGURE 24.32 Wedge-shaped volume and prismoidal vol-

ume. F IGURE 24.33 Earthwork example: cross-section method.
TABLE 24.3 ETO by Cross-section Method

(1) (2) (3) (4) (5) (6)
AVERAGE INCR. ACCUM.
LENGTH AREA AREA VOLUME VOLUME
STATION (FT) (FT2) (FT2) (FT3) (FT3)
FILL
0 ⫹ 50 0 0
.....................................................................................................................
50 425 21,250
.....................................................................................................................
1 ⫹ 00 850 21,250
.....................................................................................................................
50 575 28,750
.....................................................................................................................
1 ⫹ 50 300 50,000
.....................................................................................................................
50 300 15,000
.....................................................................................................................
2 ⫹ 00 300 65,000
.....................................................................................................................
50 150 7500
.....................................................................................................................
2 ⫹ 50 0 72,500
.....................................................................................................................
CUT
0 ⫹ 50 0 0
.....................................................................................................................
50 0 0
.....................................................................................................................
1 ⫹ 00 0 0
.....................................................................................................................
50 100 5000
.....................................................................................................................
1 ⫹ 50 200 5000
.....................................................................................................................
50 600 15,000
Column 1: STATION—the stationing along the street that identifies the location of the cross section.
Column 2: LENGTH— the length between the two cross sections. Notice this value is written on a line between the two cross sections of column 1.
Column 3: AREA—the total area of the cut or fill for the section. The first and last stations are the stations where the grading begins and ends. Here the cut and
fill areas are zero.
Column 4: AVERAGE AREA—the average of the cut or fill area as determined by equation (24.7).
Column 5: INCR. VOLUME— the volume of cut or fill between the two cross sections. This is equal to column 2 ⫻ column 4.
Column 6: ACCUM. VOLUME—the accumulated volume of cut or fill. Equal to the preceding value of column 6 added to the current value of column 5. The last
value in this column is the total cut or fill for the total number of cross sections.
for cut and fill. An extremely high cost associated E X A M P L E 3 : Table 24.4 organizes the data for
with the cut or fill operations will necessitate that the calculating the volume of the depression in Figure
computed earthwork quantity be considerably more 24.34. The values for the area (shown in column 2)
accurate. Consideration for additional cross sections represent the plane area contained within the contour
through a curve is necessary if the length parameter line. Column 4, ht, is the difference between the el-
is longer than the arc length of the curve. In general, evations of the contour lines.
the average end area equation tends to overestimate
volumes. The Contour Method
A variation of the average end area method con- The contour method requires a contour grading plan. The
siders the average the areas within a closed contour amount of cut or fill material is determined by averaging
loop. The average area is multiplied by the difference the change in areas due to grading on two successive hor-
in elevation between the contour lines to obtain a izontal planes. This area is contained within the loop of the
volume. This method is best suited for computing existing contour line and the proposed contour line. This
volumes of lakes and mounds. averaged area is multiplied by the distance between the two
TABLE 24.4 Contour Method: ETO for Fill Area

(1) (2) (3) (4) (5) (6)
ELEV. LOOP AREA AVG. AREA DIFF. IN ELEV. INCR. VOL. ACCUM. VOL.
(FT) (FT2) (FT2) (FT2) (FT3) (FT3)
413 0 0
.....................................................................................................................
2714 1 2714
.....................................................................................................................
414 5428 2714
.....................................................................................................................
7348 2 14,696
.....................................................................................................................
416 9268 17,410
.....................................................................................................................
5529 2 11,058
.....................................................................................................................
418 1789 28,468
.....................................................................................................................
895 1 1790
.....................................................................................................................
419 0 30,258
plane areas to obtain a volume. To illustrate this point, Fig-

ure 24.35-a shows a portion of a contour grading plan
where the graded area is in cut. Figure 24.35-b shows the
change in plane areas resulting from the new grading. Each
area is bounded by a loop comprised of the existing contour
line and the proposed contour line.
In the three-dimensional figure, lines BCDE and
B⬘C⬘D⬘E⬘ are the existing contour lines representing the two
planes. Lines OP and O⬘P⬘ are the proposed contour lines
F IGURE 24.34 (a) Portion of a graded area; (b) change in F IGURE 24.35 Three-dimensional representation of the
surface areas. graded area.

on each plane. The change in surface areas from the existing have been determined and compiled into tabular format
to the proposed conditions are the loops OPDC and (see Tables 24.4 and Table 24.5), the table is completed by
O⬘P⬘D⬘C⬘, which enclose areas A1 and A2 respectively. The following through with the calculations of each column. If
volume of material is the prism of material between the one table is used for each cut and fill area, a quick inspec-
horizontal planes of A1 and A2 and the inclined surfaces of tion of the tables will identify areas of the site where an
O⬘P⬘PO and C⬘D⬘DC. This volume, V, is given as adjustment can be made to balance the cut and fill.
V⫽ 冉A1 ⫹ A2
2 冊 ⫻H (24.9)
E X A M P L E 4 : Use the contour method to deter-
mine the amount of cut and fill for the grading plan
of Figure 24.36.
The procedure for performing an ETO using the contour The first step in the procedure is to determine the
method is: zero lines. For the grading plan example, some of
these points along the zero line where the proposed
1. Delineate on the grading plan the limits of the cut contour lines tie into the existing contour lines are
areas and fill areas. These limits are identified by a shown as points a, b, c, d, e and f in Figure 24.37.
closed loop that connects the points where proposed The line c-g-h-d separates the fill area from the cut
contour lines connect to the existing contour lines, es- area. It is analogous to the line in Figure 24.36 that
sentially where the cut and fill is zero. These loops are runs through the center of the graded area to divide
identified as the zero loops and the number of zero the cut and fill areas.
loops depends on the grading scheme. All grading Figure 24.38 shows the change in graded areas for
within a zero loop is either all cut or all fill. All lines the contour lines for elevations 414 ft, 416 ft, and
on the drawing representing zero loops should be 418 ft within the zero line for the fill area. For ex-
drawn in the same color. On the plan view, these ample, beginning at point ‘‘J,’’ a loop is made that
points are indicated where the proposed contour line follows the proposed contour line to point ‘‘K,’’ then
ties into the existing contour line or where a cut area along the existing contour back to point ‘‘J.’’ Similarly,
changes to a fill area. In Figure 24.36 points A and C the areas for the loops MQM and the NOPN are mea-
are where the proposed contour lines tie to the exist- sured.
ing contour lines. Point B is where the cut area The loop areas for each contour line in the fill
changes to a fill area. The zero lines are indicated in areas are measured and entered into a computation
the plan view of Figure 24.37. table (Col. 2) as shown in Table 24.5. The following
calculations complete the table.
2. For each contour line within a zero loop, there are COL 3: The average area for the first two consec-
other loops comprised of part of an existing contour utive contour lines (e.g., for the 413-ft and 414-ft
and a proposed contour. Each of these loops outline contour lines), is
the change in area between the existing and proposed
8823 ⫹ 11,453
conditions for that contour plane. On projects where ⫽ 10,138 ft2 (24.10)
extensive grading is required, the loops will overlap, as 2
shown in Figure 24.38 and Figure 24.39. The basic COL 4: The incremental volume is the volume of
procedure for delineating a loop is: (1) on the grading material cut or filled corresponding to the two con-
plan, find where the proposed contour line meets the secutive contour lines. It is the averaged area (Col. 3)
existing contour line; (2) from this point using a col- multiplied by the elevation difference between the
ored pencil, trace the proposed contour line to the two consecutive contour lines.
point where it joins the existing contour again; (3) COL 5: The accumulated volume is the preceding
then trace the existing contour line back to the original incremental volume added to the current incremental
point; (4) do this for each contour within the zero volume.
loop; (5) identifying individual loops with lines of al-
ternating colors helps when tracing the planimeter 2 ⫻ (416 ⫺ 414) ⫻ 10,138 ft2 ⫽ 20,276 ft3 (24.11)
around the loop. If a loop cannot be completely
Similar loop areas are obtained for the contour
closed—that is, the proposed contour does not meet lines within the zero loop of the two cut areas as
the existing contour within the bounds of the zero shown in Figure 24.40. One detail that must be
line—the zero line is not drawn correctly. pointed out involves the cut area around the building.
3. The incremental volume is the averaged areas of A common error is to trace the building with the pla-
the two loops multiplied by the difference in elevation nimeter in the wrong direction. The path indicated as
between the two contour lines. abcdef is the correct loop (see discussion on Contour
Patterns for Buildings and Retaining Walls). The other
After all loops have been outlined, the area of each loop loop areas around the building have not been shown
is determined for each cut and fill area. After all loop areas for clarity.

F IGURE 24.36 Schematic diagram showing zero lines.
The total volume of material of cut and fill is However, these volumes must be adjusted for top-
soil, allowance for concrete and pavement thick-
62,556 ⫹ 38,439 ft3 nesses, and shrink and swell.
Total Volume of cut ⫽ (24.12)
27 ft3 per yd3
⬇ 3740 yd3 Equal Planes Method
35,662 ft3 Another method for estimating earthwork considers the vol-
Total Volume of fill ⫽ ume based on averaging incremental depths of cut or fill.
27 ft3 per yd3
Each specific depth extends up or down from the proposed
⬇ 1321 yd3 ground to the original ground line. The resulting configu-

F IGURE 24.37 Grading plan.
ration is a series of concentric nested rings of uniform The height of a ring represents a layer that is a constant
depths and variable widths. The height of each ring rep- depth above (for fill) or below (for cut) the original ground
resents an incremental depth of cut or fill. The width of line. The constant distance is measured along the vertical
each ring represents the difference in area between two suc- direction from the ground surface. Although the equal
cessive cut or fill contour lines. Whereas the contour and planes method is predicated on layers of uniform depth of
cross-section methods average the cut and fill areas on suc- cut or fill parallel to the ground surface as shown in the
cessive planes, the equal planes method averages the depths profile of the mound (Figure 24.43-a) the projection of
of cut or fill of successive rings. these surfaces onto the plan view assumes these surfaces to
To illustrate the incremental volumes of the equal planes be parallel to a horizontal plane as shown in Figure 24.42-
method, consider an 8-ft high mound built up from level b.
ground. Imagine that the 8-ft elevation is represented by a Figure 24.43 shows a profile view of the mound and the
ring of a specific radius, r8, as shown in Figure 24.41. The corresponding contours in plan view. The profile shows the
outer edge of the ring is formed by the 8-ft contour line. underlying surfaces in increments of 2 ft. The first layer
The volume of earth in this initial ‘‘ring’’ is that of a right under the original ground represents a cut depth equal to
circular cylinder ⫽ 8(␲r82)/4. Next, consider a ring formed 2 ft. In plan view, this layer appears as a loop where the
by the 6-ft contour line with radius r6, (r6 ⬎ r8), concentric difference in elevation between the existing grade and pro-
with the 8-ft-high cylinder. The incremental volume in this posed grade is two ft. Likewise, successive layers of 4, 6,
ring is 6␲ (d62 –d82) /4. Note that the volume between the 8, . . . -foot cuts are identified by loops where the difference
ground line and the horizontal planes of the successive in elevation between the existing and proposed grades are
rings as shown in the triangle PQS of Figure 24.41 is not 4, 6, 8, . . . etc. ft respectively. Each loop is identified on
included in the calculations. This error is reduced by com- the plan view illustration. A loop represents the inner edge
puting the incremental volumes by averaging the depths of on one shape and the outer edge of the subsequent inner
fill (or cut) on two successive rings as indicated by triangles shape. Hence, the difference in area between successive
TUV and T⬘U⬘V on the left side of Figure 24.41. loops is the incremental area used to determine the volume

F IGURE 24.38 Grading plan showing zero cut / fill lines and cut and fill areas.
of one of the rings. Summation of all incremental volumes than the zero plane. A loop will cross contours only
is the estimated earthwork volume. where the existing contour and proposed contour in-
The basic procedure for using the equal planes method tersect—unless there is a retaining wall or other struc-
on a grading plan is: ture.
1. Delineate all loops representing equal cut or fill 3. Decide the next plane. Again, if the contour inter-
layers beginning with the zero loop. This loop identi- val is 2 ft, the next plane is at a depth/height of 4 ft.
fies the plane where the grades tie out—essentially Draw a loop that connects all points 4 ft higher/lower
where the difference between proposed grade and ex- than the existing elevation (points B and B⬘ in Figure
isting grade elevations are zero. There could be more 24.42). Continue this procedure inside all zero loops
than one cut or fill area on a project. The zero loop until all loops have been drawn for the site. The plan
isolates these individual cut and fill areas. becomes more readable if two colors are used to draw
the loops—one color for cut areas and another color
2. From each zero loop work inward. Decide the for fill areas. Very light shading of alternate rings in
next level for which a plane will be identified. The eas-
the same color enhances the cut and fill areas. Large
iest way is to keep the planes at the same increment as
numbers written on the loops identify the depths/
the contour interval. If the contour interval is 2 ft, the
heights of cut/fill areas.
next plane would be at a depth/height of 2 ft. Inside
the zero loop, locate the points where an existing con- 4. For each cut and fill area, a table keeps a record
tour intersects a proposed contour where the elevation of the individual quantities and the accumulated earth-
difference between the two contours is 2 ft, as indi- work, as shown in Table 24.6. The area of each loop is
cated by points A and A⬘ in Figure 24.43. A loop that determined and entered into column 2. Column 3 is
connects these points and all points where the pro- the difference between the current loop and the pre-
posed elevation is 2-ft higher/lower than the existing ceding loop. Column 4 is the average of the current
elevation outlines a plane that is 2 ft higher/lower depth and the preceding depth. Column 5 is the prod-

F IGURE 24.39 Contour method: loops for fill area.
uct of column 3 and column 4. Column 6 is the accu- mental volume of cut or fill. A summation of all incremental
mulated earthwork of column 5. fill volumes and cut volumes gives the total for the site.
Figure 24.45 shows a proposed ground surface and the
E X A M P L E 5 : Using the same grading plan as existing ground surface for a unit area. (Note that the in-
the previous example, perform an ETO using the tersection of the two surfaces establishes the zero cut and
equal planes method. Figure 24.44 shows the grading fill line.) The depth of cut or fill is written at each corner
plan with the zero lines, and the 2-ft, 4-ft and 6-ft of the unit area. For this particular unit area, the average
depths of cut loops and depths of fill loops. cut/fill is zero. That is, the volume of material in the cut
The area of each loop is determined and entered area is equal to the volume of material in the fill area.
into column 2 of Table 24.6. Column 3 of this table However, as shown in Figure 24.46, the computations
is the difference in area between two consecutive presume that the actual ground surface is a plane repre-
loops. Column 4 is the averaged depth of cut or fill, senting a linear ground surface. The areas that contribute
and column 5 is the incremental volume ⫽ col. 3 ⫻ to the error in the actual volume are shaded. The accuracy
col. 4. of the computed volume is a function of the size of the unit
The main advantage to using the equal planes area and how close the representative planes for the existing
method is that the final plan view shows the cut and and proposed ground approximate the true ground surface.
fill areas and how deep these areas are. Any adjust- As the undulations of the actual ground surface increase in
ments to the site grades to adjust the ETO can be number and deviate from the straight line approximation,
limited to specific areas. the precision of the computed volume decreases. To com-
pensate for the irregular topography, the unit area can be
Grid Method (Borrow Pit Method) reduced to increase precision. The penalty for this is the
The grid method for computing earthwork quantities av- increase in number of grids and the computing time to
erages the cut or fill depths over a unit area. The product perform the method. In some instances, decreasing the unit
of the averaged depths with the unit area is the net incre- area may not be the solution either. On extremely flat sites,

TABLE 24.5 Contour Method: ETO Quantities for Cut Area

(1) (2) (3) (4) (5) (6)
ELEV. LOOP AREA AVG. AREA DIFF. IN ELEV. INCR. VOL. ACCUM. VOL.
(FT) (FT2) (FT2) (FT2) (FT3) (FT3)
PARKING AREA
411 0 0
.....................................................................................................................
680 1 680
.....................................................................................................................
412 1360 680
.....................................................................................................................
2829 2 5658
.....................................................................................................................
414 4298 6338
.....................................................................................................................
8468 2 16,936
.....................................................................................................................
416 12,638 23,274
.....................................................................................................................
14,501 2 29,002
.....................................................................................................................
418 16,364 52,276
.....................................................................................................................
8182 1 8182
.....................................................................................................................
419 0 60,458
BUILDING AREA
405.4 0 0
.....................................................................................................................
324 0.6 194
.....................................................................................................................
406 648 194
.....................................................................................................................
4336 2 8672
.....................................................................................................................
408 8024 8866
.....................................................................................................................
7186 2 14,372
.....................................................................................................................
410 6348 23,238
.....................................................................................................................
5168 2 10,336
.....................................................................................................................
412 3988 33,574
.....................................................................................................................
2055 2 4110
.....................................................................................................................
414 122 37,684
.....................................................................................................................
61 0.4 24
.....................................................................................................................
414.4 0 37,708

F IGURE 24.40 Contour method: loops for cut area.
decreasing unit area size decreases the precision. For each tal volume is the averaged cut/fill depths multiplied by
unit area, an interpolation between contours is necessary to the grid area. Only the corners of grid squares within
determine the elevations at each corner. Each interpolation the grading limits are used to obtain the average cut/
calculation has an error associated with it. The propagation fill values.
of this error contributes to the precision of the volume. In
4. Any corner outside the grading limits is not in-
these extreme cases, the grid method may be abandoned in
cluded in the computational process. The incremental
favor of an earthwork method that is more accommodating.
volume is the averaged cut/fill of these grid corners in
The mechanics of the method are:
the graded area multiplied by the fraction of the area
1. Obtain the grading plan of the site and create a of the grid within the grading limits.
grid of uniform-sized squares over the graded area. 5. Summing all averaged values within the grid
The procedure is facilitated if the grid is created on squares is the net amount of excess/deficient dirt.
transparent material and overlain on the grading plan. Summing all positive and negative numbers separately
For reasonably precise earthwork quantities, the grid is the amount of cut and fill respectively.
squares should be 1-in. squares for plans with scales of
1 in. ⫽ 100 ft and larger. Figure 24.46 shows the grid method for the same grad-
ing plan with 1-in. grids. The cut or fill depths are written
2. The grid is overlain on the grading plan. At each
at the corners of each square (negative values indicate cut,
corner of a square, a value is entered to identify the
positive values indicate fill). The value written in the center
amount of cut or fill at that point. A positive value in-
of the grid is the average cut or fill depth for that grid (i.e.,
dicates fill and a negative value indicates cut.
the sum of the values at the corners divided by the number
3. For each square, the cut/fill values are averaged of summed values). The volumes of cut or fill for each grid
and written in the center of the square. The incremen- are determined by the product of the averaged cut or fill

F IGURE 24.41 Contours of uniform depth for the 8-foot-high mound a) plan view b) schematic.
584
F IGURE 24.42 Plan and profile view of a mound showing layers of equal depths.

F IGURE 24.43 Cut and fill loops for the equal-planes method.
and the area of each grid. Some squares are not entirely due to the large grid size relative to the small fill area of
within the grading area. The volume of cut or fill for these the plan.
squares is found by multiplying the averaged cut or fill
depth by the fraction of the area of the grid within the ADJUSTMENTS TO EARTHWORK QUANTITIES
grading area. An ‘‘eyeball’’ estimate of the fractional area The ETO methods previously explained calculate the gross
should suffice in most cases. quantity of cut and fill. That is, the quantities are computed
The grid on Figure 24.46 has four rows and eight col- based on the existing topography and the proposed finished
umns. The incremental volume for each grid is given in grades. Computing final earthwork quantities includes ad-
Table 24.7. justments to the gross values of cut and fill to account for
Summing all of the fractions of the cut values and all of soil characteristics, topsoil, sub-base allowance, foundations
the fill values multiplied by the area of a grid gives the total and other items that affect the amount of displaced soil.
volumes. The sum of the fractions of the cut and fill are Since earthwork is a major expense for a project, the ad-
38.3 and 3.2 respectively. This corresponds to justments are necessary, considering that the adjustments
may affect the computed gross quantity by 10% to 30%.
38.3 ft ⫻ (60 ft ⫻ 60 ft)
⫽ 5,100 yd3 of cut (24.13) Frequently the client requests the adjustment quantities
27 ft3 per yd3 separate from the gross quantities. These adjustments are
3.2 ft ⫻ (60 ft ⫻ 60 ft) shown as separate volumes in a tabulated format. This can
⫽ 430 yd3 of fill be helpful when determining causes for excess or deficient
27 ft3 per yd3
volumes. After all adjustments are made, the results are the
The unusual low value for the fill volume (430 yd3) is net volumes of cut and fill.

TABLE 24.6 ETO Computations for the Equal-Planes Method

(1) (2) (3) (4) (5)
LOOP AREA DIFF. IN AREA AVG. DEPTH INCR. VOLUME
CUT DEPTH (FT2) (FT2) (FT) (FT3)
0 57,580
.....................................................................................................................
35,360 1 35,360
.....................................................................................................................
2 22,220
.....................................................................................................................
18,222 3 54,666
.....................................................................................................................
4 3998
.....................................................................................................................
3618 5 18,090
.....................................................................................................................
6 380
.....................................................................................................................
380 6.5 2470
.....................................................................................................................
7 0
.....................................................................................................................
TOTAL ⫽ 110,586 ft3
⫽ 4,096 yd3
FILL DEPTH
0 17,468
.....................................................................................................................
7570 1 7570
.....................................................................................................................
2 9898
.....................................................................................................................
8930 3 26,790
.....................................................................................................................
4 968
.....................................................................................................................
968 4.2 4066
.....................................................................................................................
4.4 0
.....................................................................................................................
TOTAL ⫽ 38,426 ft3
⫽ 1423 yd3
Topsoil over the site. The engineer decides whether to use a uni-
Before any major grading operations begin, the site is form depth or to divide the site into areas of nearly uniform
stripped of the topsoil. The topsoil is stockpiled and used topsoil depth for calculations. The topsoil volume is the
for planting and landscaping purposes when the project is estimated depth multiplied by the graded area. In most of
nearly complete. In high-density residential projects and the cases the earthwork quantity will not be adversely af-
many commercial sites, very little area is available for land- fected if the topsoil depth is assumed to be uniform over
scaping. The resulting excess topsoil must be either hauled the entire graded area. Another, more time-consuming
away or disposed on site. method is to actually draw the topsoil depth on the cross-
Topsoil depths generally range from 6 to 18 in. Estimates section drawings and calculate the topsoil quantity using
for topsoil depths can be determined from the soils report the average end-area method. This procedure is done when
and the soil boring logs of the site. If the soils report in- cross sections of the site are available and the topsoil depth
dicates a nearly uniform depth of topsoil, calculate the top- is highly variable.
soil volume assuming a constant depth over the graded The gross volume of topsoil to be stockpiled is equal to
area. Some sites may have a large variation in topsoil depth the topsoil stripped from both the cut and fill areas. The

F IGURE 24.44 Ground surfaces for unit area of the grid method.
stripped volume of topsoil from the cut areas is subtracted Using a replacement topsoil depth of 14Ⳳ in. results in
from the gross cut volume. using all of the stockpiled topsoil tabulated in Table 24.8.
Conversely, the volume of topsoil stripped in the fill ar-
eas is added to the gross fill volume. The sum of these two Subbase and Concrete Pads
values is the volume of stockpiled topsoil. Topsoil reused Roads, concrete slabs, and building pads consist of different
in vegetated areas is replacement topsoil. The vegetated ar- layers of gravel, coarse aggregate, concrete and wearing sur-
eas are determined for both the cut and fill areas of the site. face. The total thickness of these layers depends on the
Calculated replacement topsoil volumes in the vegetated ar- bearing capacity of the soil and the type of structure and
eas of the cut areas are added to the gross cut quantity, and ranges from eight in to 2 ft in typical situations. In extreme
the replacement topsoil volumes in fill areas are subtracted cases the thickness may be double these depths. Concrete
from the gross fill quantity. The stockpiled topsoil volume pads and the subbase for residential houses has a thickness
less the replacement topsoil volume is the net topsoil re- of 8 to 12 in. Concrete pads and subbase for parking struc-
maining. tures and high rise commercial buildings typically are 18
Referring back to the grading plan used in the ETO ex- to 24 in. thick. The pavement structure for roads may be
amples, the area of topsoil to be considered is that con- 12 to 18 in. thick.
tained within the zero loops. The area of the zero loop for To account for subbase and concete thickness the earth-
the cut area is 58,268 ft2. An assumed uniform topsoil work quantity is based on the subgrade6 elevation rather
depth of 6 in equates to approximately 1100 yd3 of topsoil.
Likewise, within the fill area loop of 18,711 ft2, the ap- 6
In cut areas, the subgrade is the original soil lying below the concrete pad, pave-
proximate topsoil volume is 350 yd3. The vegetated area in ment and gravel layers. In fill areas, the subgrade is the controlled fill placed over
the cut area is 26,200 ft2 and in the fill area is 8000 ft2. the existing ground to bring the area to grade at the subgrade elevation.

F IGURE 24.45 Average ground surface by linear approximation.
than the finished grade elevation. Therefore, in cut areas for in the earthwork quantities. If such conditions cover
the base volume of cut must be increased by the total vol- wide areas and extend to great depths, the removal and
ume of the subbase, pavement, and concrete. In fill areas, replacement with acceptable material becomes costly.
the pavement and subbase volumes are subtracted from the The undercut quantity is added to the cut volume as
base value of the fill volume. well as the fill volume.
Following through on the ETO example problem, as-
sume the combined pavement and subbase thickness is 10 Utilities
in. The area of pavement in the cut area and fill area is Accounting for soil volume for relatively narrow shallow
determined (by planimeter) to be 25,000 ft2 and 10,000 ft2 trenches is not typically done. For example, the volume of
respectively. The building pad has combined concrete and a trench 6 ft deep and 3 ft wide is equal to 0.67 yd3 per
coarse aggregate layer thickness of 12 in. and a footprint linear foot. The volume of a 15-in. conduit with 6 in. of
area of 7000 ft2. The adjusted earthwork volumes for these bedding material is 0.10 yd3 per linear foot. If a 15%
items are shown in Table 24.9. shrinkage factor is assumed, then the additional amount of
soil required for backfill is compensated for by the volume
Undercut of conduit and bedding.
Another adjustment to the ETO must account for the in- However, when the sizes of the trenches become larger
adequate bearing capacity of the underlying soil or other or deeper than the shallow example described above, the
bad soil conditions (e.g., high shrink/swell characteristics) amount of trench backfill should be accounted for. The
or underlying rock layers. Although a thorough subsurface backfill volume is the volume of the trench less the volume
investigation performed during early planning stages usu- of conduit and bedding plus allowance for shrinkage.
ally alerts the design team to these undesirable conditions,
small pockets of poor soil conditions and rock layers may Shrinkage
not become evident until excavation exposes them during Soil volume increases when it is displaced from its natural
construction. Nonetheless, the removal (undercut) and re- state due to the increase in the amount of voids. Relative
placement of this unsuitable material must be accounted to soil in a natural state, soil used as compacted fill has a

F IGURE 24.46 Grid method for ETO.
higher in-place density in most cases. If the same dirt ex- soil has a maximum density of 110 lbs per ft3 at optimum
cavated from a 1-ft3 hole is placed back into the hole with- moisture content (OMC).
out any compaction efforts, there will be excess dirt. Later (a) If a site requires 10,000 yd3 of fill at maximum den-
a depression appears in the hole area due to natural settle- sity, how much borrow material should be excavated?
ment. If the dirt is placed back into the hole at a density To compute soil volumes in going from borrow to fill or
higher than its natural state, there will not be enough dirt fill to borrow, recognize that density is inversely propor-
to fill the hole. With the added compaction, the amount of tional to volume, D ⬀ (1/V). The relative ratios of the bor-
voids are less than the amount of voids of the naturally row and fill densities and volumes can be expressed as
consolidated soil. Hence, the reason for the deficiency in
excavated soil volume. This apparent decrease in volume of Db V
⫽ f (24.14)
excavated soil is referred to as shrinkage. The ratio of the Df Vb
remaining volume of the excavated hole after the original
where the b and f subscripts refer to borrow or fill. There-
dirt has been replaced (with compaction) to the total vol-
fore, the required borrow volume is
ume of the hole is the shrinkage factor. The amount of
shrinkage can be measured relative to the volume of exca- 90 pcf 10,000 yd3
vated material or relative to the volume of required fill. ⫽ or Vb ⬇ 12,200 yd3 (24.15)
110 pcf Vb
To illustrate this last statement, consider a soil with a
density of 90 lbs per ft3 with 21.2% water content in its (b) How much volume will 10,000 yd3 of borrow ma-
natural state. Laboratory test results show that this same terial occupy if placed at maximum density?

TABLE 24.7 Incremental Cuts and Fills for ETO Grid Method Example
GRID AVG. CUT GRID AVG. CUT
(ROW ⫻ OR FILL FRACTION FRACTION OF (ROW ⫻ OR FILL FRACTION FRACTION OF CUT
COLUMN) DEPTH OF GRID CUT OR FILL COLUMN) DEPTH OF GRID OR FILL
(A,1) 0 0 0 (A,5) ⫹1.4 1 ⫹1.4

.....................................................................................................................
(B,1) ⫺1.8 0.8 ⫺1.4 (B,5) ⫹1.3 1 ⫹1.3
.....................................................................................................................
(C,1) ⫺2.0 1 ⫺2.0 (C,5) ⫺0.4 1 ⫺0.4
.....................................................................................................................
(D,1) ⫺2.6 0.5 ⫺1.3 (A,6) ⫺1.8 0.8 ⫺1.4
.....................................................................................................................
(A,2) ⫺0.6 0.4 ⫺0.2 (B,6) ⫺3.1 1 ⫺3.1
.....................................................................................................................
(B,2) ⫺2.4 1 ⫺2.4 (C,6) ⫺2.3 0.9 ⫺2.1
.....................................................................................................................
(C,2) ⫺3.2 1 ⫺3.2 (A,7) ⫺3.9 0.6 ⫺2.3
.....................................................................................................................
(D,2) ⫺2.0 0.4 ⫺0.8 (B,7) ⫺4.5 1 ⫺4.5
.....................................................................................................................
(A,3) ⫺0.9 0.7 ⫺0.6 (C,7) ⫺5.1 0.7 ⫺3.6
.....................................................................................................................
(B,3) ⫺2.1 1 ⫺2.1 (A,8) ⫺0.1 0.3 ⫺0.3
.....................................................................................................................
(C,3) ⫺2.2 1 ⫺2.2 (B,8) ⫺1.1 0.6 ⫺0.7
.....................................................................................................................
(D,3) ⫺1.7 0.4 ⫺0.7 (C,8) ⫺3.0 0.3 ⫺0.9
.....................................................................................................................
(A,4) ⫹0.5 0.9 ⫹0.5
.....................................................................................................................
(B,4) ⫺0.3 1 ⫺0.3 兺 Cut ⫽ 38.3 ft
.....................................................................................................................
(C,4) ⫺1.5 1 ⫺1.5 兺 Fill ⫽ 3.2 ft
.....................................................................................................................
(D,4) ⫺1.6 0.2 ⫺0.3
T A B L E 2 4 . 9 ETO Values Adjusted for

Subbase, Pavement and Concrete Thickness
CUT FILL
T A B L E 2 4 . 8 ETO Values Adjusted for VOL. VOL.
Topsoil Depth ADJUSTMENT (YD3) (YD3)
CUT FILL Gross 4096 1423
VOL. VOL. .....................................................
ADJUSTMENT (YD3) (YD3) Strip Topsoil (6ⴖ) Replacement ⫺1100 ⫹ 350
.....................................................
Gross 4096 1423 Topsoil (14ⴖ) ⫹1130 ⫺ 345
..................................................... .....................................................
Strip Topsoil (6ⴖ) ⫺1100 ⫹ 350 Building Pad (12ⴖ) ⫹ 260 ⫺ 0
..................................................... .....................................................
Replacement Topsoil (14ⴖ) ⫹1130 ⫺ 345 Pavement (10ⴖ) ⫹ 770 ⫺ 310
..................................................... .....................................................
ADJUSTED VOLUME ⫽ 4126 1428 ADJUSTED VOLUME ⫽ 5156 1118

TABLE 24.10 Tabulated ETO Values

CUT VOL. FILL VOL.
ADJUSTMENT (YD3) (YD3)
Gross 4096 1423

.....................................................................................................................
Strip Topsoil (6ⴖ) Replacement 1100 ⫹ 350
.....................................................................................................................
Topsoil (14ⴖ) ⫹1130 ⫺ 345
.....................................................................................................................
Building Pad (12ⴖ) ⫹ 260 ⫺ 0
.....................................................................................................................
Pavement (10ⴖ) ⫹ 770 ⫺ 310
.....................................................................................................................
Undercut ⫹ 0 ⫹ 0
.....................................................................................................................
Large Conduits & Structures ⫹ 0 —
.....................................................................................................................
SUBTOTAL ⫽ 5156 1118
.....................................................................................................................
Shrinkage (20%) ⫹ 224
.....................................................................................................................
NET FILL VOL. ⫽ 1342
.....................................................................................................................
NET CUT VOL. ⫽ 3814
90 pcf Vf and the amount of losses expected in hauling. In the pre-

⫽ or Vf ⬇ 8200 yd3 (24.16)
110 pcf 10,000 yd3 vious example, the natural soil density is known. In most
cases, the natural soil density is unknown and the engineer
(c) What is the relative change in volume in parts a and must use judgment in estimating the shrinkage to make an
b? adjustment. This adjustment is typically made by increasing
Part a: the amount of fill that is reusable. This accounts for the
increased amount of soil required as a result of compaction.
12,200 yd3 ⫺ 10,000 yd3
⫽ 22% (24.17) Referring back to the ETO example, the assumed shrink-
10,000 yd3 age factor is 20%. The measured fill volume is 1095 yd3.
This will require 1.2(1095) ⫽ 1314 yd3. Assuming the
Part b:
cut volume is adequate for use as compacted fill, the re-
12,200 yd3 ⫺ 10,000 yd3 sulting excess is 4560 ⫺ 1314 ⫽ 3246 yd3. This can be
⫽ 18% hauled away to be used as compacted fill elsewhere. The
12,200 yd3
remaining 3246 yd3 of excavated material will convert to
Part (c) shows that relative to the required fill volume, 0.8(3246) ⬇ 2600 yd3 of fill material.
22% more borrow material is required, and relative to a Table 24.10 shows the final tabulation to account for
given borrow volume, the material reduces only 18% in earthwork adjustments.
volume when placed at maximum density. Notice that the
borrow volume reduces by the same amount in both cases SUMMARY
(i.e. (12,200 ⫺ 10,000)/12,200 ⬇ 18% and (10,000 ⫺ Grading and siting buildings for a project requires the site
8200)/10,000 ⬇ 18%). The point here is to recognize that designer to consider many issues when developing a grad-
careful attention is warranted when specifying volumes for ing plan that is cost-effective to the builder and appealing
fill and excavation projects. Payment for fill dirt is typically to the consumer. Issues such as saving trees, optimizing
based on the amount required to fill the hole (as shown in grading, streetscape and roof lines, house type, drainage,
part a above) and not the volume of the hole itself. How- zoning ordinances and the rest are all integrated into the
ever, in most cases, the cost of doing the work is based on design. Although each item may be addressed separately,
the amount of soil excavated. Since the density of excavated the important concern is that they must be analyzed col-
soil is less than its natural-state density, allowances must be lectively after the design is complete. Many times the de-
made for computing haul quantities. signer will adjust a site to address a single issue. In doing
Typical shrinkage factors may range from 10% to 30% so, several other issues undoubtedly will be affected—
depending on the type of soil, the amount of compaction usually adversely. The designer must collectively reanalyze

the site to be sure that the small, single adjustment does Landphair, Harlow C., and Fred Klatt, Jr., Landscape Architecture
not cause a conflict with any other item. Construction, Elsevier, New York, 1979.
Nelischer, Maurice, ed., Handbook of Landscape Architectural
Construction, Vol. I, 2e., Landscape Architecture Foundation,
REFERENCES 1985.
Brown, Thomas L., Site Engineering for Developers and Builders, Robinette, Gary O., and Charles McClennon, Landscape Planning
National Association of Home Builders, Washington, D.C., 1988. for Energy Conservation, Van Nostrand Reinhold, New York,
1983.
Department of Housing and Urban Development, Final Fair
Strom, Steven, and Kurt Nathan, Site Engineering For Landscape
Housing Accessibility Guidelines, Federal Register, Vol. 56, No.
Architects, Van Nostrand Reinhold, New York, 1985.
44; 3 / 6 / 91.
Untermann, Richard K., Principles and Practices of Grading,
Harris, C., and N. Dines, Times Saver Standards for Landscape Ar- Drainage and Road Alignment, Reston Publishing, Reston, Va.,
chitecture, McGraw-Hill, New York, 1988. 1978.
Harrison, Henry S., Houses: The Illustrated Guide To Construction U.S. Architectural & Transportation Barriers Compliance Board,
Design and Systems, Realtors National Marketing Institute, Chi- Accessibility Guidelines for Buildings and Facilities, Federal Reg-
cago, 1973. ister, Vol. 56, No. 144; 7 / 26 / 91.


CHAPTER 25
WASTEWATER COLLECTION
Ernest Jennelle, PhD., P.E.
OVERVIEW collected in many sanitary sewer systems received little or

Proper management of wastewater is one of the most im- no treatment prior to its discharge into surface waters at
portant factors for insuring the general health of a com- that time.
munity and its surface water quality. Much has been written The U.S. Public Health Service was the federal agency
about the early sewer systems, such as the underground responsible for water quality related matters prior to estab-
drains installed in ancient Rome, but these early sewer sys- lishment of the Federal Water Quality Administration in
tems were generally storm drains. In most urban areas, it 1968. This agency later became the Environmental Protec-
was unlawful to discharge sanitary sewage into these drains tion Agency. It should also be noted that at this time federal
agencies had little control over intrastate matters related to
prior to the mid 1800s. Thus, the history of sanitary sewers
the environment. The U.S. Public Health Service, private
only covers the period from the mid-1880s to the present.
organizations and universities in the United States, Great
Major construction of sewer systems in many commu-
Britain and Europe were conducting research and studies
nities occurred during the 1930s period of economic de-
related to stream water quality and water borne diseases as
pression as a part of the Federal Government Works
early as the last half of the nineteenth century. One of the
Progress Administration (WPA) program. Many smaller
most significant contributions to water quality knowledge
communities obtained their first central sewer system and
in the first half of this century is the work of two U.S. Public
sewage treatment facilities as a part of this program. This Health Service officers, which was published in 1925, on
was the first significant period of sanitary sewer construc- the analysis of the oxygen balance in streams. This classical
tion in this country. This period was also noted for the work of Streeter and Phelps remains the basis for modeling
significant increase in the popularity of indoor plumbing. stream quality today.
World War II was a period of both urban and industrial It was only after World War II that the individual states
growth throughout the United States. At the end of the war, began to establish agencies and enforce regulations con-
many segments of surface streams were excessively pol- trolling surface water pollution. The Water Quality Act of
luted. Two of the reasons for the degradation of so many 1972 (P.L. 92-500) was the first legislation giving the Fed-
segments of streams were the substantial increase in the eral Government authority to set requirements and enforce
discharge of untreated industrial wastes and pollution from standards on a national basis. This legislation, together with
untreated overflow from combined sewers. Many older ur- the federal funding for water quality programs and facilities,
ban areas installed storm drains prior to the time of wide- has changed the quality of sewer system design and con-
spread adoption of indoor plumbing. When indoor struction.
plumbing became fashionable, the building sewers were A primary limitation to the effectiveness of any water
connected into the existing storm drains. These ‘‘combined’’ pollution control program prior to the 1970s was the poor
sewer systems generally drained directly, without treatment quality of sewage collection systems. Most community
of the flow, to the nearest watercourse. Also, the wastewater sewer systems were in a state of disrepair because of the
595
lack of suitable materials for use in construction, poor con- ignated as domestic, industrial or storm to indicate the
struction practices and poor maintenance. From 1950 to source. Domestic sewage is also called sanitary sewage or
1970, while significant progress was made in the construc- wastewater.
tion of sewage treatment facilities, most sewer systems, House (building) Spur or Lateral. The conduit between
pumping stations and treatment facilities were still subject the building foundation and the sewer owned and main-
to flooding, overflow and bypassing of flow particularly tained by the local utility. The uppermost segments of a
during wet periods. sewer system may also be designated as a lateral (where no
Segments of some sewer systems, primarily in older other public sewer discharges into the segment). It is com-
larger communities, are still combined sewers. Thus, during mon practice for the local utilities to maintain the building
wet periods, overflow and bypassing may occur with these lateral segment between the public sewer and the property
systems. Federal and state programs are attempting to cor- line.
rect these conditions, as funds become available. Submain, Main and Trunk Sewers. These terms are used
P.L. 92-500 provided for establishing regulations and subjectively in defining the type of sewer. Trunk sewers are
timetables for eliminating pollution on a uniform national generally the main conduits receiving the flow from a large
basis. To accomplish these new goals, it became necessary area and would include the flow from several submain and
to design proper reliability into new sewer systems and to main sewers.
rehabilitate existing sewers. This meant using suitable con- Interceptor Sewers. A conduit that intercepts other sew-
struction materials and methods. The engineers of today ers, such as the sewer routed along a stream and inter-
have suitable materials and technology to design and con- cepting sewers in the collecting system.
struct sewer systems that will eliminate problems with both Outfall Sewer. The conduit between the treatment facility
infiltration and exfiltration. New sewers, when designed and the receiving body of water. The trunk sewer between
and constructed to today’s technological standards, should the collection sewers and the treatment facility is also often
provide reliable service for many years. designated as an outfall sewer.
The design engineer now has several choices of suitable Combined Sewers. A combined sewer refers to the older
pipe material for use in sewer construction that will provide systems where the initial drainage was storm drainage. Be-
long service and near 100% exclusion of both infiltration fore the mid-1900s it was not uncommon for sanitary sew-
and exfiltration. Proven design procedures are available to ers to be connected to existing storm sewers. Thus, the
the engineer for sizing and routing of sewers to ensure that sewers conveyed combined sanitary and storm wastewater
the completed project will properly serve the contributing and were designated as combined sewers. These combined
area. The design engineer must be thoroughly familiar with sewers generally discharged directly to a nearby body of
federal, state and local laws and regulations before pro- water without treatment. Since all wastewater is now treated
ceeding with a design. prior to discharge, combined sewers are no longer con-
This chapter presents material that, when properly ap- structed. Separate sewers are being constructed for collect-
plied, will result in a reliable and effective sewer system ing sanitary sewage in localities where combined sewers
design. exist, as funds become available for the design and con-
struction.
Glossary of Terms Manhole. An opening to a sewer for inspection and main-
This glossary includes common terms used in regard to tenance. Manholes are generally placed at all sewer inter-
sewer systems. Many other terms are defined in the text as sections, at all changes in alignment and grade of a sewer
they are used. system and at least every 400 ft. The manhole structure
Sewer. A conduit for conveying wastewater. Sewers may usually consists of a vertical 4-ft in diameter barrel section,
be designated as sanitary, industrial or storm depending on a top cone section reducing the circular opening to two ft,
the type of flow being conveyed. Sanitary sewers convey and a cast iron frame and cover having a two-ft opening.
sanitary sewage that originates in a community. All the Infiltration and Inflow. Infiltration is ground water that
wastewater flow from a community including the flow from enters the sewer system. An infiltration problem results
residential areas, from commercial areas and from normal from broken and cracked sewers, from poor pipe material
community industry such as laundries, restaurants, and ser- and poor joints and from poorly constructed manholes. Ad-
vice stations is designated as domestic wastewater. Sanitary ditionally, concrete and clay pipes are semi-pervious. So-
sewers are generally closed circular conduits. They are de- called ‘‘barrel weeping’’ is a principal source of infiltration
signed such that the hydraulic gradient is below the inside in sewer systems employing these materials. Local design
crown of the conduit (see section on the hydraulics of sew- standards generally limit infiltration to less than 100 gallons
ers). per day per inch-mile of sewer (length of sewer line in miles
Sewage (Wastewater). The liquid conveyed by a sewer. multiplied by the diameter in inches). However, the engi-
The water carriage system used to convey waste from the neer now has several excellent sewer pipe materials avail-
community is called sewage. The term ‘‘wastewater’’ is now able that should provide a completely waterproof line when
the more familiar term for this flow. Sewage may be des- properly installed.

25 䡲 WASTEWATER COLLECTION 597
Inflow is surface water that enters the sewer system. The The owner should arrange proper financing for the pro-
principal sources of inflow include inundation of manholes ject early in the planning stage. In many instances, the pri-
and unauthorized connections. Unauthorized connections vate owner will commission an attorney to provide legal
can include building downspouts, area drains and other services related to zoning and other jurisdictional approvals
connections of storm sewer to the sewer system. Ideally, all prior to commissioning the engineering design. When the
storm or surface water should be excluded from sanitary local government or utility is the owner, funds will have
sewers. Sewage collection and treatment capacity is a val- been budgeted for the phase of the work to be completed
uable resource to a community, and the local utility should prior to commissioning the design.
no longer permit this capacity to be consumed by infiltra- Legal Counsel. As noted above, legal counsel is generally
tion and inflow. needed by the private owner early in the planning stage of
Exfiltration. The seepage of sewage from the sewer system a project. Legal counsel provides direction to the project
into the surrounding soil. Exfiltration may result from the with respect to property rights, zoning requirements, etc.
same physical conditions as listed above for infiltration. In- In most urban areas, attorneys can be found who specialize
filtration may occur when the water table is above the sewer in legal requirements and procedures for land development.
elevation, and exfiltration may occur when the water table Engineer. The engineering firm offering services in sewer
is below the elevation of the sewer. design will generally be staffed to provide complete profes-
Wastewater Treatment. Any controlled process for re- sional services, including both surveying and engineering.
moving the pollutional constituents from wastewater and Thus, the term ‘‘engineer’’ as used herein refers to an or-
the proper management of the residuals removed. The type ganization that offers consulting services capable of han-
of process employed depends on the characteristic of the dling the project from the beginning through the
pollutants to be removed and the treatment level required. completion of construction and acceptance by the owner.
Sewerage. Sewage works, including the facilities for the Regulatory Agencies. The engineer must be knowledge-
collection and conveying of sewage. able in the laws and regulations related to the project. It is
common for sewerage projects to be under both state and
local regulations. One or both levels of government may
Parties Involved In the Planning and Design of Sewer
review the plans and specifications and issue a permit for
Systems
construction. Generally the plan reviewing agencies will in-
The design of any sewer system always involves several par- spect the completed project before it is placed in operation.
ties. Input from all affected parties should be organized Most reviewing agencies also have minimum design stan-
early in the design. The design engineer must be familiar dards that must be followed. These standards represent
with the local, state and federal laws and regulations as they good minimum design practice and also insure uniformity
apply to the proposed design. The local government and throughout the sewer system, which is important to the
often a state agency will have to approve the design and maintenance staff. It is critical that the engineer be well
issue a permit for construction. Also, it is important to de- informed on all local design standards and procedures.
termine if the downstream segments of the sewer system Contractor. The engineer prepares the contract docu-
and the treatment facilities that will receive the flow have ments, plans and specifications. The forms for the contract
adequate capacity. If not, a treatment plant and disposal of documents and the general specifications generally come
the treated effluent must be a part of the planning phase. from standards adopted by the local utility or from standard
The general responsibilities of the principal parties are dis- sources, such as the National Society of Professional Engi-
cussed below. neers and the American Society of Civil Engineers. The en-
Sewer system planning and design will normally be a gineer prepares the technical sections of the specifications
part of the overall project plans. The overall project plans specifically for the project. The engineer generally assists
should show all infrastructure, and the construction con- the owner in advertising the project for construction, in
tract should provide for coordination of all utilities to be evaluation of bids, in selecting the contractor and in the
constructed. award of a contract for construction. The engineer generally
Owner. The owner is the party that initiates the project. represents the owner in relations with the contractor. The
The owner may be a local government or utility or it may contractor is responsible for constructing the project in ac-
be a landowner or developer. Regulations vary, with some cordance with the plans and specifications.
utilities taking the responsibility for the design and con-
struction of all sewers constructed within their jurisdiction,
DESIGN OF SEWER SYSTEMS
while the landowner or developer pays the cost of the ex-
tensions. Other utilities permit the landowner or developer Characteristics of Sewage
to design and construct the sewers, after which they are Sewage is a water transport means of conveying wastes from
dedicated to the utility. In both instances, the local govern- the source. Domestic sewage conveys wastes from dwellings
ment or utility may have design standards with which the and the normal business, commercial and industrial activ-
engineer must comply. ities associated with any community, such as restaurants,

laundries and service stations. Sewage also contains the dis- Table 25.1 presents information on the range of strength-
solved inert chemicals from the water supply as well as related parameters for domestic sewage that may be of in-
dissolved and suspended organic matter from the sources. terest to the sewer design engineer. Textbooks and other
The primary source of the material in sewage is the bath- sources present more detailed analyses of sewage, as would
room, kitchen and laundry. Sewage also contains very high be of interest in the design of treatment works.
concentrations of bacteria and viruses. Sewage should al-
ways be considered as being a source of enteric pathogens. Quantity of Sewage
Since sewage behaves hydraulically as water, the design All wastewater management facilities should be designed to
engineer is only concerned with the composition of sewage serve the needs of the contributing area for some time into
when it contains substances that may be damaging to the the future. The design engineer for a wastewater treatment
sewer system or maintenance personnel. Principal sub- facility may use several methods for determining future de-
stances of concern include those that are corrosive, present sign populations. These methods will always include pop-
potential fire or explosive hazards, emit toxic fumes or in- ulation projections for the design period. In sewer design,
terfere with downstream wastewater treatment. Normal do- the engineer needs to know the area to be sewered and the
mestic sewage does not contain hazardous constituents developed density. The developed density will depend on
other than pathogens. However, poor design or construc- the planned or zoned activity. The area to be served can be
tion can create hazards. The accumulation of solids can reestablished from available maps or from field surveys. Most
sult in the creation of odors as well as corrosive and toxic areas subject to being sewered should be included in a com-
gases from the decomposition of the solids. prehensive plan or have been zoned for a specific land use.
Domestic sewage is more than 99.9% water and gener- The use of this information permits the design engineer to
ally between 0.05% to 0.075% dissolved and suspended establish sewage flow for an area at complete development.
solids. The broad classification ‘‘strength’’ is used to indicate This information can then be used to establish sewage flow
the level of organic matter in sewage. A weak sewage gen- for each segment of the sewer to be designed. Sewers are
erally results from high infiltration to the sewer system. A normally designed to sewer the tributary land area at com-
strong sewage indicates the presence of industrial wastes. plete development. Specific conditions, such as political
There is little difference in sewage strength that is related boundaries or land use planning, may also dictate the de-
to living standards. sign area. It is important to design a sewer with sufficient
The two most important parameters for defining the capacity to serve the area for at least 25 years. Regulations
strength of sewage are the biochemical oxygen demand of the local utility may control the area to be included in
(BOD) and suspended solids concentration. BOD is a mea- the design and the design requirements.
sure of the amount of organic matter present, expressed in Most states and many local utilities have established
terms of the oxygen required to biologically oxidize the ma- minimum design standards for sewers. The engineer must
terial to a stable form. A five-day period is generally used be familiar with the requirements for the area where the
for the test. Thus, the 5-day BOD is an expression for the sewer will be installed. Table 25.2 and Table 25.3 present
strength of sewage. The use of a broad test of this type is data that may be used in the absence of any local require-
necessary because sewage is a mixture of many organic ment. Table 25.2 presents the requirements of Fairfax
compounds, making it nearly impossible to conduct a com- County, VA. Table 25.3 is taken from the sewage regulations
plete chemical analysis. Furthermore, many of the com- of the Virginia Department of Health. No separate allowance
pounds present are partly refractory to biological oxidation, is needed for infiltration if the design and construction
making a chemical analysis meaningless. The BOD test keeps this source of flow below 100 gpd/in-mile of pipe.
measures the strength in a manner that most nearly repre-
sents treatment accomplishment and potential impact of the Variation in Sewage Flow
flow on the receiving body of water. Sewage flow from commercial, business and industrial es-
Suspended solids concentration is also an important tablishments are generated during the operating hours. Very
characteristic of domestic sewage. The sewer system must little flow is generated from many of these sources between
be designed to transport the solids. Suspended solids also late evening and early morning, as well as on weekends and
represent a load to the treatment plant. Solids not removed holidays.
in the treatment process may accumulate on the bottom of Sewage flow from residential areas is associated with ac-
the receiving stream, creating a pollution problem. The sus- tivities in the homes, with peak flows occurring generally
pended solids in domestic sewage are generally more than from 7 to 10 A.M. and in the evening between 6 and 10
80% organic matter. These solids originate from fecal ma- P.M. Peak flow hours will vary somewhat for different sec-
terial, laundry and kitchen wastes. Sewage will contain tions of the country, as they depend on the living habits of
some organic material from laundry and kitchen wastes. the community. Figure 25.1 shows a typical daily variation
Inorganic matter also originates from washing vegetables in sewage flow for a home. The sewage flow from a home
and from laundry wastes. Inorganic suspended material is will be very close to the rate of water use. However, sewage
known as grit or fixed solids. flow in a sewer system will differ from the rate of water use

TABLE 25.1 Strength of Sewage in mg/L

CONSTITUENT
WEAK NORMAL STRONG
Total Solids* 400 700 1000

.....................................................................................................................
Suspended Solids 100 200 350
.....................................................................................................................
5-Day BOD 100 200 400
* Total solids includes the dissolved inorganic material from the water supply
in two distinct ways. The peaks in sewage flow are less The design engineer must design sewers to accommo-
pronounced because the time of concentration to a mea- date peak flows. Table 25.2 and Table 25.3 provide infor-
suring point will be different for different segments of the mation on daily rates of sewage flow generation. A peak
system. For example, flow from a section of the community factor is used to account for the differences in the average
that is 0.25 miles away will reach the measuring point after daily flow and the instantaneous flow. Nominal infiltration
the flow from 0.10 mile away has passed. The peak sewage and inflow is accounted for by the daily flow quantities
flow at a treatment plant will occur some time after the shown in Table 25.2 and Table 25.3. The table values are
peak demand on the water supply because of the flow time considered to be high for properly constructed sewers. No
in the sewer. The water supply is a pressure system and a additional allowance needs to be made for infiltration and
demand is placed on the source at the instant water is inflow. These average daily flows shown in Table 25.2 and
drawn at a faucet. Thus, peaks in flow in a sewer system Table 25.3 must be adjusted for peak flow rates for use in
occur later than what is shown in Figure 25.1 and will be designing a sewer. The periods of minimum flow are gen-
less pronounced. The actual conditions will depend on the erally not of a concern in sewer design.
size and configuration of the sewer system. Note from Fig- Some local utilities have developed or adopted from
ure 25.1 that water use drops to near zero from about mid- other sources regulations for establishing peak flow. Most,
night until about 6 A.M. Flow in a sewer system during if not all, states also have minimum standards. Most equa-
these hours will be primarily infiltration, except for some tions for calculating a peak factor are based on population.
industrial and business areas. Two such equations are given below.
TABLE 25.2 Recommended Average Design Flows from the Requirements

of Fairfax County, Virginia
TYPE OF DEVELOPMENT DESIGN FLOW (gpd)
Residential:
General 100/person
Single-family 370/residence
.....................................................................................................................
Townhouse 300/unit
.....................................................................................................................
Apartment unit 300/unit
.....................................................................................................................
Commercial: General 2000/acre
Motel 130/unit
Office 30/employee
0.20/net square feet
.....................................................................................................................
Industrial: General 10,000/acre
Warehouse* 600/acre
.....................................................................................................................
School Site: General 16/student
* Varies with type of industry

TABLE 25.3 Recommended Design Flows as Required by the Regulations of Virginia

SOURCE OF FLOW DESIGN UNITS FLOW (gpd)
Dwellings Per person 100

.....................................................................................................................
Schools with showers Per person 16
and cafeteria
.....................................................................................................................
Schools without showers Per person 10
and cafeteria
.....................................................................................................................
Boarding schools Per person 75
.....................................................................................................................
Motels (rooms only) Per room 130
.....................................................................................................................
Trailer courts Per trailer 300
.....................................................................................................................
Restaurants Per seat 50
.....................................................................................................................
Interstate or Per seat 180
through restaurant
.....................................................................................................................
Factories Per person 15–35
.....................................................................................................................
Hospitals Per bed 300
.....................................................................................................................
Nursing homes Per bed 200
.....................................................................................................................
Doctors’ offices Per 1000 square feet 500
.....................................................................................................................
Laundromats Per machine 500
.....................................................................................................................
Community colleges Per person 15
.....................................................................................................................
Swimming pools Per swimmer 10
.....................................................................................................................
Theaters Per seat 5
.....................................................................................................................
Picnic/park areas Per person 5
.....................................................................................................................
Camps with flush toilets Per camp site 100
The above flows are considered to be adequate to include limited infiltration.
State and local utility regulations are generally considered as being minimum design conditions.
* Waterworks Regulations, Va. Dept. of Health (1993).
5 Hydraulics of Sewers
Peak Factor ⫽ (25.1)
p 0.2 Sewage is considered to have the same hydraulic charac-
14 teristics as water. It is an incompressible fluid having vis-
Peak Factor ⫽ 1 ⫹ (25.2) cous properties similar to water. Both gravity sewers and
4 ⫹ p 0.5
force mains are generally designed as circular pipes flowing
where p is the contributing population in thousands. The full. Design practice also assumes that the flow is steady
peak factor should be limited to a maximum value of 5 and and uniform for each segment of pipe. In instances where
a minimum value of 2.5. building connections are adding flow to a segment of line,
A more useful approach in sewer design is the use of the flow at the downstream end of the segment is used for
curves to establish the peak factor. This type of curve is the design of the entire segment. A manhole should be in-
shown in Figure 25.2 and Figure 25.3. The average daily stalled where sewers other than building laterals connect to
flow that has been calculated by using the tributary area the line being designed. Design segments always run from
and appropriate densities is then multiplied by the peak manhole to manhole. Uniform flow applies when the cross-
factor to establish the design flow for use in sewer design. sectional area and slope of the segment are constant
F IGURE 25.1 Hourly variation of sewage flow.
throughout the length. Manholes are located at all changes in cubic ft per second (cfs), A is the cross-sectional area of
in slope and pipe diameter. flow in square ft (sq ft or ft2) and V is the velocity of flow
The flow rate is equal to the cross-sectional area of flow at the section in ft per second (fps).
times the velocity at the section. This is expressed by the If the flow is steady and uniform as generally assumed,
continuity equation, the continuity equation is applicable and Eq. (25.4) applies.
Q ⫽ AV (25.3) Q ⫽ A1V1 ⫽ A2V2 ⫽ A3V3 䡠䡠䡠 AnVn (25.4)
where Q is the quantity of flow passing the reference point According to the principle of conservation of mass, mass
F IGURE 25.2 Peak-flow curve 0–1.0 MGD.
F IGURE 25.3 Peak-flow curve 1.0 and greater MGD.
can be neither created nor destroyed. Since Q remains con- V2

stant along a segment of sewer having a constant slope and H ⫽ Velocity Head ⫽ (25.5)
2g
diameter, the velocity remains constant.
The energy of a particle of mass is the sum of the po- where velocity head, H, is in feet ⫽ position energy equiv-
sition of the particle plus the momentum of the particle. In alent of the momentum, V is the velocity of flow in ft/sec,
a homogenous fluid, all particles in the fluid at a reference and g is the acceleration of gravity in ft/sec2. A line that
section have the same position energy (a particle at any connects the values of position energy at various points
depth has the same energy as any particle at the surface). along a segment of sewer is called the ‘‘Hydraulic Grade
The position energy for open channel flow is the water sur- Line’’ (HGL). The line connecting the total energy values,
face. The position energy for a closed conduit under pres- which are the sum of the momentum (velocity head) plus
sure, such as a sewage force main, is the surface to which position energy, is called the ‘‘Energy Grade Line’’ (EGL).
the liquid would rise if a vertical open tube were inserted Under steady, uniform flow conditions, the two lines are
in the top of the conduit. The pressure is indicated by the parallel and separated by a distance equal to the velocity
height of the water column above the center of the conduit head of the flow. This is shown in Figure 25.4-(a) and (b).
and is known as pressure head. This is shown in Figure The slope of the two lines is the rate of energy loss or energy
25.4. gradient, and the drop in the lines over a length L is the
The momentum of a fluid particle is called velocity head. energy loss, also known as head loss or friction loss. Under
When a fluid moves from a stationary state to a moving gravity flow conditions, the HGL and EGL are parallel to
state, some position energy is converted to momentum en- the sewer invert (lowest line of flow). Sewers are, therefore,
ergy. This velocity head is defined as designed and constructed on the basis of invert elevation.

F IGURE 25.4 HGL and EGL for gravity flow (a); HGL and EGL for pressure flow (b).
A pump is a means of imparting energy to a flow. This jacent layer. There is zero movement at the conduit wall
added energy is generally expressed in feet and is the height under laminar flow conditions. The resistance to movement
that the energy grade line is raised by the pump. This is is the viscosity of the fluid. Viscosity is due to cohesion and
shown in Figure 25.5. interaction between adjacent fluid molecules. The resistance
Flow of fluid in a conduit may be defined as being lam- to movement is an irrecoverable energy loss that is dissi-
inar or turbulent. Laminar flow is flow of molecular layers pated as heat. For laminar flow, the rate of energy loss is a
of fluid where one layer is moving with respect to the ad- function of the fluid and the velocity of the fluid and not
related to type of pipe material. This resistance to move-
ment is represented by the hydraulic gradient.
The type of flow present is defined by the Reynolds
Number NR
DV␳
NR ⫽ (25.6)
␮
where D ⫽ diameter of conduit in ft, V ⫽ velocity of flow

in ft/sec, ␳ ⫽ fluid mass density in lbs-sec2 /ft4, and ␮ ⫽
shear between fluid layers in lbs-sec/ft2.
For laminar flow, the friction factor is related directly to
the Reynolds number. The upper limit of the Reynolds
number for laminar flow of water is 4000. In order to give
you a frame of reference, water, flowing at a velocity of 2
fps and having a temperature of 68⬚, in an 8-in. pipe has
a Reynolds number of 50,000. This indicates that the flow
is well within a turbulent flow regime, as is always the case
for water and sewage flow in conduits. In sewers, the fluid
F IGURE 25.5 Change in HGL and EGL by a pump. particles move in a heterogeneous manner, causing a com-

plete mixing of the fluid. This movement or turbulence is coefficient, R ⫽ hydraulic radius ⫽ area/wetted perimeter,
primarily created at the conduit wall by the roughness of S ⫽ the slope of the HGL (hydraulic gradient) in ft/ft ⫽
the surface and by shear forces between the wall and the HL /L, and HL ⫽ head loss ⫽ the drop in the HGL in feet
moving fluid. The conduit wall roughness and the shear per length of sewer L.
forces generate turbulence vortices that move out from the The Manning Coefficient n must be selected by the en-
wall, where they are subsequently dissipated by viscous at- gineer. Selection is based on the type of pipe being em-
trition with other fluid particles. This generation and dis- ployed in the design, giving consideration to condition of
sipation of turbulence consumes energy, which is converted the pipe at the end of the design period.
to heat. The energy dissipated within the flow is lost as Since Q ⫽ AV,
冉冊
heat. This loss is known as head loss or friction loss. As
was noted for laminar flow, the slope of the HGL and EGL 1.486 2 / 3 1 / 2
Q⫽A R S (25.8)
shows the rate of energy loss along a length of conduit. The n
drop in the HGL over a length of conduit is the amount of
friction loss. In turbulent flow, the conduit wall roughness is the prin-
The roughness of the conduit interior wall is of signifi- cipal condition that determines the intensity of turbulent
cant importance in any hydraulic design. Pipe manufactur- vortices generated and, hence, the energy loss associated
ers strive to produce a pipe having a very smooth wall therewith. The Manning coefficient or ‘‘friction factor’’ is
surface, as this is an important item in marketing the prod- found in catalogue material supplied by pipe manufactur-
uct. The smoother the pipe wall, the less turbulence gen- ers, as well as in texts on hydraulics and related subjects.
erated and, hence, the less energy loss in the flow. Most A value of 0.013 is generally used in sewer design. The
pipe marketed today is classified as smooth pipe. Manning equation may be arranged to calculate the head
The hydraulic design of a sewer system requires a pro- loss for a length of sewer L as follows:
冋册
cedure for determining the rate of energy loss. A number 2
VnL1 / 2
of equations have been developed for this purpose. Most of HL ⫽ (25.9)
the equations were developed empirically from field or lab- 1.486 R 2 / 3
oratory data, but some have been developed by dimensional
Information available from pipe suppliers may indicate
analysis. Since the head loss depends on the level of tur-
that a Manning n value as low as 0.009 is appropriate for
bulent vortices generated at the conduit wall, all calcula-
their product. This would indicate that for a required ve-
tions of head loss must relate to the type, height and
locity and capacity the required slope of the HGL would be
spacing of roughness protrusions on the pipe surface. These
reduced 48% from that for an n value of 0.013.
conduit characteristics depend on the type of pipe material
selected. Pipe manufacturing is sufficiently developed to
where the engineer can expect all pipe of a given material
to be of uniform quality. Furthermore, since most if not all
冋册
.009
.013
2
⫻ 100 ⫽ 48% (25.10)
pipe presently available can be considered as being smooth Or, for a constant hydraulic gradient (HGL slope), the
wall, the engineer needs to consider other characteristics velocity and capacity would be increased 44.4% (0.013/
when selecting the pipe material to be included in the con- 0.009 ⫽ 1.444). A Manning coefficient of 0.013 is conser-
struction. These include resistance to deterioration, ease of vative for smooth wall pipe available for sewer construction.
handling and laying, cost and availability. The characteris- This value of n is recommended and generally used because
tics of new pipe should not be used in design because all its use allows for erosion of the pipe wall, slime build up
pipe material will deteriorate with age and use. There will and other minor obstructions to flow. These forms of pipe
be erosion of the surface, growth of slimes on the surface deterioration, resulting in reduction of capacity, occur over
and accumulation of solids with use and aging. Sewers time. A sewer pipe material should give reliable service for
should be designed to function properly at the end of the at least 50 years. Other useful relationships for the Manning
design life. equation for a given diameter of conduit include:
There are several equations available for determining
friction loss in sewer conduits. The ‘‘Manning Equation’’ is Q1/Q2 ⫽ n2/n1 (25.11)
by far the most widely used. This empirical equation is
accepted by all reviewing agencies. It is generally the only where n is a constant.
冋册
equation used by pipe suppliers in marketing material. Ve- 2
V1 H1
locity is defined in open channel flow by the Manning ⫽ (25.12)
Equation as V2 H2
1.486 2 / 3 1 / 2 Since all pipe material used in sewer construction is es-

V⫽ R S (25.7) sentially smooth wall, there will be little difference in the
n
pipe roughness and, hence, in the value of n to be used in
where V ⫽ the velocity of flow in ft/sec, n ⫽ the Manning a design for different pipe material. The selection of the type

of pipe to be used in a design and included in the contract Therefore, a sewer under gravity flow will never flow full
specifications as being acceptable for use in construction because the flow will by natural law flow at the lower en-
should be based on the long-term serviceability of the pipe ergy (energy of flow ⫽ surface elevation plus momentum).
material. Serviceability factors should include expected Any sewer flowing at greater than 0.8 depth is being sur-
useful life, resistance to problems with infiltration, ease charged by a downstream obstruction. Since the velocity of
of installation, resistance to corrosion and erosion, and flow at the 0.8 depth is about 14% greater than at full flow,
maintenance requirements. First cost alone should not be the hydraulic gradient required to achieve the equivalent
the determining factor. full depth capacity is reduced. However, it is not common
Gravity sewers are designed to flow full at the design to design for the 0.8 depth conditions.
peak flow. Figure 25.6 presents the hydraulic properties of Sewers will flow at less than 50% of full capacity most
circular sewers for all depths of flow. As shown by the Man- of the time. At 50% capacity, the depth of flow and velocity
ning equation, one of the factors influencing the velocity or is also 50% of full flow conditions. Sewers should be de-
capacity is the hydraulic radius R (area/wetted perimeter). signed to provide a minimum velocity of 2.0 to 2.25 fps at
The area of flow and the corresponding wetted perimeter full flow. A full flow velocity of 2.25 fps will ensure a scour-
do not vary uniformly with depth of flow. As shown by ing velocity of 1.0 fps at about 11% of full flow (see Figure
Figure 25.6, the hydraulic radius is greatest at 0.8 of full 25.6). A scouring velocity of 1.0 fps is considered adequate
flow depth. The velocity will also be the greatest at 0.8 of to prevent deposition of solids.
full depth. While the cross-section area of flow is maximum Various forms of nomographs and slide rules are avail-
at full depth, flow Q ⫽ AV and the maximum product of able for solving the Manning equation. These devices are
A and V is at 0.94 depth as shown by Figure 25.6. The normally used in sewer design to facilitate solving the equa-
capacity at the 0.8 depth is the same as for the full depth. tion. A typical nomograph is shown in Figure 25.7. The
F IGURE 25.6 Nomograph of selected hydraulic elements for circular pipe flowing partially full.

F IGURE 2 5 . 7 Nomograph for solving the Manning equation. From Design and Construction of Sanitary and Storm Sewers, Manual of Practice
No. 9, ASCE 1969. Reprinted with permission from the American Society of Civil Engineers, New York, New York.
nomograph includes lines for five hydraulic elements and Figure 25.7, knowing Q and D, find V ⫽ 2.9 fps.
a pivot line. The continuity equation (Q ⫽ AV) may be Knowing D, Q gives pivot point, with n ⫽ 0.013,
solved by knowing two of three terms and finding the third S ⫽ 0.0019.
from the nomograph without using the pivot line. The right (b) What is the depth and velocity for the pipe
side of the pivot line includes n, V, and S. Knowing two of in part (a) when the flow is 0.4 cfs? Knowing
the three will establish the pivot point, from which knowing Q/ Q-full ⫽ 0.4/1.0 ⫽ 0.4 and using Figure 11.6,
Q or D permits finding the other. Likewise, Q and D can depth of flow ⫽ 43% of 8 in. ⫽ 3.44 in., velocity ⫽
be used to establish the pivot point, and knowing either n 95% of V-full ⫽ 2.75 fps.
or S will permit solving for the other.
There are several types of design aids in addition to the
E X A M P L E P R O B L E M (a) What is the slope nomographs shown as Figure 25.7 and Figure 25.29 for
and velocity of an 8-in. pipe carrying 1 cfs? Using use in solving both the Manning and the Hazen-Williams

and line sizes greater than 12 in. are seldom needed except
T A B L E 2 5 . 4 Common
for main or trunk sewers. An 8-in. diameter sewer is con-
Conversion Factors sidered the minimum size line in public sewer design.
1 cfs ⫽ 449 gpm Pipe Materials and Loads on Buried Conduits
.....................................................
1 cu ft ⫽ 7.48 gallons The engineer now has several excellent types of pipe ma-
.....................................................
terial available for use in sewer construction. It is important
1 MGD ⫽ 1.55 cfs ⫽ 695 gpm that the proper selection be made for the specific installa-
.....................................................
1 gal ⫽ 231 cu in ⫽ 8.34 lbs tion conditions. Pipe materials are classified as being either
..................................................... flexible or rigid. Pipe manufactured from materials such as
1 cu ft ⫽ 62.4 lbs concrete and vitrified clay are classified as rigid wall pipe.
.....................................................
A deflection of the wall of a rigid wall pipe will result in
Pressure ⫽ 62.4/144 ⫽ .433 psi per foot of water pipe failure. The most common type of flexible pipe is pol-
yvinyl chloride (PVC), which is widely used in both sewer
and water line construction. A limited wall deflection of a
equations. These include special nomographs and various flexible wall pipe does not reduce the serviceability of the
forms of slide rules. The conventional type nomograph as conduit. Ductile iron is also a flexible pipe material.
shown in Figure 25.7 and the slide rule types are generally Rigid pipe is classified on the basis of bursting strength,
preferred by design engineers. Some pipe suppliers may and for pressure pipe the internal pressure rating is also
provide these design aids. Some common conversion rela- included. The bursting strength is established by standard
tionships for water are shown in Table 25.4. Some common tests and is provided by the manufacturer in pounds of
design relationships from using the Manning equation are external vertical force per foot of pipe. It is listed as the
shown in Table 25.5. three-edge bearing strength that reflects the type of standard
The data in Table 25.5 show that an 8-in. sewer installed test procedure. Pipe is designed to withstand both the in-
to provide a minimum velocity of 2.0 fps has a capacity of ternal pressure and the external loading simultaneously. The
314 gpm (0.45 mgd). This flow would be subject to a peak manufactured wall thickness is adjusted to provide the re-
factor of 5 (see Figure 25.2), giving an average design flow quired strength. The engineer should have library catalog
of 63 gpm or 90,700 gpd. At a per dwelling unit daily flow data available for the types of pipe material being consid-
of 370 gallons (see Table 25.2), this 8-in. sewer will serve ered for incorporation into a design. The strength of rigid
243 housing units. Likewise, a 10-in. sewer will serve 389 pressure pipe will be shown by pipe class, such as Classes
single-family units (note that the peak flow factor for the 150, 200, etc.
10-in. line capacity of 489 gpm (0.7 mgd) is 4.8. A 12-in. Gravity flow sewer pipe is designed to withstand external
sewer will serve 633 single-family units. Velocities greater pressure loadings. Rigid wall pipe is manufactured in sev-
than 2.0 fps and smaller n values will provide still greater eral wall strengths as may be required for design conditions.
capacity. Many developments are sewered by 8-in. sewers For example, pipe classes are designated as: 1500, 2400,
TABLE 25.5 Hydraulic Elements Determined by Using Figure 25.7 and

Equations 25.11 and 25.12
DIAMETER V S Q
(in.) n (fps) (ft/ft) R 2/3 (gpm)
8 0.013 2.0 0.0033 0.303 314

.....................................................................................................................
8 0.013 2.25 0.0042 0.303 354
.....................................................................................................................
8 0.010 2.0 0.0020 0.303 314
.....................................................................................................................
8 0.012 2.0 0.0028 0.303 314
.....................................................................................................................
10 0.013 2.0 0.0025 0.351 489
.....................................................................................................................
10 0.013 2.25 0.0031 0.351 551
.....................................................................................................................
12 0.013 2.0 0.0019 0.397 705
.....................................................................................................................
12 0.013 2.25 0.0025 0.397 793

3300, 4000 and 5000. The class strengths represent the The engineering design can mitigate the load on the con-
design crushing strength in pounds per linear foot of pipe. duit by keeping the trench as narrow as practical, as the
Flexible wall pipe is classified by the ratio of the external load varies as the square of the width, and by requiring
diameter to the wall thickness. This is expressed as ‘‘di- good bedding and backfill conditions. Figure 25.8 shows
mension ratio’’ (DR) or ‘‘standard dimension ratio’’ (SDR). the types of forces affecting the load on the conduit.
Since limited deflection of the pipe can be tolerated, the Note from Figure 25.8 that the load on the conduit is
strength is expressed in terms of the force required to cause related to the weight of the soil in the area ABDC. The
a defined deflection. Pressure flexible pipe is designated by upward shearing forces F reduce the load on the conduit.
pressure class. A PVC pressure pipe manufactured by If the fill below the top of the conduit is not well com-
Johns-Manville under the name ‘‘Blue Brute’’ is available in pacted, the load on the conduit is increased as the material
the three classes shown in Table 25.6. settles. It is sometimes necessary to slope the ditch walls
As shown in Table 25.6, a DR-25 pipe has a design pres- for construction safety and convenience. Figure 25.8b and
sure rating of 100 psi, while the sustained pressure strength c show two construction means of widening the trench
is 350 psi. This difference provides for surges in pressure, without increasing the earth load on the conduit. It is im-
known as water hammer, and a safety factor against failure. portant to keep the trench as narrow as practical from the
For example, a design pressure condition of 100 psi plus a top of the pipe to the bottom of the trench because the load
surge maximum of 100 psi above the design pressure pro- on the conduit increases as the square of the width B. B is
vides a safety factor against failure of 1.75 (350/200 ⫽ taken as the width of the trench at the top of the conduit.
1.75). There are four classes of bedding as shown in Figure
25.9. The engineer is required to select a bedding type
Buried Conduits based on field conditions. Classes B or C are suitable except
The theory for loads on buried conduits states that the load where unusual loading conditions exist. Class D bedding
on a buried conduit is equal to the weight of the prism of should not be used for sewer line construction. This bed-
earth directly over it, plus or minus the frictional shearing ding class is only used for small diameter pipe.
forces transferred to that prism by adjacent prisms of earth. Class A—Concrete Cradle—bedding in which the lower
The magnitude and direction of these frictional forces is a part of the exterior of the conduit is set in a plain or re-
function of the relative settlement between the prisms. The inforced concrete foundation of suitable thickness extend-
equation for calculating the load on a rigid buried conduit ing upward on each side for not less than 25% of the height
as developed by Marston at the Iowa Engineering Experi- of the conduit.
ment Station in 1913 states: Class B—First Class—bedding where the conduit is set
on fine granular materials in an earth foundation shaped to
Wc ⫽ DDwB 2D (25.13)
conform to the lower part of the conduit exterior for a
where Wc is the load acting on the conduit after settlement width of at least 60% of its exterior diameter. The trench
has taken place, lbs/ft, CD is a dimensionless coefficient is then backfilled with granular materials, hand-placed and
related to the diameter of the conduit, the width of the tamped in 6-in. layers to fill completely all spaces under
trench, the characteristics of the fill material, and the pipe and adjacent to the conduit for a distance of at least 1 ft
bedding conditions (CD is obtained from tables or charts), above the top of the conduit.
w is the unit weight of the fill material, lbs/ft3 (normal earth Class C—Ordinary—bedding in which the conduit is
material may be taken as 130 #/ft3), and BD is the width placed with ordinary care in an earth foundation shaped to
of the trench in feet (note that load increases as the square fit the lower part of the conduit to the spring line. The
of B). ditch is then backfilled with granular materials, shovel-
TABLE 25.6 Class and Pressure Characteristics of Pressure PVC Pipe

PRESSURE CLASS DR BURSTING PRESSURE SUSTAINED
psi 100 25 535 psi 350

.....................................................................................................................
psi 150 18 755 psi 500
.....................................................................................................................
psi 200 14 985 psi 650
The class of pipe is the limit of internal pressure to be used in design.
DR is the ratio of the external diameter to the pipe wall thickness. For example, an 8-in. DR 25 pipe has an external diameter of 9.050 in. and a wall thickness of
0.362 in. Dimension ratios are controlled by manufacturing standards.

F I G U R E 2 5 . 8 Typical trench conditions for a rigid conduit. Design and Construction of Sanitary and Storm Sewers, Manual of Practice No. 9,
ASCE 1969. Reprinted with permission from the American Society of Civil Engineers, New York, New York.
placed and tamped to fill all spaces to a height of at least distributed evenly over the width of the pipe. The vertical
1
⁄2 ft above the top of the conduit. reaction acting on the bottom of the pipe is distributed
Class D—Impermissible—bedding in which little or no evenly over the width of the pipe subtended by the bedding
care is exercised to shape the foundation to fit the pipe. angle. The parabolically distributed side forces act through
The engineer also should specify the embedment mate- the middle 100⬚ of the pipe. The maximum pressure, found
rial to be used with the installation of the conduit. This at the pipe’s springline, is passive resistance of the backfill
information should be included in the specifications and around the pipe. Using suitable backfill material and proper
also shown on the plans. Table 25.7 provides information compaction is very important in establishing the field
on the standard material classification system. The soil types strength of a flexible conduit, as the vertical diameter can-
are standard under the United Soil Classification System not shorten—that is, ‘‘deflect’’—without a corresponding
(ASTM D2487). The materials are grouped into categories lengthening on the horizontal diameter. The embedment
that are considered to be most suitable for embedment use. zones, as shown by Figure 25.10b, illustrate the proper
bedding conditions and the common nomenclature asso-
Flexible Conduits ciated with pipe installation.
Flexible sewer pipe, such as PVC, is designated by the Zone Terminology
‘‘standard dimension ratio’’ as noted for flexible pressure Foundation. A foundation is required when the trench
pipe. The most often used sewer flexible pipe is SDR-35. bottom is unstable. Any foundation that will provide con-
Heavier wall thickness pipe, such as DR-21, is available for tinuous support without causing loss of grade or flexural
use where required to meet laying conditions. Data for the deformation is suitable.
more common sizes of SDR-35 pipe is given in Table 25.8. Bedding. The bedding directly underneath the pipe is re-
A flexible pipe having a DR greater than 35 should not quired to bring the trench to grade. The bedding should be
normally be considered for sewer construction. The smaller shaped to fit the conduit, with a depression formed to re-
wall thickness associated with the greater DR values may ceive the bell of the pipe so that the pipe rests on the pipe
not provide long-term reliability. barrel for its entire length. The labor to shape manually the
A flexible pipe yields under an external load by deflect- bottom of the trench is expensive, so it is common practice
ing. This deflection results in a shortening of the vertical to over-excavate a couple of inches and bring the trench
diameter because of the load on the pipe from the fill ma- bedding to grade with granular material, such as crushed
terial on top of the pipe. Excessive deflection results in fail- stone. The bedding should be firm to support the pipe.
ure through openings at the joints and a reduction of Haunching. The haunching area is most important in pro-
internal area for flow, even though the pipe has not col- viding good pipe support. The contractor must ensure that
lapsed. In conservative design, the allowable deflection is the haunch area under the pipe is completely filled and that
limited to 5%, although deflections up to 7.5% are used in the area is compacted to the specified density. Most of the
design. pipe support comes from this area.
Figure 25.10 gives an illustration of the embedment Initial Backfill. The initial backfill begins at the springline
zones and the forces acting on a buried flexible pipe. As and continues to 6 in. or 12 in. above the top of the con-
shown by Figure 25.10a, the vertical load on the pipe is duit. When the conduit is properly installed to this level,

F I G U R E 2 5 . 9 Bedding methods for trench conduits. Design and Construction of Sanitary and Storm Sewers, Manual of Practice No. 9, ASCE
1969. Reprinted with permission from the American Society of Civil Engineers, New York, New York.
TABLE 25.7 Embedment Materials Classification System
PERCENTAGE PASSING
SIEVE SIZES
COEFFICIENTS
SOIL GROUP No. 200
1 ATTERBERG LIMITS
SYMBOL 1 ⁄2 in. No. 4 (0.075 UNIFORMITY CURVATURE
CLASS TYPE D 2487 DESCRIPTION (40 mm) (4.75 mm) mm) LL PL Cu Cc
IA Manufactured aggregates: None Angular, crushed stone or rock, 100% ⱕ10% ⬍5% Nonplastic
open-graded, clean crushed gravel, broken coral, crushed
slag, cinders or shells; large void con-
tent, contain little or no fines
............................................................................................................................................................................
IB Manufactured, processed None Angular, crushed stone (or other Class 100% ⱕ50% ⬍5% Nonplastic
aggregates; dense-graded, 1A materials) and stone/sand mixtures
clean with gradations selected to minimize
migration of adjacent soils; contain lit-
tle or no fines (see X1.8)
............................................................................................................................................................................
II Coarse-grained soils, clean GW Well-graded gravels and gravel-sand 100% ⬍50% of ⬍5% Nonplastic ⬎4 1 to 3
mixtures; little or no fines ‘‘Coarse
Fraction’’
GP Poorly-graded gravels and gravel-sand ⬍4 ⬍1 or ⬎3
mixtures; little or no fines
SW Well-graded sands and gravelly sands; 1 to 3

⬎50% of ⬎6

little or no fines ‘‘Coarse
Fraction’’
SP Poorly-graded sands and gravelly ⬍6 ⬍1 or ⬎3
sands; little or no fines

Coarse-grained soils, e.g., GW- Sands and gravels which are border- 100% Varies 5% to Nonplastic Same as for GW,
borderline clean to GC, line between clean and with fines 12% GP, SW and
w/fines SP-SM SP
............................................................................................................................................................................
611
TABLE 25.7 Embedment Materials Classification System (Continued)
612
PERCENTAGE PASSING
SIEVE SIZES
COEFFICIENTS
SOIL GROUP No. 200 ATTERBERG LIMITS
SYMBOL 11⁄2 in. No. 4 (0.075 UNIFORMITY CURVATURE
CLASS TYPE D 2487 DESCRIPTION (40 mm) (4.75 mm) mm) LL PL Cu Cc
III Coarse-grained soils with GM Silty gravels, gravel-sand-silt mixtures 100% ⬍50% of 12% to ⬍4 or ⬍‘‘A’’
fines ‘‘Coarse 50% Line
Fraction’’
GC Clayey gravels, gravel-sand-clay ⬍7 and ⬎‘‘A’’
mixtures Line
SM Silty sands, sand-silt ⬎50% of ⬎4 or ⬍‘‘A’’
mixtures ‘‘Coarse Line
Fraction’’
SC
Clayey sands, sand-clay ⬎7 and ⬎‘‘A’’
mixtures Line
............................................................................................................................................................................
IVAA Fine-grained soils (inor- ML Inorganic silts and very fine sands, 100% 100% ⬎50% ⬍50% ⬍4 or ⬍‘‘A’’
ganic) rock flour, silty or clayey fine sands, Line
silts with slight plasticity
CL Inorganic clays of low to medium ⬎7 and ⬎‘‘A’’
plasticity, gravely clays, sandy clays, Line
silty clays, lean clays

............................................................................................................................................................................
IVB Fine-grained soils (inor- MH Inorganic silts, micaceous or diatoma- 100% 100% ⬎50% ⬎50 ⬍‘‘A’’ Line
ganic) ceous fine sandy or silty soils, elastic

silts

CH Inorganic clays of high plasticity, fat ⬎‘‘A’’ Line
clays
............................................................................................................................................................................
V Organic soils OL Organic silts and organic silty clays of 100% 100% ⬎50% ⬍50 ⬍4 or ⬍‘‘A’’

low plasticity Line
OH Organic clays of medium to high plas- ⬎50 ⬍‘‘A’’ Line
ticity, organic silts
Highly organic PT Peat and other high
organic soils
Reprinted with permission from American Society for Testing and Materials, ASTM Standards in Building Codes Vol. 3.
A
Includes Test Method D 2487 borderline classifications and dual symbols depending on plasticity index and liquid limits.
NOTE—‘‘Coarse Fraction’’ as used in this table is defined as material retained on a No. 200 sieve.
TABLE 25.8 Characteristics of the Most Commonly Used Sizes of SDR-35 Pipe
NOMINAL SIZE LAYING
LAYING LENGTH EXTERNAL DIAMETER WALL THICKNESS WEIGHT (lb/ft) LENGTH
8 inches 8.4 inches 0.24 inches 4.42 20

.....................................................................................................................
10 10.5 0.300 6.93 20
.....................................................................................................................
12 12.5 0.36 9.91 20
.....................................................................................................................
15 15.3 0.43 14.90 12.5
Reprinted with permission from American Society for Testing and Materials. ASTM Standards in Building Codes Vol. 4.
problems related to pipe bedding should not develop. If WC ⫽ CDwBD BC (25.14)

proper compaction is not provided above this point, there
may be problems with surface settling for some time. where WC ⫽ external earth load on the conduit (lbs/ft),
The equation for determining the load on flexible con- CD ⫽ load coefficient for conduits installed in a trench con-
duits installed under a ditch condition, as developed by dition (suitable charts are available for determining CD, as
Marston, is shown by Figure 25.11), w ⫽ unit weight of backfill ma-
terial in (lbs/ft3), BD ⫽ width of the trench at the top of
the conduit in feet, BC ⫽ external horizontal diameter of
the conduit in feet.
The ratio of the external load for rigid versus flexible
conduits is given by the ratio of Eqs. (25.13) to (25.14) and
is equal to WD / WC ⫽ BD / BC. This ratio shows that the load
on a flexible conduit is significantly less than that for a rigid
conduit installed under the same conditions (CD ⫽ con-
stant). This is because the load on a buried conduit is mod-
ified by the response of the conduit. A minor deflection of
the flexible conduit can materially reduce the load if the
conduit has been properly installed. ‘‘Properly installed’’
means that the conduit has been placed in a relatively nar-
row trench, properly bedded, and that the backfill has been
properly compacted to above the top of the conduit. Where
the trench is sufficiently narrow, a part of the backfill load
is transferred to the sides of the trench by shear action.
Where the backfill is not properly placed and compacted
to the top of the conduit, the consolidation of the fill ma-
terial along side the conduit results in an additional load
being placed on the conduit as the fill settles. The specifi-
cations and field inspection must ensure that the trench
width is limited, the pipe is properly bedded and the back-
fill is properly placed and compacted to 6 in. above the top
of the conduit. This will mitigate problems with failing con-
duits and infiltration.
While it is desirable to keep the trench width as narrow
as possible, it is necessary to provide space for the workmen
to install the pipe. Also, room must be allowed for a trench
box. Normally a 42-in. trench is suitable for sewer diame-
ters up to 16-in. Above 16 in., the trench width should be
the pipe diameter plus 24 in. (allows 12 in. on each side
F IGURE 2 5 . 1 0 Forces on a buried conduit (a); Embedment of the pipe for the trench box and the workmen). Figure
zones (b). Reprinted with permission from College of Engineering, Utah 25.11 provides a graphical means for determining CD for
State University, Logan, Utah. use in Eq. (25.13) and (25.14). H is the height of the fill

F IGURE 2 5 . 1 1 Values of CD for trench conditions. (From Design and Construction of Sanitary and Storm Sewers, Manual of Practice, No. 9,
ASCE 1969. Reprinted with permission of ASLE.
from the top of the conduit to the surface. Other parameters A suitable chart has been developed for use in deter-
are as defined above. mining Cc as shown by Figure 25.12.
An embankment condition, as opposed to a trench con-
dition, exists when a conduit is installed in a trench that is Superimposed Loads
so wide that the sides of the trench have no affect on the Superimposed loads and live loads may come from vehicle
load to the conduit. A transition width is where there is no traffic where the conduit is located in the street or from
additional load imposed on the conduit as the ditch be- storing of material on the surface, such as in a lumber yard.
comes wider. This transition width depends on the depth Figure 25.13 shows the general effect of the combined
and diameter of the conduit. Conduits installed in trenches trench earth load plus the superimposed load. It is impor-
wider than the transition widths are said to be installed in tant to note that for pipe cover greater than 8 ft, the su-
a ‘‘projection condition.’’ Conduits should not be installed perimposed load is generally of little significance. In
in this manner. Even in fill, the fill should be placed and a general, sewers located in a roadway pavement area should
trench excavated for the conduit. However, where it may have at least 6 ft of cover over the top of the pipe. Sewers
be found necessary to install a conduit under a projection not located in roadways should be installed below the freeze
condition, Marston has provided the following equation for depth or a minimum of 3 ft. Figure 25.13 is for a H20
determining the resulting load to the conduit. loading, which is what is generally used in practice (rear
Wc ⫽ CcwB 2c (25.15) axle carries 16 tons). The impact of the superimposed load
must also be considered, but impact is not considered sig-
where Cc is the coefficient for a projection condition (re- nificant where the conduit has at least three ft of cover. The
places CD as shown for trench condition) and w and Bc are superimposed load is added to the dead load (trench back-
defined above for Eqs. (25.13) and (25.14). fill load). Tables and equations for calculating superimposed
duits, it is not always practical to attempt to calculate the

load by Eq. (25.13). The end result from calculating loads
will be no more reliable than the assumptions as to field
conditions. Soil conditions vary from location to location,
and even an experienced soil engineer would find it nec-
essary to conduct extensive field studies to make the input
parameters more reliable than good engineering judgment
and data available from tables.
Pipe is manufactured to standards with safety factors in-
cluded for the broad classes of embedment conditions as
presented above. Pipe suppliers provide tables or curves for
use in design, such as those shown in Table 25.9. This table
shows the deflection of SDR pipe under the indicated in-
stalled condition. As shown by the data, pipe deflections
can be held to less than 5% by providing proper embed-
ment.
Data similar to that provided in Table 25.9 for SDR 35
pipe is available from all suppliers of both sewer and pres-
sure pipe. Standard design ‘‘Go-No Go’’ devices as well as
an ‘‘electronic deflectometer’’ are available for measuring the
F IGURE 2 5 . 1 2 Values of Cc for positive projection conduits.
deflection of sewer pipe after installation. The engineer
(From Design and Construction of Sanitary and Storm Sewers, Manual of should include a requirement in the specifications for this
Practice, No. 9, ASLE 1969. Reprinted with permission of ASLE. measurement to be made after the backfill load has stabi-
lized.
loads are found in reference books and pipe supplier cat- Air Testing
alogs. The contract specifications should require that a leakage test
While it is important for the engineer to have an un- be performed to verify the water tightness of the sewer. An
derstanding of the principles related to loads on buried con- air test is generally required for this purpose, although an
F IGURE 25.13 Total pipe load—H20 live load plus dead load.
TABLE 25.9 Maximum Long-term Deflections* in % of SDR 35 Pipe

DENSITY
ASTM EMBEDMENT PROCTOR HEIGHT OF COVER (FEET)
MATERIAL AASHTO
CLASSIFICATION T-99 3 5 8 10 12 14 16 18 20 22 24 26 28 30
Manufactured CLASS I 0.2 0.3 0.4 0.5 0.6 0.7 0.9 1.0 1.1 1.2 1.3 1.4 1.5 1.6
granular
angular
......................................................................................................................
Clean sand CLASS II 90% 0.2 0.3 0.5 0.7 0.8 0.9 1.1 1.2 1.3 1.4 1.6 1.7 1.8 2.0
and gravel 80% 0.9 1.4 2.3 3.2 3.6 4.1 5.0 5.5 6.0 6.4 7.3 7.7 8.2 9.1
......................................................................................................................
Sand and gravel CLASS III 90% 0.2 0.4 0.6 0.8 0.9 1.1 1.2 1.4 1.6 1.7 1.9 2.1 2.2 2.3
with fines 85% 0.7 0.9 1.7 2.2 2.6 3.0 3.5 3.9 4.3 4.8 5.2 5.6 6.0 6.5
75% 1.1 1.8 2.9 3.8 4.5 5.5 6.8 8.5 9.9 11.3 12.7 14.1 15.5 16.8
65% 1.3 2.4 3.6 4.7 5.5 6.8 8.5 9.6 11.4 13.0 14.5 16.0 17.3 18.0
Silt and CLASS IV 85% 0.65 0.9 1.7 2.2 2.6 3.0 3.5 3.9 4.3 4.8 5.2 5.6 6.0 6.5
clay 75% 1.3 2.3 3.3 4.3 5.0 6.5 7.8 9.5 10.6 12.2 13.5 15.0 16.3 17.0
65% 1.3 2.4 3.6 4.7 5.5 8.0 10.5 12.5 15.0 17.6 20.0 22.0 24.0 26.0
......................................................................................................................
Organic soils CLASS V THIS SOIL CLASS NOT RECOMMENDED
and peat
* Deflection is the percent reduction of the vertical diameter.

Reprinted with permission from College of Engineering, Utah State University.
older water test may be used. The air test is easier to con- spreads the manhole weight over a larger area. Additional
duct and gives good results. The section of line to be tested barrel sections are used as required to bring the manhole
is plugged and pumped up to a pressure of 4 psi plus 0.433 to where the eccentric cone is added. A manhole frame and
psi for each foot of ground water over the conduit (pressure cover is placed at the surface. The manhole supplier should
should not exceed 9 psi). The pressure is allowed to sta- adjust the height of the sections to comply with installation
bilize to the sewer temperature. Pressure drop is then timed requirements. The precast supplier tailors each manhole for
from 3.5 psi to 3.0 psi (note that 0.433 psi times the feet the specific site. Rubber boots are available that can be cast
of ground water over the pipe must be added to these num- into the manhole at the locations where the sewers will pass
bers). Acceptable time limits for the 0.5 psi pressure drop through the manhole wall. A stainless steel clamp is used
are shown in Table 25.10. to secure the sewer to the boot making a watertight con-
nection. The inside of the connection is grouted along with
Pipe Joints the placement of the bench (only shrink proof grout is
Manufactured rubber compression joints should be used in used). Corrosion-resistant steps are placed inside the man-
sewer construction unless there are unusual conditions. The hole on a 12-in. or 16-in. vertical spacing. The exterior of
joint should be free of debris and the rubber gasket lubri- the manhole is waterproofed using bituminous mastic on
cated prior to installing the pipe. the surface and in the joints.
Figure 25.15 shows two types of drop manholes. A drop
Manholes manhole is used to reduce slopes of incoming sewers or to
Manholes are a required appurtenance to any sewer system. permit connecting a sewer entering the manhole at a higher
They provide access to the sewer for inspection and main- elevation than the main sewer. Generally, if the difference
tenance. Manholes should be placed at every change in in elevation is less than 5 ft and ground water or obstacles
grade or horizontal alignment, at every change in sewer are not a problem, the slope of the higher sewer is increased
size, at every sewer intersection and at least every 400 ft. to lower the sewer to where the drop manhole will not be
For larger sewers, which are readily accessible to workmen, needed.
they may be spaced at greater intervals. The bench is constructed to provide a smooth section
Only precast reinforced concrete manholes should be through the manhole so as to reduce energy losses, to pre-
used except where special field conditions make it neces- vent the accumulation of solids in the manhole and to pro-
sary to field-construct the manhole with brick. Figure 25.14 vide a place for the maintenance person to stand when
shows two typical manholes. The standard manhole in- working in the sewer. The bench should extend to at least
cludes a base that is generally cast as a part of the first the springline (see Figure 25.10) of the sewer. For sewers
barrel section. The base shown is an extended base, which with diameters larger than 10 in., the bench should extend

TABLE 25.10 Air Test Table

PIPE DIAMETER
4ⴖ 6ⴖ 8ⴖ 10ⴖ 12ⴖ 15ⴖ 18ⴖ 21ⴖ 24ⴖ 27ⴖ 30ⴖ 33ⴖ 36ⴖ
25 2.9 4.2 5.7 7.1 8.5 10.6 12.7 14.8 17.0 19.2 21.2 23.3 25.5
..................................................................................................................
50 23.3 25.5
..................................................................................................................
75 19.2 21.2 24.3 28.9
..................................................................................................................
100 14.8 17.0 21.6 26.8 32.2 38.5
..................................................................................................................
125 12.7 16.3 21.2 27.0 33.3 40.1 48.2
..................................................................................................................
150 10.6 14.3 19.6 25.5 32.6 40.1 48.3 57.6
..................................................................................................................
LENGTH OF LINE IN FEET
175 11.6 16.7 22.8 29.7 37.9 46.7 56.2 67.3

..................................................................................................................
200 8.5 13.3 19.1 26.1 34.0 43.3 53.5 64.4 77.0
..................................................................................................................
225 7.1 9.5 15.0 21.5 29.4 38.2 48.7 60.1 72.3 86.7
..................................................................................................................
250 7.4 10.6 16.7 24.0 32.6 42.5 54.0 66.9 80.5 96.1
..................................................................................................................
275 8.1 11.7 18.3 26.3 35.9 46.7 59.6 73.5 88.4 105.8
..................................................................................................................
300 5.7 8.9 12.7 20.0 28.7 39.1 51.0 65.0 80.3 96.6 115.5
..................................................................................................................
350 6.6 10.4 14.9 23.4 33.4 45.7 59.5 75.7 93.7 112.7 134.6
..................................................................................................................
400 4.2 7.6 11.9 17.0 26.7 38.2 52.2 68.0 86.6 107.1 128.8 154.0
..................................................................................................................
450 4.8 8.5 13.4 19.1 30.0 43.0 58.7 76.5 97.4 120.5 144.9 173.1
..................................................................................................................
500 2.8 5.3 9.5 14.9 21.2 33.3 47.8 65.3 85.0 108.3 133.9 161.0 192.5
When testing 4-in. house laterals with sewer main, add 2.8 minutes to test time.
to 2⁄3 of the sewer diameter. The specifications should re- an additional penetration is needed. A penetration made
quire that the base section be supplied with an extended with a jackhammer should never be permitted. A short sec-
base, that a boot be cast in the section for all sewer con- tion of sewer is used at the manhole to provide a joint in
nections and that the channels and bench be cast as a part the sewer not more than 3 ft from the manhole. This allows
of the section. All sewers entering a manhole should be some flexibility for any difference in settlement between the
provided a smooth channel into the main channel. When manhole and the sewer.
there is a change in sewer diameter at a manhole, the 0.8 An air or water test is used to check the manhole for
depths of the sewers should be placed at the same elevation. water tightness, and this requirement should also be in-
This will prevent any upstream surcharging at full flow. The cluded in the specifications.
change in flow direction at a manhole should not exceed The manhole frame and cover should be of gray cast
90 degrees. Where a greater change in direction is required, iron. A typical frame and cover is shown in Figure 25.16.
use two manholes with a segment of sewer between them. A standard frame and cover as well as a watertight/locking
In the past it has been common practice to allow for a frame and cover are also shown in the figure. The engineer’s
0.1-ft drop in sewer invert through a manhole where there library should include a catalog on standard manhole cast-
is no change in pipe diameter. This is no longer necessary; ings. The weight of the frame and cover must be selected
in fact, the change in slope and, hence, velocity is more to carry the expected loading. For example, a traffic bearing
likely to cause problems. A well-constructed channel will frame and cover is required when the manhole is located
not require this drop. Many manhole suppliers now provide in a street, whereas a lighter weight one will be suitable for
the base section with the channel and bench cast in place off-street locations. Locking frame and covers are available
when the manhole was formed. The channel invert must for use where required. Waterproof frame and covers
be smooth, having the same shape as the sewer. In all in- should be used at locations where the area is subject to
stances, the penetrations (openings in manhole wall for flooding. Ventilation to the sewer is provided through the
sewers) should be cast in the manhole or core drilled where manhole cover. When waterproof frame and covers are

F IGURE 25.14 Typical precast manhole design.
used, alternate ventilation should be provided at least every nection if care is not used. Building spurs should be laid
1000 ft of sewer. to a grade of at least 0.005 slope, with a minimum slope
Many utilities have a specific design on the manhole of 0.01 being provided where possible.
covers, such as the name of the utility. These utilities stock A wye may be installed and the extended line capped at
the covers and sell them to the contractor. the surface at the lot line for access in the future as needed.
Where the main sewer is excessively deep, the spur should
Building Spurs be brought to a reasonable depth prior to reaching the lot
When manholes are placed in the street, the building spur line, but the spur must be kept deep enough to serve the
(often referred to as building lateral) should be installed building. Figure 25.17 shows typical connections for build-
from the sanitary sewer to a minimum of 1 ft inside the ing spurs (Service Connections).
property line. A separate spur should be connected for each
lot or building site. Where sidewalks are to be constructed,
DESIGN EXAMPLE
the building spur should be constructed to 5 ft beyond the
back of the sidewalk. It is important that each building spur Preliminary Investigation
be shown on the sewer plan with the station of the con- This design example has been structured to include the
nection being confirmed as a part of the as-built drawings. principal considerations that the engineer may encounter
SDR-35 or heavier pipe should be used for building spurs. with a sewer design project. A hypothetical example, such
The spur should enter the main sewer through a manufac- as presented here, is considered more appropriate for this
tured wye or tee. An approved saddle may be used when purpose than an actual design because a hypothetical case
connecting to existing sewers. Some localities require that can be structured to incorporate the circumstances needed
the connecting wye or ell be of ductile iron because me- to cover many aspects of sewer design. The example as-
chanical rodding equipment will bore through a PVC consumes that a Mr. John Jenn, the owner of 40 acres of land

F IGURE 25.15 Typical drop manhole design.
fronting on West End Road, shown in Figure 25.18, has and photogrammetry or mapping firms providing ser-
commissioned an engineering firm to design the infrastruc- vices in the area.
ture and obtain the required approvals so that construction
2. Prepare a drawing showing the location of the 40-
permits for a single-family development on the entire tract
acre tract, the drainage shed and environs.
can be obtained. This example covers the course of action
the engineer may take to complete the sewer design and 3. Meet with the staff of the sewer utility (may be
obtain the required approvals. Note that the engineering Department of Public Works or a separate authority) to
firm is responsible for providing the owner with complete advise them of the project and to obtain information
plans and specifications that have been approved by all re- on the availability of public sewer to serve the area.
viewing agencies, both local and state. When this has been The engineer should always advise the appropriate de-
properly accomplished, the contractor should not have any partment of the local government about the project be-
problems in obtaining a permit for the construction. fore starting design. This early meeting is also
The first stage of the project is to conduct a preliminary necessary to obtain information from the public utility
investigation and prepare a report on the findings. The pre- on how the utility plans to sewer the area, as shown
liminary investigation should include: by the Master Utility Plan for the area where the 40-
acre tract is located.
1. Securing topographic mapping of the drainage
shed that includes the 40-acre tract. In most instances, It was learned at this meeting that the parcel of land is
the local government will have area-wide mapping. in an area approved to receive public sewer and that the
Other sources of maps include: U.S. Geological Survey nearest public sewer is approximately 16,000 ft to the west.
(7.7-in. Quadrangle Maps); Highway or Transportation The engineer was advised that the utility’s long-range plans
Department; tax maps (will not show topographic in- provide for bringing sewer to the area but that no funds
formation); local utilities, including water, gas, electric; have been budgeted for the project. While capacity is avail-

F IGURE 25.16 Typical manhole frame and covers. (Fairfax County Public Facilities Manual, 1993).

F IGURE 25.17 Service connections showing building spurs or laterals.
able in a trunk sewer located to the west, the engineer was serve off-site property, the utility will collect prorated funds
advised that it may be 5 to 10 years before service will be from other land owners as their property is approved for
available to the property under the utility’s sewer extension sewer and pass these funds along to Jenn as they are col-
program. The utility does permit property owners to extend lected. Jenn will only be entitled to reimbursement for any
sewer service into areas approved for service at the property over-sizing of utilities as required to provide service for off-
owner’s expense. The utility advised the engineer that any site property. Note that this is only one procedure for man-
design for sewering the parcel will have to consider the aging a reimbursement policy as the local policy may
needs of the entire sewer shed. The utility also advised that provide for reimbursement on the basis of acreage sewered
the comprehensive sewer plan provides for the construction or by some other procedure. A reimbursement policy based
of a pumping station on the adjacent sewer shed to the east on flow will generally be more equitable where more than
for pumping the flow across into the drainage area contain- one zoning applies to the area to be sewered. The engineer
ing the 40-acre tract. This additional 28-acre parcel is zoned should be knowledgeable in the policy for the jurisdiction
single-family at four units per acre. Information on the lo- where the project is proposed. The reimbursement policy
cation of the connection point for the proposed pumpover may be different or there may not be one. If Jenn eventually
is provided. The engineer was advised that the property receives full reimbursement, he will have only been respon-
south of West End Road is not planned for public sewer. A sible for the costs of the initial size facilities required to
pumping station is to be located at Point Y (Figure 25.18) serve his property with the increased costs for over-sizing
and a force main routed along the north side of West End to serve off-site property qualifying for reimbursement.
Road to the existing trunk sewer. Early in the project, a meeting between the engineer and
The utility has a reimbursement policy whereby if Jenn, the utility staff is very beneficial to both parties and should
the owner of the 40-acre tract, constructs facilities that will always be scheduled. The utility staff is now apprised of the

F IGURE 25.18 Sewer shed West End Road service area.
project and the engineer has learned that the tract does lie part of the preliminary report. This report is completed and
within an area approved for sewer under the comprehensive presented to the owner before starting design. Thus, the
planning and zoning for the area. The engineer has also owner is able to make financing decisions before incurring
been advised of off-site requirements that will need to be substantial engineering costs. Project financing is not cov-
incorporated into the planning and design of the sewer sys- ered in this chapter, but note that the property owner has
tem that will serve the 40-acre tract. several options that should be explored. The owner or the
The cost of off-site construction in this example may be owner’s legal counsel should meet with other property own-
more than would be economically feasible in the developers in the sewer shed to determine if they are interested in
ment of a 40-acre parcel. The principal off-site costs will be participating in the project. The engineer may also assist
that of a pumping station and 16,000 ft of force main. The the owner by sending a letter to each affected property
engineer is able to apprise the owner of these costs as a owner advising them of a meeting to be held at the engi-

neer’s office for the purpose of determining their interest in A 200-ft-wide strip has been used in the example to
participating in the project. It would not be uncommon to establish a sewer service boundary. This 200-ft-wide strip
find that the other property owners have been wanting extends around the three sides of the drainage boundary.
sewer service for some time and will be willing to partici- Lines are drawn to show the drainage limits of the eight
pate in the off-site costs. The reimbursement agreement subsheds. Also shown on the figure is the point where it is
should be between the local government and the property proposed that the off-site sewer discharge to the West Creek
owners, with the local government being responsible for shed. This is shown as Point X.
collecting and disbursement of funds. A reasonable rate of The engineer must determine how the area will be sew-
interest should be added to the reimbursement amount and ered. In this example, it is determined that the area will be
passed along to Jenn. The engineer would generally not be sewered by constructing a main sewer along the east side
authorized to proceed with design until Jenn has made suit- of West Creek from Point Y to Area 1. Submains will con-
able financing arrangements for the construction of the pro- nect at the confluence of each of the Branches with West
ject. Creek. Each of the submains will sewer the respective area
with no area connecting directly to the main except through
Establishing Sewer Service Shed the submains. This type of decision will be made by the
A drawing of the sewer shed is shown in Figure 25.18. The engineer and will be based on the topography. In this ex-
drainage boundary above West End Road is found to be ample, the flow for the main sewer is computed. The design
255.26 acres. This is a relatively small drainage shed, and of the submains and the sewer laterals would be designed
the utility has advised the engineer that the planning must as a part of the development of each parcel.
include the entire shed as being developed to the limits
allowed under the comprehensive plan for the area. It Determining Average and Peak Flow
should be recognized that for a rural area, a 255.26-acre A topographic map should be prepared for the sewer shed,
area may require many years for complete development, in showing the boundaries for each planned land use. This
which case something less than the entire drainage shed information is taken from the comprehensive plan for the
would be included in the planning and design associated area. The area of each use for each subshed is then deter-
with sewering the 40-acre tract. This is a decision that mined by planimetering. The area for each subshed, as de-
should be agreed upon by the local government planners termined by planimeter, is shown in Table 25.11. The
and the utility. Decisions of this type should be arrived at planned density for each subshed is shown in Table 25.12.
by determining what the needs of the area are projected to A drawing similar to Figure 25.18, at a scale of not
be over the next 20 to 25 years. It is not good practice to smaller than 1 in. ⫽ 200 ft, would be prepared showing
over-design a facility to where the capacity will not be used all topographic features, including contours and land use.
for many years, nor is it appropriate to be too short-sighted
in planning to where a parallel sewer will be needed in five
to ten years. In this example, it is assumed that the parcel
is located in a major urban area where development will T A B L E 2 5 . 1 1 Acreage for Each
occur within a 10-year period once sewer service becomes Subarea as Shown in Figure 25.18
available.
Contours are not shown on Figure 25.18 for clarity pur- ADDITIONAL TOTAL
AREA ACRES* ACRES** ACRES
poses. The figure is shown at a 1 in. ⫽ 500 ft scale in order
to include the entire area on a normal sheet. The engineer 1 15.50 8.61 24.11
would normally use a 24-in. by 36-in. layout sheet. This .....................................................
would permit using a scale of 1 in. ⫽ 200 ft. At this scale, 2 16.07 5.68 21.75
.....................................................
a 5-ft contour interval would be used, unless the terrain is
3 21.12 4.24 25.36
extremely flat or steep. .....................................................
The 255.26-acre sewer shed above West End Road has 4 36.39 9.41 45.80
eight subsheds, each having an unnamed intermittent .....................................................
stream draining to West Creek. These intermittent streams 5 37.37 3.85 41.22
.....................................................
are shown as Branches A through G on the figure. It is
6 37.54 5.17 42.71
generally possible to gravity-sewer some property outside .....................................................
the drainage boundary without having excessively deep 7 49.65 8.15 57.80
sewers to cross the drainage divides. In the absence of any .....................................................
local government regulation governing this practice, the en- 8 41.62 6.95 48.57
.....................................................
gineer should place a limit on the depth of sewer that will
Totals 255.26 52.06 307.32
be used to sewer property beyond the drainage boundary
limit. It is recommended that a maximum depth of 20 ft * Acres within the drainage boundary.
be used for this purpose. ** Acres within the additional 200-foot-wide strip.

If the design is started at the lower end, the designer does

TABLE 25.12 Planned Density
not know what initial depth to use so that adequate cover
AREA will be provided upstream, making several trial-and-error
NUMBER PLANNED DENSITY attempts necessary.
1 100% single-family at 4 units/acre
..................................................... Preparation of Construction Plans
2 40% townhouses at 10 units/acre The engineer now has all the information required to com-
60% new elementary school—300 students plete a set of construction drawings. It is important that the
.....................................................
plans be clear and complete. These plans would normally
3 100% single-family at 4 units/acre
..................................................... be prepared on 24-in. by 36-in. sheets (local utility may
4 100% single-family at 4 units/acre have other requirements) and consist of:
.....................................................
5 100% single-family at 4 units/acre 䡲 A cover sheet showing the project title, any identi-
.....................................................
fying project number, a location map, and the name of
6 100% townhouses at 10 units/acre the engineering firm. The cover sheet also often in-
.....................................................
7 100% single-family at 4 units/acre cludes a sheet index for the drawings and the name of
..................................................... the owner. If the owner is a public body, the names of
8 40% commercial at 2000 gpd/acre the elected officials such as mayor and council mem-
60% apartments at 25 units/acre bers may be shown as local practice requires.
䡲 A general layout sheet showing streets, lots and
sewer location. The layout sheet should be to a scale
where the entire project can be shown on a single
A map of this type is not provided in this example because
sheet. The design sheets should be overlain on the lay-
of size limitations.
out sheet as an index.
Table 25.13 is formatted for tabulating average and peak
flow for each main sewer segment. The length of each seg- 䡲 Plan and profile sheets. These sheets normally
ment is shown in column 3 of the table. The peak design show the design in plan view on the top half and in
flow is provided in both gpm and cfs for general informa- profile on the lower half. All topographic data related
tion. to the design construction area should be shown. The
Table 25.14 provides information on elevations for the manholes are shown and numbered. The lines are
proposed sewer route and the associated West Creek shown with bearings and distances with any angles be-
streambed. This table would not be required in a normal ing shown at changes in horizontal alignment. Sewer
design as the information would be taken directly from the size, manhole numbering and stationing is shown on
topographic map data as the design proceeds. both the plan and profile views. The plan view should
General guidelines to be used in the sewer design in- show existing and proposed structures, houses, under-
clude: ground utilities, curbs, property lines, all storm drain-
age, and any other infrastructure. The profile shows
1. It is desirable to keep the sewer depth to at least 6
the elevation of all critical points such as all manhole
ft. This will minimize the impact of surface loadings.
inverts and tops of covers to a hundredth of a foot.
2. Design as to allow for stream crossings. The top of Care must be taken to show the location and elevation
the sewer for all stream crossings is to be at least 1 ft of all subsurface utilities, foundations, and other ele-
below the stream bed. The sewer, in the area of the ments important for safe, orderly, and economical con-
stream crossing, will be concrete encased. struction. Field test pits may be needed for the proper
location of existing subsurface elements.
Line Design
䡲 The plan view is generally shown at a scale of
The sewer design is provided in Table 25.15. Notes are 1 in. ⫽ 50 ft. The horizontal scale for the profile is
provided as a part of the table to show how the data was shown at the same scale as the plan. The vertical scale
determined. In the design example, the design is started for the profile is generally shown at a scale of 1 in. ⫽
adjacent to the proposed pumping station and continued 5 ft.
upstream. When designing sewers to serve relative flat ter-
rain, where the ground slope along the sewer route is less 䡲 Standard details sheets. Standard details for man-
than the slope required to provide minimum velocity in the hole, manhole frame and covers, special construction,
sewer, the design should be started at the upper end of the such as waterproof frame and covers and stream cross-
system and continued downstream. This is because the ings, are shown on sheets as needed following the plan
sewer will continue to get deeper as the design proceeds. and profile sheets.

TABLE 25.13 Computation of Sewage Flow

(1) (2) (3) (4) (5) (6) (7) (8) (9) (10) (11)
FROM TO LENGTH AREA, ACRES DENSITY ADDED TOTAL PEAK DESIGN DESIGN
POINT* POINT* FEET ADDED TOTAL ADDED AVE. FLOW FLOW FACTOR FLOW FLOW
8 7 700 1(24.11) 24.11 96 S.F. 35,520 gpd 35,520 gpd 6.4 158 gpm 0.35 cfs
.....................................................................................................................
7 6 220 2(21.75) 45.86 87 T.H 26,100 61,620 6.0 257 gpm 0.57
.....................................................................................................................
6 5 470 3(25.36) 71.22 101 S.F. 37,370 98,990 5.9 406 gpm 0.90
.....................................................................................................................
5 4 680 4(45.80) 117.02 458 T.H. 137,400 236,390 5.4 886 gpm 1.97
.....................................................................................................................
4 3 470 5(41.22) 158.24 164 S.F. 60,680
.....................................................................................................................
X(28.0) 186.24 112 S.F. 41,440 338,510 5.1 1199 gpm 2.67
.....................................................................................................................
3 2 670 6(42.71) 228.95 427 T.H. 128,100 466,610 4.9 1588 gpm 3.54
.....................................................................................................................
2 1 290 7(57.80) 286.75 231 S.F. 85,470 552,080 4.7 1802 gpm 4.01
.....................................................................................................................
1 Y 250 8(48.57) 335.32 Commercial 38,856
728 Apts. 218,550 809,486 4.5 2530 gpm 5.63
* Note: Points refer to confluence of subshed drainage with West Creek and correspond with area added as shown in column 4.
Notes:
1. Allowable density obtained from comprehensive plan of local government (see Table 25.12).
2. Acres taken from mapping by planimeter (see Figure 25.18 and Table 25.11).
3. Areas are totaled to confluence of indicated streams.
4. Average flow per unit obtained from Table 25.2.
5. Flow added is unit flow times the number of units.
6. Total flow is total to indicated downstream point.
7. Peak Factor obtained from Figure 25.2.
8. Design flow is obtained by multiplying average flow times the peak factor to obtain gpd and then dividing by 1440 minutes / day to give flow in gpm. Cfs
is obtained by dividing gpm by 449 gpm / cfs. MGD is obtained by dividing gpm by 695 gpm / mgd or cfs divided by 1.55 cfs / mgd gives the flow in
mgd. Cfs or gpm can then be used with the nomograph shown on Figure 25.7 to establish head loss and pipe size.
9. S.F. ⫽ Single-family detached housing.
10. T.H. ⫽ Town house.
11. Note that where the distance between points is greater than 400 ft, an intermediate manhole is needed. See the design tabulations shown in Table 25.15
for more information on how this was handled.
䡲 Submain and building spur connections. In subdi- is established in design and utilized in constructing the
visions it is common to locate the sewer near the mid- sewer.
dle of the street where possible and construct all
building spurs to the property line and cap the end of PUMPING STATIONS
the line. It is important to show the location and ele-
General
vation of each spur on the drawings for later location.
The spur should enter the sewer through a manufac- Pumping stations are common to most sewage collection
tured wye. House spurs generally do not connect to a systems. The collection system that does not include lift or
manhole. Submains should enter the main at a man- pumping stations at one or more locations is rare. The en-
hole where the connection has been cast as a part of gineer has access to a wide choice of pump types, giving
the manhole. flexibility in selecting the type of facility most suitable for
a particular application.
Note that the sewer design results in establishing the The term ‘‘lift station’’ refers to a pumping facility located
sewer invert profile. The sewer conduit is uniform and at within a collection system to lift the flow to a higher ele-
steady flow conditions. The invert (lowest point inside the vation. Sewer systems located in relative level terrain may
sewer conduit) is parallel to the hydraulic grade line (HGL). become excessively deep, making it necessary to ‘‘lift’’ the
While the HGL will rise and fall with changes in flow con- flow up to minimum cover for the sewer. Note in Table
ditions, it will always be within the pipe under gravity flow 25.5, the slope of an 8-in sewer providing a velocity of 2.25
conditions. Since the HGL location varies, the invert slope fps is 0.0042. This sewer has a head loss and, hence, a drop

TABLE 25.14 Elevations Determined from Field Surveys

GROUND STREAM INV. GROUND STREAM
STATION ELEV. (ft) ELEV. (ft) STATION ELEV. (ft) ELEV. (ft)
0 ⫹ 00 212.0 206.8 19 ⫹ 00 221.6 217.4

.....................................................................................................................
1 ⫹ 00 212.0 207.8 20 ⫹ 00 222.0 218.0
.....................................................................................................................
2 ⫹ 00 213.2 208.2 21 ⫹ 00 222.5 218.7
.....................................................................................................................
3 ⫹ 00 213.7 208.9 22 ⫹ 00 223.1 219.3
.....................................................................................................................
4 ⫹ 00 214.4 209.3 23 ⫹ 00 223.6 219.9
.....................................................................................................................
5 ⫹ 00 215.0 209.7 24 ⫹ 00 224.0 220.5
.....................................................................................................................
6 ⫹ 00 215.9 210.1 25 ⫹ 00 224.7 221.0
.....................................................................................................................
7 ⫹ 00 216.4 210.4 26 ⫹ 00 225.2 221.4
.....................................................................................................................
8 ⫹ 00 216.6 211.0 27 ⫹ 00 225.8 222.1
.....................................................................................................................
9 ⫹ 00 216.8 211.6 28 ⫹ 00 226.5 222.9
.....................................................................................................................
10 ⫹ 00 217.2 212.3 29 ⫹ 00 227.0 223.5
.....................................................................................................................
11 ⫹ 00 217.4 213.0 30 ⫹ 00 227.6 224.2
.....................................................................................................................
12 ⫹ 00 217.9 213.3 31 ⫹ 00 228.2 224.8
.....................................................................................................................
13 ⫹ 00 218.5 213.7 32 ⫹ 00 228.9 225.4
.....................................................................................................................
14 ⫹ 00 218.9 214.3 33 ⫹ 00 229.5 226.2
.....................................................................................................................
15 ⫹ 00 219.6 214.9 34 ⫹ 00 230.1 227.0
.....................................................................................................................
16 ⫹ 00 220.1 215.5 35 ⫹ 00 230.7 227.5
.....................................................................................................................
17 ⫹ 00 220.7 216.2 36 ⫹ 00 231.2 228.2
.....................................................................................................................
18 ⫹ 00 221.0 216.8 37 ⫹ 00 231.7 228.0
Notes:
1. Ground elevations were taken from field topo for the selected sewer route.
2. Stream elevations are for the lowest point in the stream cross section at the respective station along the sewer route.
3. The sewer route is within 25 feet of the stream at all points.
4. Station 0 ⫹ 00 is adjacent to proposed location of pumping station.
General Guidelines to be used in the sewer design
1. It is desirable to keep the sewer depth to at least 6 feet to minimize impact of surface loadings.
2. Design is to allow for stream crossings. Top of sewer is to be at least 1 foot below stream bed. Stream crossings will be concrete-encased.
in the sewer invert of 4.2 ft per 1000 ft of length. If the A pumping station is a facility designed to lift the flow
sewer is long or if the sewer is not running with the ground and convey it some distance, such as from one drainage
slope, the depth may become so deep that a lift station is area to another or from the collection system to a treatment
needed. The depth where a lift station becomes economical works. A lift station is commonly referred to as a pumping
depends on subsurface conditions. The presence of a high station, but pumping stations are not called lift stations.
ground water table, poor soil or rock must be considered
in making this determination. Also, the length of sewer that Location
will be excessively deep must be considered. Utility main- A pumping station should be located so as to serve the
tenance personnel generally prefer that sewers not be over entire sewer shed. In the sewer design example in the pre-
20 ft deep if greater depths can be avoided. vious section, it was found as a part of the preliminary

TABLE 25.15 Sewer Design Tabulation

(1) (2) (3) (4) (5) (6) (7) (8) (9) (10) (11) (12) (13) (14) (15) (16)
PEAK GROUND ELEV. STREAM SEWER HEAD Q SEWER INVERT CON-
LINE FROM TO LENGTH FLOW LOWER UPPER ELEV. DIA. VEL. SLOPE LOSS FULL LOWER UPPER TROL
1 Y 1 250⬘ 5.63 212.0 213.4 208.6 15ⴖ 4.1 0.0056 1.40 5.0 204.75 206.15 Cover
.....................................................................................................................
2 1 2 290 4.01 213.4 215.5 209.9 15 3.9 0.0052 1.50 4.8 206.15 207.65 Stream
.....................................................................................................................
3 2 3 340 3.54 215.5 216.7 211.5 15 3.7 0.0047 1.60 4.6 207.65 209.25 Stream
.....................................................................................................................
4 3 4 330 3.54 216.7 217.9 213.4 15 3.6 0.0042 1.40 4.5 209.25 210.65 Cover
.....................................................................................................................
5 4 5 470 2.67 217.9 220.6 216.0 12 3.6 0.0059 2.75 2.9 210.85 213.60 Cover
.....................................................................................................................
Notes:
Column 1 ⫽ Number of sewer segment—generally numbered consecutively upstream.
Column 2 ⫽ Number of manhole at downstream end of sewer segment.
Column 3 ⫽ Number of manhole at upstream end of sewer segment.
Sewer manholes are numbered consecutively upstream. Submains connecting to the main numbered from that pont. For example, a submain or lateral connecting
to the main sewer at manhole 5 would have manhole numbers of 5-1, 5-2, etc.
Column 4 ⫽ Length of sewer segment measured from center to center of manholes.
Column 5 ⫽ Peak flow calculated for sewer segment (see Table 25.13).
Column 6 ⫽ Ground elevation at downstream end of sewer segment.
Column 7 ⫽ Ground elevation at upstream end of sewer segment.
Note that the ground elevation is carried to the nearest 0.1 ft, whereas the sewer invert is carried to the 100th of a ft.
Column 8 ⫽ Stream elevation at upstream end of sewer segment. Must be able to cross stream with one ft of cover over top of pipe. Column 16 is added to
show if stream elevation is controlling.
Column 9 ⫽ Diameter of sewer segment in inches.
Column 10 ⫽ Velocity of flow in sewer segment.
Column 11 ⫽ Slope of invert for sewer segment.
Column 12 ⫽ Feet of head loss in sewer segment.
Column 13 ⫽ Full capacity of sewer.
Column 14 ⫽ Sewer invert elevation at downstream end of segment.
Column 15 ⫽ Sewer invert elevation at upstream end of segment.
Column 16 ⫽ Condition controlling depth. This column is not shown on sewer design tabulations, but included here for instructional purposes. The design
criteria employed in this example is that the sewer cover is to be at least 6 ft and that at least 1 ft below the stream invert. The invert of a sewer is the lowest
elevation on the inside of the pipe. The invert elevation is maintained in sewer construction and design.
Design procedure:
A. For line 1 running from manhole Y to manhole 1.
1. Check ground slope for segment. Difference in elevation is found to be 1.4 ft and slope is head loss divided by segment length ⫽ 1.4 / 250 ⫽ 0.0056
as shown in column 11.
investigation that the limit of the sewer shed was to be West vation and receive no damage at the 100-year flood
End Road. This may have been a political boundary or a level. The criteria to be used in determining flood pro-
decision made by the local government because of land tection depends on local policy and conditions related
planning. The station must be located so as to receive the to the site, such as the potential for unacceptable envi-
sewage flow from the designated sewer shed. Some general ronmental pollution when overflows or sewer backups
considerations to be used in locating a pumping station occur. In no case should sewer backup due to pump
include: station failure result in flooding of buildings with sew-
age.
䡲 A lift station or pumping station should never be
located in a public street. 䡲 Consideration should be given to problems with
noise and odor. Odor is most likely to be a considera-
䡲 The station must be accessible by an all-weather tion with flow from large, long main or trunk sewers
service road, where the utility either owns the right-of-
where the sewage becomes septic in the sewer before
way or has a permanent access easement.
reaching the pumping station. The discharge from a
䡲 The station must be located to provide protection force main will also usually be septic. Equipment is
from flood inundation. The station should, as a mini- available for removing odors from exhaust air. Screen-
mum, remain fully operational at the 25-year flood ele- ings are another source of odors, and they should not

TABLE 25.15 Sewer Design Tabulation (Continued)

(1) (2) (3) (4) (5) (6) (7) (8) (9) (10) (11) (12) (13) (14) (15) (16)
PEAK GROUND ELEV. STREAM SEWER HEAD Q SEWER INVERT CON-
LINE FROM TO LENGTH FLOW LOWER UPPER ELEV. DIA. VEL. SLOPE LOSS FULL LOWER UPPER TROL
6 5 6 340 1.97 220.6 222.1 218.2 12 3.1 0.0044 1.50 2.5 213.60 215.10 Cover
.....................................................................................................................
7 6 7 340 1.97 221.1 223.9 220.3 12 3.4 0.0053 1.80 2.8 215.10 216.90 Cover
.....................................................................................................................
8 7 8 470 0.90 223.9 226.7 223.1 8 2.6 0.0054 2.54 0 217.16 219.70 Cover
.....................................................................................................................
9 8 9 220 0.57 226.7 227.9 224.5 8 3.0 0.0070 1.53 1.1 219.70 221.23 Cover
.....................................................................................................................
10 9 10 350 0.35 227.9 230.1 227.0 8 2.8 0.0063 2.20 0.9 221.23 223.43 Cover
.....................................................................................................................
11 10 11 350 0.35 230.1 232.0 228.2 8 2.7 0.0054 1.90 0.93 223.43 225.33 Cover
2. Manning’s n is 0.013 (generally always used for design).
3. Knowing n and S, from Figure 25.7 using a straight edge, the two points will establish a point on the pivot line.
4. Maintaining the pivot point, rotate the straight edge to the required Q as shown in column 5. Note that the straight edge falls between 12 in and 15 in
pipe diameter. The straight edge is rotated about the pivot point to the next larger pipe diameter of 15 in. At this alignment of the straight edge D, V,
and Q full is established. The most economical condition is to lay the sewer on the same slope as the ground surface. In this example the grund slope
is adequate to provide the minimum velocity of 2.0 fps. A 6-ft cover requires that the sewer invert be 6.0 ft ⫹ the 1.25-ft pipe diameter, 7.25 ft from
the ground elevation at each end of the sewer segment. In some instances it is necessary to check cover at low point between manholes and the
designer should always make this check. Columns 9, 10, and 13 data is obtained from the nomograph shown as Figure 25.7. Columns 14 and 15 are
based on cover to be provided and head loss as shown by column 12.
5. Check upper end invert for cover at stream crossing when submain is installed.
6. The rules for connecting sewer segments at manholes are:
a. The crown of the entering and exiting pipe are at the same elevation.
b. The 0.8th depth of the entering and exiting pipe are at the same elevation. This option has been used in this example. Note Manhole 4 where the
entering sewer is 12 in and the downstream sewer is 15 in in diameter. In this case the drop in invert elevation across the manhole is 0.20 ft.
c. If the crowns had been placed at the same elevation the drop would have been the difference in the diameter of the two sewers or 0.25 ft.
d. Past practice has been to provide a 0.10-ft drop across the manhole where there is no change in pipe diameter. This practice is no longer consid-
ered to be necessary. If a smooth chsnnrl having the same diameter as the sewer is constructed across the manhole when the bench is made, there
is no need for this drop. In fact, the change in velocity resulting from a 0.10-ft drop is likely to cause problems. Note in the data in Table 25.15
that no loss is shown across the manhole where there is no change in pipe diameter.
7. In cases where the sewer is at a depth greater than what is needed to provide minimum cover, the sewer slope to be used is generally the slope
required to provide the minimum velocity, which is usually 2.0 or 2.25 fps. This permits minimizing the depth of construction. Never use a greater pipe
size than what is required to carry the flow. Designers sometimes do this when designing sewers for flat terrain to reduce the slope required to provide
the minimum velocity (Note in Eq. (25.7) that the larger the pipe diameter, the smaller the slope required to maintain a velocity). This practice will lead
to maintenance problems because the actual velocity of the partially filled pipe will result in the deposition of solids.
be stored at locations where odors will affect the sur- 䡲 The exterior architecture of the station should not
rounding area. Accumulation of solids in a poorly de- detract from the appearance of the neighborhood. A
signed wet well may also cause odors. pumping station can be located in any residential
Noise will not normally be a problem at a properly neighborhood if it is designed and sited in an attrac-
designed facility. The noise level from the operation of tive manner. Windows should be avoided to reduce
pumps and motors is low and should not be noticea- vandalism. False windows can be used where needed
ble outside the station. There will be some minor noise for architectural reasons. The owner should always be
from the maintenance truck and crew that checks the consulted about the exterior appearance of the station.
station on a daily basis. If the station design includes The grounds should be properly landscaped for ap-
on-site emergency power, the generator will need to be pearance and drainage. Use slow growing shrubbery,
exercised weekly, but residential type mufflers are avail- gravel areas and pavement to reduce maintenance re-
able and should be used. The exercise period is usually quirements.
one-half hour and should be scheduled during the
normal workday. Design Types
䡲 A buffer area of at least 100 ft around the station The engineer should be familiar with the requirements of
should be owned by the utility. A cyclone type fence the utility that will own and operate the station. Utility per-
should be installed around the station to minimize sonnel prefer to have equipment that they are familiar with
problems with vandalism and, more importantly, to re- for ease in maintenance. If the utility staff does not like the
duce the possibility of accidents involving children. type of equipment provided, it probably will not be a suc-
cessful project. It is also important that the equipment be to the site already assembled and is placed on a concrete
procured through a manufacturer’s representative who will pad, connected to a wet well discharge, force main piping,
be available and responsive if problems occur with the and to an electrical supply.
equipment. The engineer always has the option of designing a con-
A small lift station may serve a few houses, a business, structed-in-place wet well-dry well design where reinforced
church or school. This type of station can be as simple as concrete basins are constructed and the pumping equip-
placing one or two small pumps in a manhole. It is widely ment, piping and associated appurtenances are assembled
used with submersible pumps, with the manhole housing in place. The wet well is the receiving chamber for the
the pumps serving as the wet well. Small grinder pumps incoming flow. The wet well serves as a flow surge basin
are often used, in which case the force main may be a 11⁄4- and as short-term storage during periods when the pumps
in. plastic pipe. Pneumatic ejectors may also be used for are not operating. The dry well is isolated from the wet well
small lift stations, but ejectors are generally located inside except for the pump intake pipes. The dry well houses the
buildings to lift the flow from floors lower than the public mechanical equipment. The electrical equipment, including
sewer up into the sewer. Ejectors located inside buildings the pump motors, is generally placed in the ground floor
are part of the building plumbing. In most instances, these housing located over the dry well. Both the wet well and
small lift stations should include two pumps with automatic dry well must be suitably lighted, ventilated and have
alternation for station reliability. proper access for maintenance personnel. This type of
Moving up in capacity, the second type of pumping or pumping station can be designed to incorporate all specific
lift station may be of the same general type as described requirements of the operating utility, but it is the most ex-
above, except for the size or capacity of the equipment and pensive to construct and to operate and is normally not an
the reliability of the station. This size of station would al- option for a station serving a land development project.
ways pump into a force main 4 in. in diameter or greater. With designs where the maintenance personnel must en-
The station should always have two pumps and generally ter the wet or dry wells, a minimum two-man crew must
have on-site emergency power. The engineer has many op- be present, whereas only one person can carry out the rou-
tions available for selecting the type of pumping facility to tine maintenance at a submersible station as no below-
be used. However, the submersible station design will nor- ground tasks are required. It is important to note that all
mally offer the most economical and functional choice for pumping station designs be checked for flotation. While
use in systems serving small communities. more engineers and utilities are using submersible pump
Figure 25.19 shows a design employing two submersible stations as described above, the older accepted practice of
pumps placed in a properly sized concrete manhole. The constructing a built-in-place wet well-dry well pumping sta-
bottom of the manhole is filleted and sloped to direct the tion remains the standard design for the larger installations.
flow to the pump intake and to prevent solids accumulation Submersible pumps can be used in dry well installations.
in the manhole. The pump mounting design provides for
the pump to be removed and replaced by a lifting chain
Components of a Pumping Station
without the need to enter the manhole. A lifting hoist is
provided as part of the station design. All valves and con- The flow schematic shown in Figure 25.20 is common to
trols are located in a separate vault for ease in maintenance, all pumping stations, except the gate valve is not needed
thus eliminating the need to enter the wet well. This type between the wet well and the pump in a submersible design
of pumping station can be used for designs of any size. because the pump is installed in the wet well.
Where the average daily flow is greater than 0.5 mgd, the Screening. Screenings are the larger particles of floating
two pumps may be placed in separate chambers that are and suspended matter that may clog pumps and other
interconnected with isolation valves so that either chamber equipment. The quantity of screening normally does not
may be dewatered for maintenance. exceed 0.5 ft3 per million gallons of flow for residential
There are several manufacturers of reliable submersible sewage. Rags are the most troublesome items in pumping
pumps. No alternative offers the simplicity, reliability and stations. The quantity of screenings to be removed will de-
economy that is achieved with a submersible pump station. pend on the type of housing and other sources of incoming
Four-ft diameter manholes are normally used as the wet sewage. The screening device should be located such that
well in collection systems; however, manholes are generally all incoming flow passes through the chamber before en-
available in diameters up to 10 ft. When a large-diameter tering the wet well. The device should only remove material
manhole is needed for locations where they are not avail- that will interfere with the station operation because of the
able, reinforced concrete pipe can be placed vertically on a difficulty of handling removed material. Disposal methods
concrete pad. When concrete pipe is used, the design must include grinding and returning the material to the flow, bur-
connect the pad and pipe together in a manner that will ial and incineration. Burial and incineration should be off
prevent leakage at the joint. site from the pumping station. Maintenance crews generally
While the submersible pumping station is recom- carry the screenings from small pumping stations back to
mended, there are hosts of ‘‘package pump station’’ designs the treatment plant for treatment and disposal. Macerators
available. Generally, the entire pumping station is shipped are available for locating on the incoming sewer and should
F IGURE 25.19 Typical submersible pump station. Reprinted with permission from FLYGT Corporation, 1993, Wastewater Pumps, Catalog,
Trumbull, Conn.

stations, the basket is lowered into place and removed by

a cable hoist. The basket is held in place by guides or by
hanging hooks as shown in Figure 25.21. Hanging hooks
are generally more satisfactory because guides are a main-
tenance problem.
Fixed bar screens are used in larger pumping stations.
The bar screen is placed in a straight channel, usually lo-
F IGURE 25.20 Schematic of a pumping station. cated at the entrance to the wet well. The screen is inclined
from 30 to 60⬚ from the horizontal. The corners of the
channel should be filleted to minimize problems with solids
be considered for use on sewers serving industrial areas accumulation, particularly grit. The bars generally have a
producing significant fibrous wastes. face dimension of 1⁄4 to 3⁄8 in. and a depth of 2 to 21⁄2 in.
The screening device for small to moderate-size pumping The bar size for larger screens is determined by the struc-
stations, serving primarily residential areas, may be a basket tural requirements, with the face dimension limited to 3⁄8
located such that the flow passes through the basket as it in. The clear space between the bars is normally 2 to 21⁄2
enters the wet well. Daily cleaning should be scheduled in. The bars are held together with a welded strip located
until experience shows that a less frequent schedule is ad- on the downstream side at the bottom and top of the
equate. The design permits overflow in case of stoppages screen. A rake, having teeth size and spacing compatible
without causing a sewer backup. The basket should be de- with the screen, should be provided for cleaning the screen.
signed for easy removal of the screening. With submersible The screenings are raked to the top of the screen where
F IGURE 2 5 . 2 1 Hook-mounted basket (a); Guide-mounted basket (b). Part b is reprinted with permission from Washington Aluminum Company,
Components for Water and Wastewater Plants, Catalog, Baltimore, Md.

they fall into a can having a perforated bottom for drainage loss through a clean screen is small, being less than 1 in.,
or onto a drain rack. The top of the bars may be curved but most of the time the screen is partly clogged, and this
over to facilitate cleaning. Fiberglass racks and slide gates can materially increase the loss. Note the curved bars that
are available and should be considered for a design. aid in handling the screening. The screenings are raked
Mechanically-cleaned screens are used at large stations. onto a drain pad. After draining, the screenings are removed
The approach velocity to the screen should not be for disposal.
greater than 2.5 fps at peak flow. The design must allow Sizing of the Wet Well. The wet well is a chamber that
for the energy loss in the channel and through the screen has been sized to receive and accumulate the incoming flow
so that the incoming sewer is not surcharged. Also, the when the pumps are not operating. The wet well also pro-
maximum operating level in the downstream wet well must vides some flow equalization, thus reducing the peak
not surcharge the screen. When the screen is located in a pumping rate from the peak influent flow rate. Some com-
subsurface chamber, suitable hoisting equipment should be mon design criteria for pumping stations include:
provided for lifting the screening to the surface. A typical
manually cleaned bar screen is shown in Figure 25.22. Cal- 1. Pumps are selected to pump 2.5 times the average
culations are shown for sizing a screen to handle the flow daily flow rate with the largest pump out of service.
from the West Creek sewer. For example, if only two pumps are provided, each
The average and peak flows at Point Y are 1.25 cfs must have a pumping capacity of 2.5 times the average
(809,560 gpd) and 5.63 cfs respectively (see Table 25.13). daily flow rate. If three pumps are provided that are
The approach velocity is to be 2.5 fps at peak flow. The not of equal size, the two smaller capacity pumps must
be capable of pumping 2.5 times the average daily
bars are to be 1⁄4 in. ⫻ 2 in. with 2-in. clear openings
rate. All pumping stations should have at least two
between bars.
pumps so that any single pump can be removed for
Cross-section area of flow ⫽ Q /V ⫽ 5.63 cfs/2.5 fps ⫽
maintenance.
2.25 ft2.
Select Channel Depth. The incoming 15-in. sewer at 0.8 2. There is a heat build-up in pump motors if the
depth of flow ⫽ 1 ft; therefore, a 1-ft depth is selected for frequency of starting is too great. This can shorten the
the approach channel. Width of channel ⫽ 2.25 ft/1.0 ft life of the motor. Most heavy-duty motors of the type
⫽ 2.25 ft ⫽ width of screen. Note in Figure 25.25 that free used with pumps can be started up to about ten times
fall of about 3 in. is provided at the influent pipe and 6 in per hour without overheating occurring. Starting fre-
of fall is provided through the screen chamber. The energy quency is controlled by the size of the wet well, and
F IGURE 25.22 Manually cleaned bar screen.

this should be coordinated with the electrical designer 12. No air should enter the dry well from the wet
to ensure that the proper class of motor is specified. well.
3. The wet well should be filleted to eliminate cor- 13. Pumping stations located in an area where sew-
ners where grit can accumulate. age back-up or overflow would result in a health haz-
ard should include an on-site power generator. These
4. The wet well should be divided into sections at
generators are normally diesel engine driven and de-
larger stations so that the section supplying each pump
signed to start automatically upon a failure of the off-
can be isolated and dewatered for maintenance. This
site power supply and to return to standby conditions
can be accomplished with submersible pumps by plac-
when the off-site power supply is restored. The units
ing each pump in a separate manhole that is suitably
are designed to keep the facility completely opera-
interconnected and valved.
tional. An on-site fuel supply for 36 to 48 hr of opera-
5. If maintenance crews are required to enter a tion is provided as a part of the design.
chamber for routine maintenance, proper ventilation
must be provided. The ventilation fan should be sized Pump Selection
to provide 30 air changes per hour. Air is usually ex- Sewage pumps are centrifugal, volute, non-clog impeller de-
hausted from near the floor so that fresh air is brought sign. The impeller should be designed to pass a 21⁄2-in.
into the top of the chamber as the crew descends. The diameter sphere. The pump manufacturer provides per-
exhaust fan switch should be located at the top of the formance curves for each impeller available for the specific
stairs or ladder so the fan can be started before enter- pump. A typical performance chart for a submersible pump
ing the subsurface chamber. is shown in Figure 25.23.
6. A potable water hose bib should be available at The performance curve shown in Figure 25.23 only
each structure for use in cleaning. The potable source shows the characteristics of the particular pump for a single
should be protected by installing a backflow preventer impeller. The manufacturer casts the largest impeller that
on the service line serving all outlets except the drink- can be used with the pump. Impellers are then trimmed to
ing fountain and bathroom. the diameter required to provide the head and flow needed.
Figure 25.24 provides performance data for eight im-
7. A flow-measuring device should be included in the peller diameters. The diameters, in millimeters, are shown
design. Ultrasonic meters are reliable and widely ac- along the ordinate of the graph. Efficiency curves are shown
cepted. for the operational range of the pump, with the peak effi-
8. The short intake piping and intra-station effluent ciency being 87% for the 870-millimeter impeller. Addi-
piping may be designed for velocities of 6 to 8 fps, but tional data available from catalogues include intake and
force mains are not normally designed for velocities discharge connection diameter, brake horsepower, and ro-
greater than about 5.0 fps at the peak pumping rate. tational speed. Rotational speed is also an important char-
Higher velocities scour and erode the pipe, and the en- acteristic in pump selection. Higher rotational speed will
ergy loss increases exponentially with an increase in increase flow and head, but bearing life is generally mate-
velocity. A minimum velocity of 2.0 fps should be pro- rially reduced. A lower rotational speed pump may cost
vided at the minimum pumping rate. more, but reliability will be significantly improved. The
pump selected should operate at less than 1700 and specify
9. Pump stations, except for the very small ones, any diameter between 7 in. and 10 in. Net positive suction
should have an alarm system for the following mal- head (NPSH) is the difference between the absolute pres-
functions: power supply failure, pump fail to start, sure at the suction point and the vapor pressure of the
high level in wet well, failure of sump pump to oper- liquid. Failure to maintain the NPSH can result in vapori-
ate, and failure of on-site generator to start. Other zation of the liquid being pumped, with the resulting cav-
alarms may be needed at specific locations. The alarm itation causing damage to the pump. The low water pump
should be relayed, by telephone line or otherwise, to a shut off level is usually set no lower than the midpoint of
central manned location. the pump bowl so that pump suction is not a problem.
10. A check valve should be placed in each pump Pump efficiency is shown to vary between 58 and 72%.
discharge pipe to prevent back flow through the Brake horsepower is shown for each of the four impeller
sizes.
pump. A gate valve should follow the check valve so
The total head imparted to the flow is shown as the
that the pump and check valve can be isolated for
ordinate for the indicated flow rate. The head imparted is
maintenance.
not the same as the discharge pressure. The imparted head
11. The top of the pump bowl on horizontal impeller is the discharge energy minus the intake energy of the flow.
shaft pumps should contain an air release valve that is Note that for centrifugal pumps, as the discharge head de-
vented back to the wet well. creases, the motor horsepower requirement increases.

F IGURE 25.23 Pump performance curve. Reprinted with permission from FLYGT Corporation, 1993, Wastewater Pumps, Catalog, Trumbull,
Conn.

F IGURE 25.24 Centrifugal pump performance curve. Reprinted with permission from FLYGT Corporation, 1993, Wastewater Pumps, Catalog,
Trumbull, Conn.

Never oversize a centrifugal pump as this may lead to an head. However, as more pumps come on line, the energy
overloaded motor. loss increases as defined by the Hazen-Williams equation
It is sometimes necessary to install two centrifugal and shown by the system curve. Thus, the flow capacity of
pumps in series to provide the required energy input. When two pumps is less than twice that of the single pump op-
centrifugal pumps are installed in series, the flow through erating. The capacity of each pump is the same and is one
each pump is the same, and the energy input is the sum half, one third or one fourth of the total, depending on the
imparted by the two pumps. The two pumps are designed number of pumps operating.
as separate pumps and piped to operate in series. With Pumping stations serving a long force main should have
water pumps, series impellers can be installed in a single a surge relief valve to relieve the surge from water hammer.
multi-stage pump housing (multi-stage pump has two or This valve is located on the station discharge piping and is
more impellers on the same shaft within a single housing). vented back to the wet well.
However, this can not be done with sewage pumps because The incoming 15-in. sewer at Point Y has an invert el-
the pump must be designed to pass solids. Therefore, sew- evation of 204.75 ft (see Table 25.15). The fall in the piping
age pumps are designed as separate pumps where series and bar screen is 1.00 ft, giving an invert elevation entering
operation is required to induce the required head. the wet well of 203.75 ft. Each of the two pumps are to be
When centrifugal pumps are installed in parallel, the installed in an 8-ft diameter manhole (volume per vertical
flows can not be summed to obtain the flow from the two foot ⫽ 375.8 gallons per manhole ⫽ 100 ft3 for the two
(or more) pumps. Figure 25.25 shows a pump curve that manholes). The minimum inflow rate is taken as about 10%
has been constructed for four pumps installed in parallel. of the average rate or 50 gpm. The peak inflow rate is 2530
The pump curve is constructed by selecting a head and gpm (see Table 25.13) and the pumping rate will be 2.5
drawing a line parallel to the abscissa. Each pump discharge times the average daily inflow rate (2.5 ⫻ 562.2 gpm ⫽
for that head is added along the line. In the figure, all four 1405 gpm).
pumps are identical, but the same principle applies if the The wet well should be sized to provide at least a
pumps are different. When pumps having different per- 4-minute run time at minimum flow. Therefore, the volume
formance characteristics are installed in an installation, the of the wet well is the pumping rate minus the inflow
smaller pump will not function if the discharge head of the rate ⫽ (4 ⫻ 1405) ⫺ (4 ⫻ 50) ⫽ 5420 gallons ⫽ 724.6
larger pump is greater than the shut-off head of the smaller ft2. The operating depth of storage in the wet well ⫽ 724.6
pump. Shut-off head is the head produced by a pump at ft3./100 ft3 of volume per ft ⫽ 7.25 ft. Therefore, the pump
zero flow and is shown by the ordinate-intercept of the cut-off depth ⫽ 203.75 ⫺ 7.25 ⫽ 196.50 ft. These depths
pump curve. are shown in Figure 25.26. Note that the bottom of the
A system curve is then constructed starting with the manhole is the distance from the pump connection flange
static head at the ordinate intercept and adding the system to the bottom of the pump mounting plate, which is lower
energy loss at two or more flow rates to permit drawing the than the pump stop level. This dimension is obtained from
curve. The interception of the system curve with the per- pump catalog information.
formance for the indicated number of pumps shows the A suction lift exists when the hydraulic grade line drops
capacity for the respective number of pumps. Note that in below the center of the pump bowl. Suction lifts should be
Figure 25.25, since four pumps are identical, the distance
between the curves at the total head value are the same, as
each pump has the same pumping capacity at any given
F IGURE 25.25 Performance curve for up to four identical

pumps operating in parallel. F IGURE 25.26 Schematic showing pump wet well elevations.

The profile for the force main to be constructed between

the West Creek pumping station located at Point ‘‘Y’’ in
Figure 25.18 to the existing gravity trunk sewer is shown
in Figure 25.30. The low water level in the station wet well
is 196.50 ft. The invert of the force main at the discharge
point is 308.15 ft (obtained from field survey or taken from
as-built drawings available at utility), giving a static head of
111.65 ft.
The energy loss due to pipe roughness for pressure flow
is generally determined by the Hazen-Williams Equa-
tion. The terms in Eq. (25.18) are: V ⫽ velocity in fps,
C is the Hazen Williams Coefficient, R is the hydraulic
radius ⫽ D/4 in feet for circular pipe and S is the hydraulic
gradient ⫽ head loss/length. Eq. (25.19) is the continuity
F IGURE 25.27 Profile of ground surface along force main equation for non-compressible flow. Eqs. (25.20) and
route. (25.21) are rearrangements of Eq. (25.18). Note that the
flow varies directly as C for a constant hydraulic gradient
and pipe diameter. The technology of pipe manufacture is
such that all pipe is near smooth wall. Most information
avoided with sewage pumps unless the installation is spe-
supplied by pipe manufacturers indicates that a C value of
cifically designed to be self-priming. Total dynamic suction
140 to 150 should be used in design; however, engineers
lift is the vertical distance in feet from the center line of the
generally use a value between 100 and 120. This allows for
pump to the free liquid level in the wet well plus all energy
normal minor losses in the pipe and also accounts for a
losses in suction pipe and fittings.
somewhat deteriorated pipe wall condition after the pipe
The total dynamic head imparted by a pump is the dif-
has been in use for several years.
ference in energy across the pump and is given by the E
term in Eq. (25.16). V ⫽ 1.318 CR 0.63 S 0.54 (25.18)
V 2
V 2
Q ⫽ AV (25.19)
⫹ P1 ⫹ Z1 ⫹ Ep ⫽
1 1
(25.16)
2g 2g Q1 C
⫹ P2 ⫹ Z2 ⫹ H1⫺2 ⫽ 1 (25.20)
Q2 C2
Points 1 and 2 are located on the suction and discharge
side of the pump respectively. Point 1 may be the water
surface level in the wet well and point 2 the free discharge
H1 ⫽ 冋 V
1.318 CR 0.63册 1.85
L (25.21)
point at the end of the force main. Points 1 and 2 must be

Various types of nomographs and slide rules are available
the same for all parameters in Eq. (25.16). V is the velocity,
for solving the Hazen Williams Equation. One type of no-
Z is the vertical distance from the same datum to the re-
mograph is shown as Figure 25.28.
spective points, E is the energy imparted by the pump and
As determined above, the static head for the pumping
H is the energy loss between the two points. Each term in
station is 111.65. The friction loss is based on 1600 ft of
the equation has the dimension of feet.
pipe plus the minor losses in the pumping station. The
Brake horsepower is the shaft input to the pump and is
pumping rate is 1405 gpm or 3.13 cfs. Force mains are
given by Eq. (25.17).
generally designed for a velocity at peak flow of around 5
(gpm) (Head in Feet) fps. From the continuity equation and Figure 25.31, it is
BHP ⫽ (25.17) found that a 12-in. pipe at a velocity of 5.0 fps will have a
(3,960)(Pump Efficiency)
capacity of 1737 gpm and that a 10-in. pipe requires a
Brake horsepower is the work done by the pump expressed velocity of 5.7 fps to carry 1405 gpm. The 12-in. pipe is
in foot pounds per minute. Raising a gallon of water 10 ft selected for the force main because the friction loss will be
represents 8.34 #/gal ⫻ 10 ft ⫽ 83.4 ft-# of work. One less and because there is another area at station 10⫹00 that
horsepower is doing work at a rate of 33,000 ft-# per min- may use capacity in the force main at a later date.
ute. In Eq. (25.17), 3960 is obtained by dividing 33,000 Since the flow from the pumping station will be small
by 8.34. Pump efficiency is expressed as a decimal and not for several years, it is decided to install less than the full
in a percentage (obtained from pump performance curves). pumping capability at this time. A force main should have
Velocity head is usually ignored in pump selection because a minimum velocity of 2 fps when the pumps are operating.
it is insignificant. For example, at a velocity of 5 fps, the Thus, the initial pumping capacity will be at least 710 gpm.
velocity head (see Eq. (25.5)) ⫽ 25/64.4 ⫽ 0.39 ft. Figure 25.28 shows a hydraulic gradient of 0.0016 when

F I G U R E 2 5 . 2 8 Alignment chart for Hazen-Williams Formula for pipe flow. From Design and Construction of Sanitary and Storm Sewers,
Manual of Practice No. 9, ASCE 1969. Reprinted with permission from the American Society of Civil Engineers, New York, New York.
using a design C of 120 and a flow of 710 gpm in the 12- ft, giving a total equivalent line length of 1600 ⫹ 222 ⫽
in. pipe. The hydraulic gradient at 1405 gpm is 0.0056. 1822 ft. At the hydraulic gradient of 0.0056, the initial fric-
Minor losses are losses in valves, bends and segments of tion head loss will be 10.2 ft, which is added to the static
a conduit that produce turbulence over that for straight head giving a pumping head of 111.65 ⫹ 10.2 ⫽ 122 ft.
pipe. These losses are usually neglected in a pipeline, but The pump selected, as shown by the performance curve in
they can become significant in a pumping station. One Figure 25.26, will deliver about 750 gpm at the required
method of accounting for minor losses is by use of Figure head. This pump will operate at about 53% efficiency and
25.29. Knowing the source of the minor loss, the infor- require a 40-Hp motor.
mation from the figure can be used to determine an equiv- The pump selected will accept larger impellers and mo-
alent length of straight pipe. For example, a check valve is tors as shown by the catalog data. These can be changed
equivalent to 80 ft of 12-in. pipe. The following minor when the need arises without having to replace the
losses apply to the West Creek Pumping Station: one check pump. The daily cost of pumping can be determined as
valve, one gate valve, two elbows and one tee, giving the follows: BHp ⫽ (750 gpm)(122 ft)/(3960)(0.53) ⫽ 43.6
following equivalent lengths: 80 ft ⫹ 6 ft ⫹ 33 ft (2) ⫹ 70 (see Eq. (25.15)). Electric Power ⫽ BHp/Efficiency of

motor ⫽ 43.6/0.92 ⫽ 47.4 Hp. Cost ⫽ (Hp)(0.746 The hydraulics of sewers as presented, along with the
kW/Hp) (Hours)1 ($/kWH) ⫽ (47.4) (0.746) (24) (0.402) data in Table 25.5, apply to all sewer designs. However, the
($0.083) ⫽ $27.16/day. calculations required in the design of collector sewers are
Other appurtenances to be included in a force main de- generally much less complicated than what are required for
sign include air relief valves and blow-off valves. Air relief larger sewers. As shown in Table 25.5, an 8-in. sewer flow-
valves must be placed at high points in the force main, as ing full at a slope of 0.0042 ft/ft, and a roughness coeffi-
an accumulation of air will restrict the area of flow and cient n of 0.013 has a capacity of 354 gpm (0.51 MGD).
result in a decreased carrying capacity of the line. It is seen At this flow, the ‘‘peaking factor’’ is 5.0 (see Figure 25.2),
from the line profile in Figure 25.27 that an air valve is giving an average daily flow for design of 0.1 MGD (hy-
needed at about station 8⫹00. An air relief valve for sewage draulic design flow divided by peaking factor ⫽ average
must be used. The valve is placed in an enclosure such as daily flow from source). Thus, an 8-in. sewer will sewer 270
a manhole. Blow-off valves are located at low points in the single-family houses (270 SF units times 370 gpd/unit ⫽
line to permit draining the line for maintenance. A blow- 99,900 gpd) or 333 townhouses (see Table 25.2 for average
off valve is usually a gate valve or a plug valve. The profile daily flow per unit). Likewise, a 10-in. sewer will serve 476
of the main shows that a blow-off valve is needed at about single-family units or 587 townhouses (peak factor ⫽ 4.5).
station 10⫹00. Plug valves are generally preferred over gate A 12-in. sewer will serve 700 single-family units (peak fac-
valves because of the ease of operation. A plug valve only tor ⫽ 4.4) or 863 townhouses.
needs to be turned 90 degrees to open or close, whereas a The sewer capacities shown above are based on a min-
gate valve requires much more effort and time to open or imum velocity of 2.25 fps. When a sewer is placed on a
close. slope greater than required to provide the minimum veloc-
Solid state frequency controllers are very reliable means ity, the sewer capacity is increased in accordance with the
of varying the speed of the pump motor. Variable speed Manning equation (see Figure 25.7). Generally, the sewer
pumps should be considered for pumping stations as their design for the normal subdivision does not require the cal-
use will minimize surges in the force main from the con- culations of flow and tabulation of data as shown for the
stant speed pump cycle. The variable speed feature will re- larger capacity main sewers by Tables 25.13 and 25.15. For
sult in the pumping rate matching the incoming flow rate. subdivisions where the number of units is less than 500,
Variable speed pumping stations at sewage treatment plants the engineer is concerned with selecting the most appro-
will greatly reduce surge waves through the plant. priate sewer layout and insuring that the sewer depth is
sufficient to provide gravity drainage from the units served
DESIGN OF SANITARY SEWERS WITHIN SUBDIVISIONS and that the sewer slope is equal to or greater than required
General to provide a velocity of 2.25 fps (slope greater than 0.0042
ft/ft). When designing the sewer collection system for
The previous section presents procedures for the design of
single-family subdivisions greater in size than 500 units or
a main or trunk sewer such as those needed for sewering
townhouse developments greater than about 800, the de-
an entire sewer shed. This section presents the principal
sign engineer should perform the design calculations as
elements that are generally applicable to the layout and de-
shown for large sewer mains. The upstream terminal seg-
sign of a sewage collection system to serve a subdivision or
ment of a sewer line should be placed on a 1% slope be-
development.
cause this segment will only serve a few houses, and the
The design of a sewage collection system for a subdivi-
greater slope is needed to ensure that adequate scour is
sion generally requires fewer hydraulic calculations than is
provided at the low flow. The minimum diameter for a pub-
needed in the design of a main sewer, such as presented in
lic sewer is 8-in. Also, as noted previously, infiltration
Table 25.13 and Table 25.15. There are many important
should essentially be zero in a properly constructed sewer.
aspects in the layout and design of any sewage collection
The unit flow data given in Table 25.2 includes an allow-
system, and an experienced engineer should be involved in
ance for infiltration.
the process. A poorly conceived layout of a collection sys-
tem will increase the construction costs and generally result Feasibility Investigation
in additional maintenance requirements. Care must also be
Often times an engineering firm will become involved in a
taken to insure that all lots can be properly sewered.
feasibility investigation. This investigation, generally con-
ducted prior to the developer purchasing the property, is
important in that it will confirm the zoning of the parcel,
1
Note: 24 hours is used in the example. Pumps may operate fewer hours per day, the availability of an adequate water supply and sewer ser-
and this would be used in the equation period. vice. The investigation should also discover any limitations
2
Since the pumping rate is 2.5 times the average daily flow, the pump will only
operate 40% of the time when the flow reaches the design rate. The flow and pump
to development, whether environmental or physical.
run time will be less until the sewer shed is developed to design density. The engineering firm should be staffed to provide com-
3
Power costs are assumed as $0.08 per kilowatt hour. plete engineering and surveying services as needed to carry

F IGURE 25.29 Equivalent lengths for minor losses. Reprinted with permission from Crane Co. Stamford, Conn.

the project from inception to completion of construction. that the additional costs are acceptable, he should so advise
The staff should have a thorough knowledge of local and the engineer so that work can proceed.
state ordinances, laws and regulations, in addition to a
broad experience in the technical aspects of land develop- The Preliminary Plan
ment. An experienced engineer should direct the preliminary plan
Some of the items to be researched as a part of the feas- design. Many important aspects leading to the success of
ibility investigation include: the development are related to the preliminary plan. These
include: the lot yield of the tract, the grading required, the
䡲 Location of the parcel. length of roadway to be constructed, the layout, costs and
䡲 Metes and bounds of the parcel. Confirm title to ease of construction of the sewer and other utilities and the
the property. overall appearance of the completed development. The en-
gineer’s task is to select a sewer layout that will most effec-
䡲 Zoning for the parcel or comprehensive plan if not tively serve an area at the least cost while providing
zoned. long-term reliable service with minimum maintenance. The
䡲 Availability of utilities, including location and ca- principal items affecting construction costs are the length
pacity. of sewer, sewer depth and subsurface obstacles to construc-
tion. Deep sewers are particularly expensive when construc-
䡲 Are off-site easements needed to bring utilities to tion is in rock. The principal items affecting maintenance
site? Local public utility should be willing to acquire costs include infiltration and stoppages. Both items are re-
any needed off-site easements if condemnation is related to the quality of the material specified by the engineer
quired. and to the quality of the construction. A properly designed
and constructed sewer should require little if any mainte-
䡲 Mapping available. Existing mapping may be ade-
nance. The engineer has suitable material available for use
quate for developing a preliminary plan, but field sur-
that will provide relatively carefree service for many years.
veys should be conducted for establishing the site
Good engineering includes specifying the proper materials
boundary and topography of the site for final design.
and construction requirements and providing competent in-
䡲 Existing easements on the property. spection of the construction.
Items such as the boundary shape of the parcel, topog-
䡲 Environmental concerns—wetlands, noise, endan-
raphy, and the location of existing connecting roads and
gered species, flooding, drainage problems.
utility lines will influence the location of streets and plani-
䡲 Will sections of sewer system need to be designed metric design. While it is preferable that utilities such as
to provide future service to off-site properties. sewer, water, and gas be located within the public street for
ease of maintenance, this may not be possible for all sewer
䡲 Any special local policy or regulation such as storm
lines because of topographic considerations. Water and gas
water management or open space requirement.
lines are almost always located within the public streets,
䡲 Traffic considerations. with the water meter being placed at the front property line.
When the sewer is located within the street, it is generally
Zoning for the parcel will dictate several features of the located along the center line, except for curvilinear street
development that will affect the sewer layout. These features segments, where the manholes are located so as to keep the
include: street width, lot size, sidewalk and curb and gutter sewer within the paved street area. Locating the sewer as
requirements, and building setbacks from property lines. near as feasible to the center of the street will result in equal
This chapter is only concerned with items related to the lengths of building spurs to the units on each side of the
sewer design. A more complete description of items asso- street. The sewer should never be located under the curb
ciated with a feasibility investigation is included in the because access for maintenance is thereby limited. Most or-
chapter on Feasibility Studies. A second meeting should be ganized utility departments have regulations on the location
scheduled with the staff of the sewer utility and other agen- of utility lines because uniformity in location and construc-
cies having jurisdictional authority after most of the mate- tion methods throughout the system aids in maintenance.
rial for the preliminary plan has been accumulated to A public or common sewer is a sewer that serves two or
ensure that all factors are given consideration. more building units. A private-ownership segment of sewer
If the results of the initial investigation are favorable for should never serve more than one customer. All segments
the planned development, the engineer should proceed of common or public sewers that are not constructed within
with the preparation of the preliminary plan. If problem public right-of-ways should be within dedicated easements.
areas are discovered that may limit the proposed develop- A 15-ft-wide easement is desirable with the sewer line lo-
ment, or if an unexpected development expense, either on cated at its center. Easements should not straddle lot lines
site or off site, is discovered, the developer should be ad- because homeowners often plant shrubbery or construct
vised before proceeding further. If the developer determines fences along property lines, making access to the sewer dif-

ficult. Easements should extend to the development bound- street. Sewers should not be constructed deeper than 20 ft
ary at locations where the sewer will need to be extended except where alternatives are not available because of the
in the future to serve off-site property. difficulty in maintenance of deep sewers. Topographic con-
Proper separation must be maintained between water ditions may make it necessary to locate sewer lines along
and sewer lines. Regulatory agencies generally require a the back of some lots in order to provide gravity drainage
minimum of 10 ft of horizontal separation between the two at a reasonable sewer depth.
conduits. Where field conditions preclude a 10-ft separa- A portion of a typical preliminary plan is shown in Fig-
tion, some agencies will permit construction with a 5-ft ure 25.5. This is part of a plan for a proposed development
horizontal plus an 18-in. vertical separation, with the water that was submitted to a local government for review.
line being the higher. Special design requirements may be
used where suitable separation cannot be maintained. Spe- Final Plan
cial conditions may include the use of ductile iron pipe for
The engineer should not proceed with the preparation of
the sewers or other safeguards to insure that the water lines
the final plans for a development until the preliminary plan
do not become contaminated in case of line leakage or
review has been completed and all departments of the local
breakage. Sewer lines placed within 20 ft of buildings may
government have approved the plan. In most instances, one
require special construction, such as concrete encasement,
department will act as the control department and distrib-
to ensure that any leakage will not seep around the building
ute the plans to the necessary departments, and all review
foundation. Also, if a building is located near or over a
comments will come back through the control department.
sewer, it may not be possible to access the sewer for any
While the sewage utility, whether it be the Department of
required maintenance.
Public Works or an Authority, will review and comment on
Sewer depth is established by the elevation of the build-
the sewer system proposed, the preliminary plan will be
ings to be served. The sewer should be sufficiently deep to
reviewed by a number of departments and agencies.
permit gravity drainage from all buildings if possible. For
Since, as noted previously, design calculations are sel-
residential subdivisions, the sewer depth is based on the
dom required for sewers within a subdivision, sewer slopes
building construction. If the homes have basements, the
are shown on the profile for each segment of sewer. The
sewer should be at sufficient depth to gravity-sewer the
slope is constant between manholes.
basement. Basement floors will generally be about 6 ft be-
The design engineer should follow certain rules in se-
low finished grade at the highest point next to the house.
lecting sewer slope. The slope for each segment of sewer
An additional 2 ft of depth is needed to allow for the base-
running between adjacent manholes is selected on the basis
ment foundation as the house sewer should be located be-
of design conditions. The overall design objective is to de-
low the wall foundation and not through the foundation.
sign the collection system that can be constructed most ec-
The building spur (sometimes referred to as the house lat-
onomically while maintaining good engineering practice.
eral or house sewer) should be placed on a minimum slope
This generally means keeping the sewer as shallow as pos-
of 1⁄4 in. per ft or 2 ft per 100 ft (slope ⫽ 0.02 ft/ft).
sible while complying with the criteria given in items 1 and
Plumbing codes allow a slope of 1 ft per 100 ft (slope ⫽
2 below.
0.01 ft/ft) for sewers under conditions where the greater
slope cannot be conveniently provided. Thus, where the 1. Minimum sewer slope—the slope required to pro-
public sewer is located in the center of a 50-ft street and vide a velocity of 2.25 fps, or the slope required to
the setback for the house is 50 ft, the invert of the house carry the required flow, whichever is greatest.
spur at the connecting point to the public sewer is 9.5 ft
lower than highest point of the finished grade at the house 2. Minimum cover
wall (from above 6 ft ⫹ 2 ft ⫽ 8 ft at outside of building a. Sewers located in streets should have at least 6
foundation plus 1-ft drop in elevation in the 50 ft distance ft of cover. If less than 6 ft of cover is provided,
between the house and front property line plus 1⁄2-ft drop special bedding may be needed because of the su-
in elevation in the 25-ft distance from the property line to perimposed load from traffic.
center of street). To allow for the wye connection, the invert
of the public sewer is the sewer diameter plus 1 ft, lower b. Sewers located within off-street easements
than that of the incoming house spur (see Figure 25.17 for should be placed below the freeze depth or at least
typical spur connection to public sewer). Thus, a total ver- to a depth of 3 ft.
tical drop of about 12 ft between the highest proposed c. Sewer segments serving a building lateral
grade at the house wall and the invert of the public sewer should be at sufficient depth to provide gravity
is needed to ensure gravity drainage when the house is con- drainage form the building served.
structed.
In relatively level terrain, there will be a drop across the Figure 25.30 shows a portion of the final plan for the
lawn of about 2 ft between the front building wall and the same section of a proposed development as the preliminary
street, making the sewer about 8 ft to 10 ft lower than the plan shown in Figure 25.5. The planimetric sewer layout is

F IGURE 25.30 Final plan.
highlighted on this drawing. The final grading contours are these drawings. If underground utilities are not shown, the
shown along with the storm drainage. The manholes have construction contractor is likely to damage them, leading
been numbered and the locations of the house laterals are to additional costs.
shown. A plan and profile sheet is used for presenting this de-
sign. The plan view is shown on the top half of the sheet
Plan and Profile and the profile is shown directly below on the bottom half
A plan and profile is prepared showing all utilities, includ- of the sheet. The plan and profile view for the final plan of
ing the sewers. If the sewer is located within a street, the Figure 25.30 is shown in Figure 25.31. The scale (of the
lines are a part of the street plan and profile. All existing original drawing) is 1ⴖ ⫽ 50⬘. In the profile view, the hor-
and proposed underground utilities should be shown on izontal scale of the profile is the same as that of the plan

F IGURE 25.31 Example of a plan and profile view for a sanitary sewer line.

view. The vertical scale is 1ⴖ ⫽ 5⬘. The larger scale is used sure (STEP) system. Figure 25.32 shows the basic elements
to show the detail needed for construction. The drawing is of both systems. A typical septic tank pump installation is
carefully constructed, as the contractor may need to scale shown in Figure 27.5. A typical grinder pump is shown in
some dimensions from the drawing during the project con- Figure 25.33. The GP system consists of a grinder pump
struction. that receives the flow from a dwelling or activity and pumps
Corresponding manhole numbers are shown on both the the flow into a pressure force main. The GP system may
plan and profile views. The building lateral locations are also be installed to replace an existing septic tank system
shown on the plan view, but note that the stationing and as shown in Figure 25.32. The STEP system follows a con-
elevation of each building lateral at the lot line is also shown ventional septic tank where the flow is pumped into a pres-
on the profile view. The contractor must construct the sewer sure force main.
as shown. Sewers located in a street are constructed to just Pumping equipment for the GP technology is well-
inside the property line and marked at the surface with a developed. The pump shown in Figure 25.33 is available
stake so that the house plumber can access the sewer within several sizes and capacities to serve uses from a single-
out disturbing the street. He keeps a set of plans in the field family dwelling to a small commercial or industrial flow.
with current field conditions noted thereon as the construc- The unit is supplied in a pre-piped and wired fiberglass
tion progresses. This field-set of plans is used to construct enclosure that can be installed in a basement, crawl space,
as-built drawings that become record drawings. The utility or below ground level. The units are available with one or
crews can then use these drawings in future years in main- two pumps for reliability. The unit is installed and the
taining the sewers. 4-in. building sewer is connected. Pumps are available for
The manhole stationing, along with the sewer slopes and pumping against discharge heads of more than 100 ft. Pres-
diameter, is shown for each segment of sewer. Note that the sure systems are designed similar to force mains as dis-
sewer grades are considerably greater than the 0.0042 ft/ft cussed in the section on pumping stations, except a
required to provide the minimum velocity of 2.25 fps. The determination of the number of pumps operating on the
water line is placed to provide 4 ft of cover, whereas the main at any one time and the resulting flow. GP suppliers
sewers are required to be much deeper in order to provide have developed this type of statistical data, and it can be
gravity drainage from the buildings. All information needed found in their catalogs.
by the contractor to construct the sewer, roads and other The normal wet well size for a single-family dwelling is
utilities is shown on the plan and profile. The engineer 60 gallons (pump enclosure provides wet well volume).
must be thorough in ensuring that all underground con-
ditions are shown on the final plan and profile. Existing
underground utility location can be obtained from as-built
drawings and supplemented through field surveys and test
pits. Specifications are prepared to establish the allowed
type of pipe material, the type of bedding required and the
acceptable infiltration. This information can also be in-
cluded on the plans as notes.
PRESSURE SEWERS
A pressure sewer collection system is used to reduce costs
relative to the cost of a conventional gravity system. The
technology may be the only feasible means of sewering
some areas. Pressure sewers are particularly applicable for
sewering less populated areas and developments or com-
munities located in hilly or rocky terrain. Conventional
gravity sewers may need to be deep and costly to construct
in areas where the topography is undulating. Also, a high
water table may make the construction of gravity sewers
economically unfeasible. Pressure sewers also have merit
other than lower construction cost. Reliable pumping
equipment is available. The technology requires no modi-
fication to the house plumbing, and, therefore, the use
of pressure systems causes little inconvenience to the
homeowner.
The two major types of pressure sewer systems are the
grinder pump (GP) system and the septic tank effluent pres- F IGURE 25.32 Flow diagram for pressure pumping systems.

F IGURE 2 5 . 3 3 Typical grinder pump complete with housing. Reprinted with permission from Environment One Corp. 1994, Grinder Pumps,
Environment One product catalog, Schenectady, N.Y.
This constitutes some wastewater storage availability during on soil percolation and potential for groundwater pollution
periods of power outages. The units are wired to permit has become available. The STEP systems are being installed
placing a high water alarm at an appropriate location in the to eliminate failing absorption fields and as a means of pro-
home, usually in the kitchen, so that the homeowner is viding central sewerage service to both existing and new
made aware that the pump is not operating and that the communities. The septic tank located ahead of the pump
wet well is full. The pumping units are designed for easy eliminates most of the grease and solids in the flow to be
removal of the entire unit in case of pump failure. The pumped. The force main design is similar to the GP system
pumps should give ten or more years of service under nor- except for the type of pump required. The homeowner
mal conditions. It is desirable for the community with a GP must continue to maintain a septic tank as a part of the
system to have service provided by a utility or by a private STEP design.
plumbing company that will keep spare pumps in stock for
rapid installation. The non-functioning pump is then taken REFERENCES
to the shop for repair or replacement and kept in stock for Babbitt, Harold E., Sewerage and Sewage Treatment, John Wiley
the next replacement need. If rapid service is not available, and Sons, Inc., New York, 1953.
the homeowner should install the duplex unit so that a Certainteed Products Corporation, Certainteed Product Catalog,
back-up pump is always available, allowing time to have Certainteed Products Corporation, Ambler, Pa., 19002.
the non-functioning unit repaired. County of Fairfax, Public Facilities Manual, County of Fairfax,
The septic tank effluent pressure system (STEP) is a Fairfax, Va., 22031, 1988.
means of eliminating the need for on-site treatment and Environment One Corp., Grinder Pumps, Environment One
disposal, such as the soil absorption field. In past years, Product Catalog, Environment One Corp., 2773 Balltown Road,
septic tank absorption fields have been installed at locations Schenectady, NY, 12309.
that are no longer environmentally acceptable. Criteria for Flygt Corporation, Wastewater Pumps, Catalog of Flygt Corpora-
siting absorption fields have improved as more knowledge tion, 129 Glover Avenue, Norwalk, Conn., 06856.

Hydromatic Pumps, Sump, Sewage and Wastewater Pumps, Cata- Pollution Control Federation, Design and Construction of Sanitary
log of Hydromatic Pumps, 5800 Foxridge Drive, Mission, Ks., and Storm Sewers, WPCF Manual of Practice No. 9, Water Pollu-
66202. tion Control Federation, Alexandria, Va., 1969.
ITT A-C Pump, Pumps, Catalog of ITT A-C Pump, 1150 Tennes- Portland Cement Association, Design and Construction of Concrete
see Avenue, Cincinnati, Ohio, 45229. Sewers, Portland Cement Association, Old Orchard Road, Skokie,
Il., 60076, 1968.
Johns-Manville Manufacturing Company, Pipe and Pipe Products
Prince William County Service Authority, Sewer Standards and
Division Catalog, Johns-Manville Manufacturing Company, Inc.,
Design Manual, Prince Willian County Service Authority, P. O.
1051 Sperry Road, Stockton, Ca., 95206.
Box 2266, Woodbridge, Va., 22193-0266.
Multi-Flo Waste Treatment Systems, Engineering and Technical Uni-Bell Plastic Pipe Association, Handbook of PVC Pipe, Uni-Bell
Manual, Multi-Flo Waste Treatment Systems, Inc., 2324 East Plastic Pipe Association, 2665 Villa Creek Drive, Suite 150, Dal-
River Road, Dayton, Ohio, 45439. las, Tx., 75234.
National Association of Home Builders, Alternatives to Public Washington Aluminum Company, Components for Water and
Sewer, National Association of Home Builders, 15th and M Wastewater Plants, Catalog of Washington Aluminum Company,
Streets, N.W., Washington, D.C., 20005, 1978. Knecht Avenue, Baltimore, Md., 21229.


CHAPTER 26
WATER DISTRIBUTION
John Matusik, P.E. / Revised/Updated: Gary L. Nickerson, P.E.
OVERVIEW OF A WATER SUPPLY SYSTEM utility company can either be a public entity that, like many
A water-supply system includes the water supply, treatment other public bureaus, exists for the health, safety and wel-
facilities, pumping facilities, transmission lines, and the lo- fare of the public, or it may be a privately-owned utility
cal distribution network. The distribution network consists providing water for profit. In some of the larger metropol-
of pipes, fittings, valves, and other appurtenances designed itan and suburban areas, the water utility company heavily
to convey potable water at adequate pressures and dis- controls the design of a water distribution system. Person-
charges. Adequate discharges are necessary to cover the nel within the water company perform most of the design,
range of flows caused by the fluctuation in demand. Ade- analysis, and layout. In this case the site designer of the
land development project only performs the lesser water-
quate pressures are necessary for fire fighting, general ser-
works design aspects and incorporates his analysis, along
vice to residents, and economic considerations such as
with the water company’s information, into the construction
leakage and energy losses. The pressures within a water-
drawing set. In smaller locales, the analysis and design may
supply system must be high enough to overcome the energy
be performed entirely by the private consultant working for
losses in the system, yet maintained below the point at
the developer. Typically, the water-supply company, to en-
which damage to fittings and other appurtenances occur.
sure conformance with local standards, reviews the private
Pressures and discharges are a function of the hydraulic
consultant’s design. Regardless of whether the water-supply
characteristics of the system, as well as the system’s service
company is public or private, the design must conform to
characteristics. Service characteristics include such items as
the state health department’s criteria, as well as the criteria
demand, as it relates to present and projected population,
of other controlling public agencies. Design parameters and
economic base, fire flow, and climate. Hydraulic character-
regulations for water works are available from state boards
istics include the length, size and condition of the pipe, of health and local city/county health departments. Addi-
types and sizes of fittings and appurtenances, and variations tional information on water quality, as well as material and
in elevation of the system. Since service and hydraulic char- construction standards, are available from the Environmen-
acteristics constantly change, the design must incorporate tal Protection Agency (EPA), the American Water Works
allowances for these changes. Dynamic demographics of the Association (AWWA) and the American National Standards
users and deterioration of the system affect how and when Institute (ANSI).
the changes are made. The changes that can be made in- The overall water-works system consists of the following
clude relocating or replacing the existing water line, increas- elements:
ing the pipe sizes, addition of auxiliary pumps and storage,
or adding more distribution lines to accommodate new 䡲 The water source, usually a lake, river or aquifer,
development. serves as the municipality’s main supply. Larger munic-
The water utility company is responsible for the water ipalities may have more than one source. Lakes and
quality and operation of the distribution system. A water reservoirs are located in outlying areas to take advan-
649
WATER DISTRIBUTION
tage of runoff from large catchments and where there area of highest demand, looping delivers twice the vol-
is less pollution. Along rivers, water is usually ex- ume of water for fire flows and other heavy demands.
tracted on the upstream side of the population centers. Additionally, grid layout allows for isolation of small
The minimum supply volume at the source must coin- areas during repairs. A branching type of configuration
cide with the present and projected demand that it is consists of a main feeder line with single dead-end
to serve. branches to service areas. In comparison to the grid
system, the branch system is not as economical for
䡲 A treatment facility purifies the water for safe use.
several reasons: (1) closing down a branch for mainte-
Since pumping clean water is less expensive than
nance disrupts service to a larger area; (2) poor water
pumping sediment-laden water, the location of the fil-
quality resulting from stagnation and sedimentation in
tration plant should be near the source. The treatment
the branch ends means periodic flushing at the ends.
facility treats and disinfects the water to meet the
Although dead ends cannot be avoided, they should be
water-quality standards set by government regulations. minimized. Fire hydrants, flushing hydrants, or blow-
The law mandates that the water-supply company pro- off valves at the dead ends allow for such periodic
vide quality potable water and consumers expect and flushing.
rely on the water company to do so.
䡲 Appurtenances such as fire hydrants, valves, auxil-
䡲 Transmission lines convey the water leading from iary pumps, and fittings (wyes, elbows, crosses, and
the source to the treatment facility, as well as from the tees) augment the operation of the distribution system.
treatment facility to the distribution network. For mod- The arrangement of the appurtenances and fittings is
erate to large population areas, transmission lines can specific to the local area they serve. Valves allow the
be 6 ft in diameter (and larger) and operate at pres- system to isolate small service areas when repairs are
sures in excess of 200 psi. They serve as the link be- needed. Other fittings are used to change flow direc-
tween the source, the treatment facility, and the tion and provide economic flexibility in sizing pipes.
distribution network. Therefore, transmission lines
have limited branches and service taps. The design of the entire system requires an evaluation
of numerous factors. Location and size of main water sup-
䡲 Pumping facilities provide necessary energy to move
plies depend on general characteristics of the region such
the potable water to consumers. Pumping facilities are
as climate, hydrology, geology, and topography. Design of
needed to convey the water through transmission lines
treatment facilities, transmission and distribution lines de-
to the distribution system. These pumping facilities can
pends on existing water quality at the source, existing and
be simple, such as the well pumps in small systems, or
projected population and its spatial distribution. Addition-
they can be complex, high-capacity pumping stations
ally, as the municipality grows, the increasing population
needed for large municipalities. Pumping stations
and expanding development inevitably influences hydro-
within the distribution network, called booster stations,
logic and topographic factors as well as others, and these
are used to maintain required minimum pressures.
in turn affect water demand.
䡲 Intermediate storage facilities (e.g., water tanks) are
located near the distribution network. Intermediate WATER USE AND DEMAND
storage facilities stabilize the line pressures, serve as re-
Demand Forecasting
serve for peak demand periods and storage for fire
flow requirements. All domestic water line systems op- Water use is categorized as either consumptive use or non-
erate under pressure. In times of high demand, the consumptive use. Consumptive use includes municipal, ag-
pressure in the network is decreased, requiring the wa- ricultural, industry and mining, whereas non-consumptive
ter supply to be supplemented from the storage tanks use refers to water used for hydropower, transportation, and
along with the water from the treatment plant. During recreation. Water demand is the quantity that consumers
low-demand periods, when supply pressure in the dis- use per unit of time. Land development projects involve
tribution lines is high, the storage tanks refill. Dis- analysis of municipal water uses such as residential, com-
counting fire flow storage, water-storage volumes mercial, institutional, industrial, fire fighting, swimming
fluctuate 40% to 70% on a daily basis. pools, and lawn and park watering.
Demand forecasting projects the future water use based
䡲 Distribution lines are used to link the intermediate on previous water use, socio-economic trends, climatic fac-
storage facilities and the feeder lines that connect the tors, and other parameters. Various types of forecasting
residential, commercial, and industrial service areas. models may be used to estimate water demand. The least
Typically, distribution networks are laid out as inter- complex of these is a single coefficient method, whereby
connecting loops. The looped (grid) layout allows for the projected demand is based on a factor such as per cap-
bi-directional flow of water. Since water travels towards ita, per connection, or by land use. Complex models may
the area with the lowest pressure, which is often the factor in water pricing, income, and even statistical analysis.

WATER DISTRIBUTION
26 䡲 WATER DISTRIBUTION 651
The selection of the model depends on the type and size and another peak in the evening between 4–8 P.M. Al-
of the project and the availability of the data. though the peaks remain fixed for the time periods, the
Part of the design of a water-distribution system includes amount varies according to season and yearly rainfall. Av-
estimating the amount of water needed for a service area. erage daily demand for domestic use ranges from 60 gallons
Water demand for an area depends on population, climate, per capita per day (gpcd) to 130 gpcd. However, studies
industry, and economic factors. Additionally, the design have shown that average water use decreases as population
analysis must include fire flow requirements. Although the increases.
overall volume of water used for fighting fires is quite low The USGS presents data on water use in the report ‘‘Es-
relative to most other uses, the amount of water required timated Use of Water in the United States in 1995.’’ The
to fight a fire, even if only for a few hours, puts a heavy data from this report shows public-supplied domestic water
strain on the system. Since fire flow requirements are so use ranging from 53 gpcd in Wisconsin to 212 gpcd in
high relative to other uses, they are usually the controlling Nebraska, with the average water use for all states, as well
criteria in the design of distribution piping and storage. In as Washington D.C., being 179 gpcd.
part, the water-works system design is based on an esti-
mated average demand and maximum daily demand. How- Commercial Demand
ever, variations in demand must also be included as part of
Commercial water use refers to the water used in motels,
the design analysis.
hotels, restaurants, office buildings, shopping centers, and
Variation in water use becomes apparent by considering
other commercial establishments. Compared to residential
hourly and daily individual personal water use. Each indi-
demand, commercial demand is considerably less than res-
vidual drinks, bathes, and generally uses varying daily
idential peak demands and not as varied. Note: most of the
amounts of water. On an hourly basis, this variation fluc-
water use for office buildings is for air conditioning pur-
tuates substantially. Extend the individual fluctuations in
poses. Restaurants, hotels, and motels use water mainly for
hourly and daily use over a population of tens of thousands
cooking and cleaning. Water-use estimates for design pur-
and it becomes apparent why water demand projection is
poses are usually based on number of square feet of space,
difficult. Fortunately, individual daily use tends to an av-
potential number of occupants, or the number of water fix-
erage value exhibiting only slight variations over longer pe-
ture units in the building. Utilizing data available in the
riods. Variations in short-term use are further reduced as
above-noted USGS report, it can be deduced that commer-
population and development stabilizes. However, the ca-
cial use, relative to total use, ranges anywhere from 1% in
pricious variables (e.g. climate, demand for consumer goods
Iowa to nearly 41% in Alaska. Table 26.1 provides values
and services) inherent in commercial, manufacturing and
for water use for various types of uses. At first glance the
agricultural industries can add to wide variations in use and
values might appear to be high relative to what an individ-
complicate demand forecasting.
ual perceives to be his actual use. However, these values
The types of use for water demand include domestic,
account for unmetered water use such as fire fighting, main-
commercial, industrial, mining, agricultural, thermoelectric
tenance (e.g., flushing the system), leakage and illegal con-
power, public use, and many others depending on where
nections.
the interest is. Collecting and sorting the data to determine
‘‘average use’’ is difficult, cumbersome, and inexact. Water-
supply companies keep numerous records of water with- Industrial Use
drawals and metered use. Inconsistencies in how each Industrial use accounts for the water used for fabrication,
supplier defines various uses, or categorizes the various processing, washing and cooling associated with such in-
uses, leads to the inexactness in determining ‘‘average use’’ dustries as food processing, steel production, chemical
figures, when compared over state-wide areas. The point processing, mining, and petroleum refining. Note: some in-
here is that it is difficult to say confidently that a certain dustry plants install their own water-supply systems, rather
value is applicable as a blanket design value for all areas of than rely on the municipal water supply. Depending on the
the U.S. For preliminary estimates, a blanket design value industry and the capacity of the municipal water supply, it
is appropriate, but for specific design, regional data is more may be necessary for the industry to furnish its own water
appropriate. supply. The amount of water used varies greatly with the
type of industry. An industry such as manufacturing of
Residential Demand woolens uses 140,000 gallons per ton of woolens produced,
Domestic water use refers to the water used for household whereas a ton of tanned leather requires 16,000 gallons.
purposes, including water for drinking, cooking, sanitary The USGS data indicates that the state with the highest
needs, landscape watering, swimming pool maintenance, industrial use (as a percent of total use) is Kentucky, which
street cleaning, fire fighting, leakage, and system mainte- uses 41% towards industry.
nance. Residential water demand widely fluctuates, on both The wide fluctuations in water use for these three cate-
a daily basis and a yearly basis. Daily, the water demand gories are evident from the data listed in Tables 26.2 and
has two peaks. Once in the morning hours of 7–11 A.M. 26.3.

WATER DISTRIBUTION
TABLE 26.1 Daily Water Consumption Rates

TYPE OF LAND USE WATER CONSUMPTION (gal/day)
Dwellings, per person 100

.....................................................................................................................
High schools with showers, per person 16
.....................................................................................................................
Elementary schools without showers, per person 10
.....................................................................................................................
Community colleges per student and faculty 15
.....................................................................................................................
Motels @ 65 gals/person, minimum per room 120
.....................................................................................................................
Trailer courts @ 3 persons/trailer, per trailer 300
.....................................................................................................................
Restaurants, per seat 50
.....................................................................................................................
Interstate or through highway restaurants, per seat 180
.....................................................................................................................
Interstate rest areas 5
.....................................................................................................................
Shopping centers, per 1,000 sf of ultimate floor space 200–300
.....................................................................................................................
Theaters, auditorium type, per seat 5
.....................................................................................................................
Hospitals, per bed 300
.....................................................................................................................
Laundromats, 9 to 12 machines, per machine 500
.....................................................................................................................
Factories per person per 8-hour shift 15–35
Source: Virginia Dept. of Health, Waterworks Regulations (1993).
Other Uses average daily use, whereas the maximum hourly use for
Additionally, water use can be identified with other types domestic water use is two to five times greater than the
of industries. Depending on the region, the water use as- average annual use. Since peak factors are a function of
sociated with mining, irrigation, livestock, and thermoelec- present population, population growth rate and land use,
tric power may heavily influence design considerations for the older stabilized areas tend to have peak factors that are
a water system. Note: this section of the book will only be two to three times lower than rapidly expanding areas. Ta-
concerned with residential and commercial demand; infor- ble 26.4 shows the relationship of population on peaking
factors.
mation on other types of water demand dependent on the
Typically, distribution lines are sized for design flows of
characteristics of specific localities.
maximum daily consumption plus the required fire flow.
However, if the maximum daily consumption plus fire flow
Peak Demand is less than the estimated maximum hourly amount, the
Distribution system design must account for the peak pe- design may be based on the latter value. Local regulations
riods of daily use. The maximum daily use for domestic and state waterworks design manuals dictate minimum de-
water ranges between 1.5 to three times greater than the sign flows.
TABLE 26.2 States with Highest and Lowest Water Use

3 HIGHEST STATES (gpcd) 3 LOWEST STATES (gpcd)
Domestic Nevada (212) Utah (184) Idaho (181) Wisconsin (53) Ohio (54) Pennsylvania (62)
......................................................................................................................
Commercial D.C. (90) Nevada (81) Utah (62) Kentucky (7) Texas (7) Missouri (14)
......................................................................................................................
Industrial Alabama (62) Kentucky (59) Wisconsin (42) D.C. (1) Nevada (2) Montana (2)
......................................................................................................................
Total Nevada (324) Utah (269) Washington (266) Massachusetts (130) Rhode Island (132) W. VA (134)

WATER DISTRIBUTION
TABLE 26.3 Public Supply Freshwater Use by State (from USGS Circular 1200)
PUBLIC USE TOTAL PER
DOMESTIC COMMERCIAL INDUSTRIAL AND LOSSES CAPITA USE
STATE (gpcd) (gpcd) (gpcd) (gpcd) (gpcd)
Alabama 117.7 35.6 62.1 27.4 236.7

.....................................................................................................................
Alaska 99.7 60.3 31.5 21.0 211.6
.....................................................................................................................
Arizona 134.2 34.4 16.8 20.7 206.1
.....................................................................................................................
Arkansas 96.5 29.0 28.5 36.5 190.5
.....................................................................................................................
California 121.6 32.6 9.3 20.6 184.1
.....................................................................................................................
Colorado 141.9 29.8 5.6 29.6 203.8
.....................................................................................................................
Connecticut 75.5 35.2 16.6 27.7 154.9
.....................................................................................................................
Delaware 76.2 35.5 28.4 19.5 159.6
.....................................................................................................................
D.C. 171.5 90.3 1.3 0 263.1
.....................................................................................................................
Florida 103.3 31.6 8.4 25.6 168.9
.....................................................................................................................
Georgia 106.6 28.5 32.9 27.3 195.3
.....................................................................................................................
Hawaii 117.0 42.0 5.0 27.7 191.7
.....................................................................................................................
Idaho 180.8 23.1 8.6 29.5 241.9
.....................................................................................................................
Illinois 90.0 42.3 11.4 31.2 174.8
.....................................................................................................................
Indiana 76.2 27.8 29.2 23.1 156.3
.....................................................................................................................
Iowa 64.7 30.2 36.3 40.9 172.1
.....................................................................................................................
Kansas 82.3 28.9 16.0 32.0 159.2
.....................................................................................................................
Kentucky 69.9 6.9 58.6 12.5 147.9
.....................................................................................................................
Louisiana 121.6 14.3 9.1 20.8 165.7
.....................................................................................................................
Maine 65.0 35.3 19.8 19.8 139.8
.....................................................................................................................
Maryland 103.8 20.4 10.6 65.0 199.8
.....................................................................................................................
Massachusetts 64.9 33.7 15.4 15.8 129.8
.....................................................................................................................
Michigan 90.3 36.7 39.1 22.3 188.4
.....................................................................................................................
Minnesota 71.6 30.8 12.3 30.8 145.5
.....................................................................................................................
Mississippi 109.7 14.6 8.9 17.7 150.9
.....................................................................................................................
Missouri 86.4 13.6 32.3 28.9 161.2
.....................................................................................................................
Montana 119.4 40.3 1.6 60.5 221.7
.....................................................................................................................
Nebraska 120.2 61.3 20.2 20.2 221.7
.....................................................................................................................
Nevada 212.5 80.6 1.5 29.2 323.8
.....................................................................................................................
New Hampshire 81.8 30.1 18.7 9.6 140.2
.....................................................................................................................
New Jersey 77.6 25.8 13.1 29.3 145.9
.....................................................................................................................
WATER DISTRIBUTION
TABLE 26.3 Public Supply Freshwater Use by State (from USGS Circular 1200) (Continued)
PUBLIC USE TOTAL PER
DOMESTIC COMMERCIAL INDUSTRIAL AND LOSSES CAPITA USE
STATE (gpcd) (gpcd) (gpcd) (gpcd) (gpcd)
New Mexico 136.2 56.5 10.9 21.7 225.4

.....................................................................................................................
New York 111.7 25.3 22.0 26.2 185.1
.....................................................................................................................
North Carolina 69.9 29.1 40.6 22.1 161.7
.....................................................................................................................
North Dakota 81.8 30.7 5.1 30.7 148.3
.....................................................................................................................
Ohio 53.6 38.3 38.3 23.0 153.2
.....................................................................................................................
Oklahoma 82.3 58.0 41.6 11.6 193.5
.....................................................................................................................
Oregon 135.8 36.7 33.0 28.8 234.4
.....................................................................................................................
Pennsylvania 61.8 24.1 21.3 63.4 170.6
.....................................................................................................................
Rhode Island 64.9 22.8 13.7 29.6 131.0
.....................................................................................................................
South Carolina 135.3 18.4 16.2 29.8 199.6
.....................................................................................................................
South Dakota 86.4 34.9 13.1 11.8 146.2
.....................................................................................................................
Tennessee 80.3 48.2 29.4 17.7 175.8
.....................................................................................................................
Texas 139.2 7.4 15.2 23.4 185.2
.....................................................................................................................
Utah 183.8 62.2 9.2 13.5 268.7
.....................................................................................................................
Vermont 82.6 24.4 24.4 17.5 148.9
.....................................................................................................................
Virginia 85.5 30.7 17.7 24.4 158.3
.....................................................................................................................
Washington 127.6 36.3 74.7 27.5 266.1
.....................................................................................................................
West Virginia 72.7 17.4 10.6 33.3 134.1
.....................................................................................................................
Wisconsin 53.1 31.2 42.4 41.6 168.3
.....................................................................................................................
Wyoming 157.0 46.5 7.0 49.4 259.9
AVERAGE USE 101.8 30.0 21.4 26.2 179.4
Reference: U.S. Geological Survey, Estimated Water Use in 1995 (2000).
Since the estimated water-use design values are based on Pressures must be high enough to overcome energy losses
immediate as well as future expectations in growth and de- within the distribution and service lines, as well as the
velopment, economic assessments are made to determine losses incurred from hydrants, nozzles, hoses, and other fire
the long-range plan of the system. The decision may be to fighting equipment. Additionally, pressure requirements are
design the system for the short-term future and improve a function of the topography. Since most water lines are
the system later rather than size and build the system for installed at minimum depth, they closely follow the ground
long-range future projections. surface topography. Consequently, pressures in the system
must be increased in the hilly service areas to overcome
DESIGN REQUIREMENTS
elevation differences. A balance must be struck between the
Pressure Requirements pressures required for normal service operations and the
Pressure requirements in the system depend on the com- pressures required for short-term high demand and emer-
bined normal service requirements and fire flow demand. gency occasions. Although the water-supply system can be

WATER DISTRIBUTION
TABLE 26.4 Estimated Peak Ratios for Residential Water Systems

RATIO OF RATIO OF
MAXIMUM DAY TO MAXIMUM HOUR TO
POPULATION AVERAGE ANNUAL USE AVERAGE ANNUAL USE
0–500 3.0 4.50

.....................................................................................................................
500–1000 2.75 4.13
.....................................................................................................................
1000–2000 2.50 3.75
.....................................................................................................................
2000–3000 2.25 3.38
.....................................................................................................................
3000–10,000 1.90 2.85
.....................................................................................................................
10,000–25,000 1.80 2.85
.....................................................................................................................
25,000–50,000 1.80 2.70
.....................................................................................................................
50,000–75,000 1.75 2.62
.....................................................................................................................
75,000–150,000 1.65 2.48
.....................................................................................................................
over 150,000 1.50 2.25
Reprinted by permission of R. V. Anderson Associates Limited, Willowdale, Ontario.
Reference: Recommended Guidelines for Residential Servicing in Ontario, Ontario Housing Advisory Committee (1973).
designed to operate at higher pressures, sustained excessive mendations provided by the Insurance Services Office
pressures add to system costs by increasing leakage volumes (ISO). The ISO recommends criteria for establishing insur-
and the potential for damage to fixtures. ance rates and for classifying municipalities with reference
A municipality’s exact pressure requirements are estab- to their fire defenses and physical conditions. The criteria
lished by a state agency, such as the Health Department, provides a means for rating a municipality based on type
with supplemental requirements imposed by agencies of fire fighting equipment, proximity of equipment, water
within the municipality such as the Fire Marshall. Typically, distribution flows, storage and other factors. One such doc-
street water-main pressures of 20 psi are the minimum ument by the ISO is the ‘‘Guide for Determination of Re-
when providing either maximum daily demand (including quired Fire Flow.’’ Although the guide only recommends
fire flow requirements) or the peak hour demand. This is a fire flows, many areas defer to it for fire flow considerations,
precautionary measure, designed to prevent potential cross- while others have established their own requirements. Min-
connection backflows from house fixtures. This minimum imum fire flows vary widely among jurisdictions. The de-
pressure also represents the minimum pressure required to sign engineer should consult with the local water authority
overcome frictional losses in the service line and push the and Fire Marshal’s Office for specific criteria.
water up three stories—the upper height limit typical in
residential areas. Estimating Fire Flow
Preferable normal pressures in the street should be be- The ISO uses the following equation to estimate the re-
tween 40 psi and 60 psi in residential areas. In most cases, quired fire flow:
a pressure of about 80 psi is recommended as the upper
limit. Above 80 psi, special pressure-reducing valves may F ⫽ 18 ⫻ C ⫻ 兹A (26.1)
be necessary to prevent residential fixture damage. Typically,
commercial areas require a minimum pressure of 75 psi. where
Booster pumps for tall buildings (e.g., more than ten sto- F ⫽ required fire flow in gpm,
ries) eliminate the need for excessively high pressures in C ⫽ coefficient related to the type of construction,
the street mains. A ⫽ total floor area in sf; including all stories but ex-
cluding basements.
Fire Flow Requirements
Each municipality establishes its own parameters for fire For fire-resistive buildings, consider the six largest suc-
flow requirements based on local conditions. The munici- cessive floor areas if the vertical openings are unprotected;
pality may, however, instead refer to the fire flow recom- if the vertical openings are properly protected, consider

WATER DISTRIBUTION
only the three largest successive floor areas. Coefficient Typically, local jurisdictions require fire flow approval by
C ⫽ 1.5 for wood-frame construction, 1.0 for ordinary controlling agencies, such as the Fire Marshal’s Office, pub-
construction, 0.9 for heavy timber type buildings, 0.8 for lic water supply agency, and health department. Exact re-
non-combustible construction, and 0.6 for fire-resistive quirements by local jurisdictions for fire flows may not be
construction. Coefficients shall not be greater than 1.5 nor the same as what is recommended by the ISO. In fact, there
less than 0.6 and may be determined by interpolation. Such can be a wide range of fire flow requirements even among
interpolation shall be between consecutive types of con- adjacent jurisdictions.
struction as listed above. Additionally, these guides recom-
mend a minimum fire flow of 500 gpm and maximum fire Fire Flow Tests
flows under the following conditions: 8000 gpm for wood- Before new projects ultimately get approval for construction
frame construction, ordinary and heavy timber construc- by the Fire Marshal’s Office, fire flow tests are performed
tion; 6000 gpm for non-combustible construction and to determine the fire flow capacity and adequacy of the
fire-resistive construction. For a normal one-story building existing system. Fire flow tests are used to determine avail-
(of any type of construction), the fire flow shall not exceed able flow rates and pressures at various locations for fire
6000 gpm. Table 26.5 identifies required fire flows for areas fighting purposes. Although, in the larger municipalities,
of single-family and small two-family dwellings not exceed- the water utility company has extensive data on the existing
ing two stories in height. water system, uncertainties in the hydraulic variables and
Adjustments to recommended fire flow values might be service variables requires further data to corroborate exist-
applicable for certain occupancy conditions. Equation 26.1 ing information. On commercial sites and small subdivi-
may be reduced up to 25% for occupancies having a low sions, the test is performed on hydrants near the point
fire hazard or increased up to 25% for occupancies having where the proposed water main will connect to the existing
a high fire hazard. Examples of occupancies considered low water main. On larger sites, where the project is built in
fire hazard are residential dwellings, churches, schools, ho- phases, fire flow tests may be required near the connection
tels, hospitals, and other public buildings. Occupancies of points at each subsequent phase of the development.
high fire hazard are manufacturing and processing plants The following discussion on testing procedures and anal-
using explosives and high combustibles, such as oil refin- ysis is extracted from the National Fire Protection Associ-
eries, paint shops, and aircraft hangers. Other modifications ation (NFPA). The exact method and analysis may deviate
that affect the required fire flow rate include the existence according to local regulations.
of sprinkler systems, non-combustible construction, and The test consists of discharging water at a measured flow
building separation. However, the range of adjustment to rate from one or more hydrants and observing the resulting
the initial fire flow estimates cannot be greater than 75%, pressure drop in the main through another fire hydrant.
and the final adjusted flow cannot be less than 500 gpm, Typically, a minimum residual pressure of 20 psi in the main
nor exceed 12,000 gpm. is required (when delivering fire flows) for two basic rea-
Fire flow estimates resulting from applying the above sons: first, fire department pumpers require 20 psi in order
criteria are only a guide and warrant the judgment of ex- to operate effectively; second, a minimum residual pressure
perienced and knowledgeable persons in fire protection. is needed to prevent a vacuum (negative pressures) from
developing in the system that can cause collapse of pipes
and inadvertent back-siphonage of polluted water.
For the test, one base point hydrant is selected as the
T A B L E 2 6 . 5 Required Fire Flows residual hydrant. The residual hydrant is chosen such that
for Single-Family and Small the hydrants to be flowed are between it and the larger
Two-Family Dwellings mains. Typical patterns for selecting the test hydrants are
illustrated in Figure 26.1. Note: the residual pressure at this
DISTANCE BETWEEN SUGGESTED REQUIRED
location is measured before other hydrants are opened. The
BUILDINGS FIRE FLOW
pressure at this location is then determined when the other
Over 100 ft 500 gpm hydrants are fully opened. The test is made during a period
..................................................... of ordinary demand such that the pressure drop in the re-
31–100 750–1000 sidual hydrant is 25% or less of what it would be at the
.....................................................
total demand necessary for fire fighting purposes.
11–30 1000–1500
..................................................... A pressure gage is placed on one of the hose outlets on
10 or less 1500–2000* the residual hydrant and the hydrant valve is fully opened.
After the barrel air is exhausted, the pressure is recorded.
From the publication ‘‘Guide for Determination of Required Fire Flow,’’ 2nd The other hydrants are opened full in succession one at a
ed. Reprinted with the permission of Insurance Services Office, Inc. Copy- time. After each hydrant is opened and the flow stabilized,
right 1974.
*If the buildings are continuous use a minimum of 2500 gpm
the pressure is recorded at the residual hydrant and the
Where wood shingle roofs could contribute to spreading fires, add 500 discharge at each open hydrant is measured using a pitot
gpm gage. The discharge Q (gpm) is determined from
WATER DISTRIBUTION
ISO, can deliver the required fire flow for the duration given
in Table 26.6 at the maximum daily rate.
Distribution Storage
Distribution storage, which consists of small reservoirs lo-
cated near service areas, acts as service storage to compen-
sate for widely fluctuating demands and to provide storage
for fire fighting and emergency reserve. Distribution storage
is used to normalize operating pressures, eliminate the need
for non-uniform pumping, reduce the need for constructing
F IGURE 2 6 . 1 Suggested test layout for hydrants. From the large mains at the periphery of the system, and provide
publication ‘‘Grading Schedule for Municipal Fire Protection.’’ Reprinted with increased reliability for fire protection and other emergen-
the permission of Insurance Services Office, Inc. Copyright 1974. cies.
Whether ground storage or elevated storage tanks are
used depends on such factors as topography, size of service
Q ⫽ 29.83 cd 2 兹p (26.2) area, reliability of main water supply, and economics. Aux-
iliary pumps at the ground storage facility or higher water
where surface elevations in the elevated storage reservoir can be
c ⫽ is the coefficient of discharge of the pitot tube (de- utilized to equalize pressures during high-demand periods.
pends on the manufacturer’s specifications— Since short and frequent high-demand periods can require
typically around 0.9), pumps to turn on and off regularly to maintain system pres-
d ⫽ is the diameter of the outlet hose connection in sures one advantage to elevated storage tanks (over auxil-
inches, and iary pumps) is the ability to supply a sustained pressure
p ⫽ is the velocity pressure in psi (i.e., the pitot tube without the cyclic pump operations. However, the selection
reading). of the type of distribution storage should be considered on
a case-by-case basis.
After all observations are recorded, the discharge (in gpm) Although the need for design and construction of storage
at the specified residual pressure or for any pressure drop facilities is infrequent in moderately-sized land develop-
is ment projects, very large projects, or areas of unanticipated
冉冊 0.54
rapid growth, may warrant the need for distribution storage
hr facilities. Nonetheless, the project engineer should be aware
QR ⫽ QF ⫻ (26.3)
hf of the major factors governing the design of the facilities.
In many cases, an engineer specializing in the design of
where
QR ⫽ flow predicted at the desired residual pressure,

QF ⫽ total flow measured during the test, T A B L E 2 6 . 6 Required Fire
hr ⫽ pressure drop to the desired residual pressure, and
hf ⫽ pressure drop measured during test.
Flow Duration
REQUIRED FIRE REQUIRED DURATION
As the equation is written, any consistent units for Q and FLOW (gpm) (hr)
h will work.
10,000 and greater 10
Fire Duration Requirements .....................................................
In addition to providing adequate discharges and pressures 9500–9000 9
.....................................................
for normal consumption, a water supply system must be 8500–8000 8
designed to provide water for sustained periods for fire .....................................................
fighting purposes. Since the magnitude, duration, location, 7500–7000 7
.....................................................
and frequency of a fire are quite unpredictable, the design
of a system should be based on a reasonable worst-case 6500–6000 6
.....................................................
scenario. 5500–5000 5
The ISO defines the average daily consumption as the .....................................................
total amount of water used each day during a 1-yr period 4500–4000 4
.....................................................
considered as a rate for a 24-hr period. The maximum daily
consumption is defined as the maximum total amount used 3500–3000 3
.....................................................
during any 24-hr period in a 3-yr period, disregarding any 2500 and less 2
unusually high circumstantial amounts caused by filling
storage tanks. An adequate water supply, according to the Source: Virginia Dept. of Health, Waterworks Regulations (1993).

WATER DISTRIBUTION
water works will be called on to perform the specific design. PUMPING FACILITIES
In the projects where such facilities are required, the de- Pumping Facilities are necessary to transport treated water
veloper and jurisdiction may enter into some kind of joint through the transmission and distribution lines to fill stor-
venture where the costs would be shared by the two. This age tanks and maintain system pressure. For small water
practice is common in instances where users beyond the utilities, the well pump or the single finished-water pump-
project boundaries would share the facility. ing arrangement at a treatment plant may be all that is
The size of a storage tank depends on the characteristics required. For large municipal distribution systems, a com-
of the service zone, fire demand requirements, and the local plex network of pumping stations, monitored and con-
standards governing such design. General rule-of-thumb trolled from a central point, may be needed.
storage requirement is given as one day’s supply plus fire
flow. The 1-day supply is based on the maximum-day us-
Pump Selection
age, while the fire flow storage is based on the duration as
suggested by the ISO for the design fire flow (see Tables Small water utilities commonly employ three types of
26.5 and 26.6). Note: local design standards may supersede pumps for water-distribution service: centrifugal, positive
this method of storage demand design. Preferably, the tank displacement, and jet (ejector).
should be sized to provide 2 to 3 days supply, although Centrifugal Pumps. Centrifugal pumps are the most com-
economic and risk analyses will dictate the uppersize limit. monly used of the three. A centrifugal pump involves a
Another consideration for storage tank sizing deals with casing containing a rotating impeller mounted on a shaft
the retention time of the water in the tank. Since a storage turned by a motor power source. Water that enters the suc-
tank is designed to supplement the added demand during tion side of the rotating impeller is thrown at high velocity
peak periods and to re-fill during off-peak periods, a prop- against the casing to convert velocity head into pressure.
erly designed tank under most operating conditions never Centrifugal pumps can be designed to provide stages in
completely empties. However, because of this fluctuation, series, where each impeller and matching casing constitutes
there is a somewhat continuous exchange of water within a stage, to realize pressures not attainable with a single-stage
the tank. With the residual effects of disinfectant chlorine pump. Pumps having more than one stage are called multi-
limited to 6 to 10 days, the maximum residence time of stage pumps, of which there are two types: submersible and
water in the tank should be less than 8 days to prevent turbine.
stagnation and possible health problems. The submersible pump consists of one or more pump
Formal design of a storage facility should incorporate the stages driven by a closely coupled motor designed for sub-
hourly-use hydrograph or mass diagram for the maximum merged operation (see Figure 26.2). It is commonly used
day. A description of the design can be found in most basic in wells but may also be used in finished-water clear wells
water resources textbooks. One way to estimate storage re- at treatment facilities.
quirements based on land use follows. Turbine pumps consist of one or more centrifugal pump
stages driven by a vertical shaft, connecting the pumping
E X A M P L E 1 : Table 26.7 shows the land use for assembly to a motor mounted at the surface. Figure 26.3
a new service area and the corresponding demand for shows a turbine pump used for well service. Turbine pumps
the average day for the type of land use. For this in this configuration are called vertical turbine pumps. Tur-
service area, fire flow requirements are 4 hours du- bine pumps can also be mounted on treatment plant clear
ration for a flow of 2500 gpm. Local ordinance re- wells for distribution of finished water.
quires a reserve of 20% of the maximum-day demand Positive Displacement Pumps. Positive displacement
and the maximum-day demand is assumed to be pumps, as the name implies, displace a set volume of water
equal to 1.6 times the average-day demand. Use a t with each turn of the pump. The pumping rate varies with
factor of safety ⫽ 1.25. What are the storage require- the speed of the pump. Although these pumps are not that
ments given these parameters? common in water distribution service, especially in high-
volume applications, they are well-suited for intermittent
Storage Required: pumping at high pressure. Positive displacement pumps are
available in several configurations:
4-hr fire flow @ 2500 gpm ⫻ 60 min/hr ⫽ 600,000 gal
2,068,910 gal ⫻ 1.6 ⫻ 0.20 ⫽ 662,051 gal 䡲 Reciprocating pumps. This pump consists of a
Subtotal ⫽ 1,262,051 gal plunger driven back and forth in a closely fitted cylin-
Storage ⫽ 1,262,051 ⫻ (1.25) ⫽ 1,577,564 gal der, with check valves at both the inlet and pump out-
(26.4) let.
Further considerations in this analysis would be to 䡲 Helical rotor pump. The helical pump consists of a
determine if one or several facilities would supply the spiral rotor that rotates in a sleeve. As the spiral rotor
required storage, the size of each facility, and the lo- turns, it traps water between the rotor and the sleeve,
cation. forcing it to the outlet end of the sleeve.

WATER DISTRIBUTION
TABLE 26.7 Demand Requirements for New Service Area (Example 1)

UNIT OF NO. OF AVERAGE DEMAND TOTAL DEMAND
LAND USE MEASUREMENT UNITS (gpd) (gpd)
Single-family detached per dwelling 1682 350 588,700

.....................................................................................................................
Townhouse per dwelling 519 350 181,650
.....................................................................................................................
School per student 750 16 12,000
.....................................................................................................................
Daycare center per student 200 16 3200
.....................................................................................................................
Recreation center per person 1528 10 15,280
.....................................................................................................................
Hotel per room 120 168 20,160
.....................................................................................................................
Restaurant per seat 800 50 40,000
.....................................................................................................................
High-rise commercial per acre 89.1 2000 1,782,000
.....................................................................................................................
Low-rise commercial per acre 362 1500 543,000
.....................................................................................................................
Sub-Total ⫽ 1,582,190
.....................................................................................................................
Existing demand 486,720
.....................................................................................................................
TOTAL ⫽ 2,068,910
䡲 Rotary gear pump. This type of pump uses two 䡲 Reliability of pumping equipment
meshing gears housed in a sealed casing that traps wa-
ter in cavities between them. As the gears mesh, they Table 26.8 provides information useful for selecting the
carry water from the inlet to outlet port. type of pump needed for typical small system applications.
Selecting the proper pumping unit size must be done by
Jet (Ejector) Pumps. Jet pumps are actually a combina- carefully evaluating the peak demand, available storage in
tion of centrifugal and ejector pumps (see Figure 26.4). A the system, and capacity of the water source. Increased stor-
portion of the centrifugal pump discharge is diverted age capacity is needed when source-yield is low in com-
through a nozzle and venturi tube near the water level of parison with peak demand (as often happens with well
the source. This creates a low-pressure zone that draws flow sources). This is needed to avoid starting and stopping
upward toward the surface, where the centrifugal pump pump motors more than four or five times per hour in
suction can further lift it into the distribution system. These order to maintain optimum service life of the equipment.
jet installations are economical for low-volume facilities and
are commonly used in wells. System Head Curve
The fundamental considerations for pump selection
within a particular installation are as follows: The system head curve is an essential tool for use in deter-
mining the pump’s type, size, and number of units to be
䡲 Yield of the well, or other water source applied for the most economically feasible installation. It
graphically presents hydraulic head requirements for vari-
䡲 Total daily needs and instantaneous demand of the
ous flow characteristics of a particular system, making it
system
easier to determine the appropriate configuration. Figure
䡲 Total operating head pressure of the pumps at nor- 26.5 shows an example of system head curve including a
mal delivery rate, including lift and all friction losses typical centrifugal pump curve.
The concept of total dynamic head must be understood
䡲 Elevation difference between the ground level and
to construct a proper system head curve for a potable water
the water level in the well during pumping
distribution pumping system. Figure 26.6 is a graphical
䡲 Availability of power representation of total dynamic head for a well pump in-
stallation. Static head, friction head, and pressure head are
䡲 Ease of maintenance and availability of parts
the three components of total dynamic head. Static head is
䡲 Initial and operations costs the difference in elevation of the source water and the point

WATER DISTRIBUTION
F IGURE 2 6 . 3 Turbine pump in well service. (Reprinted from

Design and Construction of Small Water Systems, by permission. Copyright
䉷 1999, AWWA).
F I G U R E 2 6 . 2 View of a multistage submersible pump. (Re- can result in catastrophic failure, requiring several days of
printed from Design and Construction of Small Water Systems, by permis- repair, while the utility customers are without water service.
sion. Copyright 䉷 1999, AWWA). Surge protection must be carefully designed, even for small
water utilities. Common surge protection methods include
surge relief valves and pressure surge tanks located on the
of discharge. Friction head is the loss that occurs due to discharge main near the pumps, and vacuum relief valves
valves, fittings, and piping (discussed later in this chapter located at key points on long force mains.
under System Analysis, Minor Losses). The pressure head
includes the velocity head as well as the minimal residual Pump Drives
pressure required in the system by state health departments Pumps in the water utility industry are normally driven by
(usually no less than 25 psi at the outlet fixture). alternating current (AC) motors. The power source for AC
Water hammer, or hydraulic surge, occurs when water motors can be single-phase or three-phase. However, single-
flowing in a pipe comes to an abrupt stop. A common ex- phase is generally limited to small motors of 10 hp (0.75
ample of this is when a pump shuts off suddenly because KW) or less. On a first cost basis, establishing a three-phase
of a power failure. On such an occasion, the resulting surge power source for a pumping facility is more expensive than
can cause system pressure that is many times the normal it is with single-phase, although the three-phase is more
working pressure. These high pressures, if not adequately efficient.
accommodated by the design, can damage piping, valves, AC motors can be provided as either squirrel-cage in-
and pumping equipment. Lack of proper surge protection duction, synchronous wound, or wound-rotor induction

WATER DISTRIBUTION
quency varies the motor speed. Because of this conversion

process, VFDs produce considerable heat that must be
properly vented or even addressed by the use of air con-
ditioning.
Packaged Booster Stations

Packaged booster pumping stations are very popular with
small water utilities because of their economy and ease of
installation. These units, which are delivered assembled to
the construction site complete with controls and electrical,
can be installed with minimal labor and time. Although
these packaged pumping units can be used for primary fin-
ished-water service at treatment plants, they are more often
used as booster stations out in the distribution system.
These packaged stations can be ordered for either above or
below-ground-level installations, as shown in Figures 26.7
and 26.8, respectively.
Emergency Power
Electrical power to a treatment facility or pumping station
can be disrupted by a storm, or other natural disaster, for
many hours, or even for days. Many state health depart-
ments require that critical waterworks and pumping sta-
tions be protected against power failure by a standby power
source. Normally, the standby power source is a connection
to a second independent public power source (served by a
separate power grid that serves the primary source), or a
standby generator set.
As a minimum, generator sets should be sized to provide
power for the average system demand, plus basic lighting
and heating. Generator sets must be maintained and regu-
larly exercised to ensure they will operate properly when
called upon during an emergency. Although these sets nor-
mally operate on diesel fuel, units can be obtained that
operate on propane, liquefied natural gas, or natural gas, if
available. Both the generator set and its auxilliary fuel tanks
F I G U R E 2 6 . 4 Combined centrifugal and ejector pump. (Re- must be properly secured against vandalism, and the fuel
printed from Design and Construction of Small Water Systems, by permis- tank and its feed lines must be contained to prevent con-
sion. Copyright 䉷 1999, AWWA). tamination from leakage.
There are several available options for securing and con-
taining the generator set and its fuel tank. The first option
types. However, squirrel-cage inductor types are most com- is a custom-designed, built-in-place building. The advan-
monly used because they are less expensive than the other tages of such a building are that it can match the aesthetics
two and they have proven operation. In general, lower- of nearby buildings and surroundings, and it can provide
speed motors are larger and more expensive than higher- ideal conditions for maintenance and repair of the set. Care
speed motors, but they have a longer service life. Normally, must be taken to properly ventilate the building to prevent
the needs of small water utilities can be met through prop- air-starving of the operating generator set. Typically, this is
erly designed, constant-speed pumping arrangements of done with properly sized louver systems that are opened
multiple pumps. However, two-speed, squirrel-cage motors either by the force of the air being pulled toward the gen-
are available. erator set or by electric motors that activate when the gen-
Note that fairly recent improvements in technology, re- erator set is started.
liability, and costs of variable frequency drives (VFDs) make Generator sets can also be provided by the manufacturer
them worthy of consideration for small utility service. VFDs with a sound-attenuated enclosure made of steel or fiber-
work by converting AC to DC and then back to AC but at glass, with removable panels to enable repairs (see Figure
a different frequency. Since the speed of a synchronous mo- 26.9). The disadvantage of this is that repair personnel must
tor is directly proportional to frequency, varying the fre- stand in the elements to do their work. To facilitate repair,

662
TABLE 26.8 Specifications for Various Types of Pumps
USUAL
PRACTICAL USUAL WELL- PRESSURE
TYPE OF PUMP SUCTION LIFT* PUMPING DEPTH HEADS ADVANTAGES DISADVANTAGES REMARKS
Reciprocating:
Shallow well 22–25 ft 22–25 ft 100–200 ft Positive action
Pulsating discharge Best suited for capacities of
(7–8 m) (7–8 m) (30–60 m) Discharge against variable heads
Subject to vibration and noise 5–25 gpm (19–95 L/min)
against moderate to high
heads
Deep well 22–15 ft Up to 600 ft Up to 600 ft Pumps water containing sand and Maintenance cost may be Adaptable to hand operation
(7–8 m) (183 m) (183 m) silt high Can be installed in very
above cylinder Especially adapted to low capacity May cause destructive small diamter wells (2-in
and high lifts pressure if operated against [51-mm] casing)
closed valve Pump must be set directly
over well (deep well only)
............................................................................................................................................................................
Centrifugal
Shallow well 20 ft (6 m) 10–20 ft 100–150 ft Smooth, even flow Loses prime easily Very efficient pump for
Straight centrifugal maximum (3–6 m) (30–46 m) Pumps water containing sand and Efficiency depends on capacities above 60 gpm
(single-stage) silt operating under design heads (227 L/min) and heads up
Pressure on system is even and and speed to about 150 ft (46 m)
free from shock
Low starting torque
WATER DISTRIBUTION
Usually reliable; good service life

Regenerative vane 28 ft (7 m) 28 ft (7 m) 100–200 ft Same as straight centrifugal Same as straight centrifugal, Reduction in pressure with
turbine type maximum (30–60 m) except not suitable for pumping except maintains priming increased capacity not as
(single-impeller) water containing sand or silt easily severe as with straight
Self-priming centrifugal
............................................................................................................................................................................

Deep well

Vertical line shaft Impeller 50–300 ft 100–800 ft Same as shallow-well turbine. Efficiency depends on
turbine (multi- submerged (15–91 m) (30–244 m) All electrical components are operating under design head
stage) accessible aboveground and speed
Requires straight well large

enough for turbine bowls and
housing
Lubrication and alignment of
shaft critical
Abrasion from sand
*Practical suction lift at sea level. Reduce lift 1 ft (0.3 m) for each 1,000 ft (305 m) above sea level.
(Reprinted from Design and Construction of Small Water Systems, by permission. Copyright 䉷 1999, AWWA).
Submersible turbine Pump and motor 50–400 ft 50–400 ft Same as shallow-well turbine Repair to motor or pump
3500 RPM models,
(multi-stage) submerged (15–122 m) (15–122 m) Easy to frostproof installation requires pulling from well
although popular because
Short pump shaft to motor Sealing of electrical
of smaller diameters or
Quiet operation equipment from water vapor
greater capacities, are more
Well straightness not critical critical
vulnerable to wear and
Abrasion from sand
failuare from sand and
other causes
............................................................................................................................................................................
Jet
Shallow-well 15–20 ft Up to 14–20 ft 80–150 ft High capacity at low heads Capacity reduces as lift
(5–6 m) (5–6 m) (24–46 m) Simple operation increases
below ejector below ejector Does not have to be installed Air in suction or return line
over the well will stop pumping
No moving parts in well
Deep-well 15–20 ft 25–120 ft 80–150 ft Same as shallow-well jet Same as shallow-well jet The amount of water
(5–6 m) (8–37 m) (24–46 m) Well straightness not critical Lower efficiency, especially at returned to ejector
below ejector 200 ft (61 m) greater lifts increases with increased
maximum lift—50% of total water
pumped at 50-ft (15-m) lift
and 75% at 100-ft (30-m)
lift
............................................................................................................................................................................
Rotary
Shallow-well (gear 22 ft (7 m) 22 ft (7 m) 50–250 ft Positive action Subject to rapid wear if water
type) (15–76 m) Discharge constant under variable contains sand or silt
WATER DISTRIBUTION
heads Wear of gears reduces

efficiency
Deep-well (helical Usually 50–500 ft 100–500 ft Efficient operation Same as shallow-well rotary, A cutless rubber stator
rotary type) submerged (15–152 m) (30–152 m) Same as shallow well rotary except no gear wear increases life of pump
Only one moving pump device in Flexible drive coupling has

well been weak point in pump

Best adapted for low
capacity and high heads
*Practical suction lift at sea level. Reduce lift 1 ft (0.3 m) for each 1000 ft (305 m) above sea level.

663
WATER DISTRIBUTION
FIGURE 2 6 . 5 System head curve. (Reprinted from Design and

Construction of Small Water Systems, by permission. Copyright 䉷 1999,
AWWA).
F IGURE 2 6 . 6 Components of total dynamic head in well pump.

(Reprinted from Design and Construction of Small Water Systems, by per-
the generator manufacturer can also provide a sound- mission. Copyright 䉷 1999, AWWA).
attenuated shelter to cover the set and to provide space for
repairs to be done under protected conditions. These shel-
ters are essentially small, prefabricated buildings made of
framing. Their feed lines are inside the generator enclosure
steel or fiberglass that fit compactly over the set with clear-
and are, therefore, also protected (see Figure 26.11).
ances to allow repairs out of the weather. They are generally
Another option for an above-ground tank is a concrete-
less costly than custom-designed buildings but are more
enclosed tank such as that provided by Convault (see Figure
costly than a simple generator set enclosure (see Figure
26.12). The feed lines from the protected tank must also
26.10).
be protected. If buried, the lines will need to be double
Until recently, the normal arrangement for fuel tanks
walled for containment. Some utilities also require the bur-
serving generator sets was to use buried tanks. However, as
ied double-walled lines to be installed in a lined trench (see
with buried tanks serving gasoline stations, there have been
Figure 26.13).
many instances of failure of the tanks and their feed lines
causing contamination of the surrounding soils and ground-
SYSTEM COMPONENTS
water. Buried tanks are still a viable option, but they must
meet much higher standards concerning leak monitoring Essential to a distribution system are such components as
and double walled containment for the tank and buried valves, fittings, fire hydrants, thrust blocks, service lines and
lines (state and local regulatory agencies can provide de- meters to control, direct, and measure the flow. The location
tailed standards for buried tank installations). This has and size of these components affects the system’s hydraulic
greatly increased the cost of buried tanks, such that most efficiency and cost-effectiveness, as well as the health, safety,
public utilities are choosing other options. and welfare of the public.
The other available options for fuel tanks are above-
ground tanks that are protected by the buildings in which Valves
they are situated or that are otherwise protected. One ap- Approximately 16.7% of all valves in use are for water and
proach is to use a protected skid-mounted tank that is de- sewerage purposes (Merrick, 1991). In a water-works sys-
signed to fit securely under a skid-mounted generator set. tem, valves are used in controlling flow directions, reg-
These tanks are double-walled for containment and are pro- ulating flow rates, pressure control, isolating flows, and
tected by the generator shelter or enclosure and the skid transient wave suppression. Typically, faucets, bibs, cocks,
WATER DISTRIBUTION
䡲 A plug valve (Figure 26.15) is similar to the ball

valve in that a cone or cylinder attached to a shaft,
with a rectangular slot or circular orifice, opens and
closes the flow by rotating the slot parallel to the di-
rection of flow. Eccentric plug valves use a seat that
consists of only part of the cone or cylinder to close
the valve. The shaft rotates the seat over the pipe
opening to regulate the rate of flow. Typically, plug
valves are used for control and isolation purposes.
Smaller plug valves are used on service connections
and are referred to as service or corporation cocks.
Plug valves have low head losses and typically cost
more than gate, globe, and butterfly valves.
䡲 Gate valves, a type of the broader classification of
slide valves, are the most frequently used when trying
to isolate flows in the pipe network (see Figure 26.16).
The gate valve (shutoff valve) is used to completely
stop the flow through the pipeline. It operates by rais-
ing or lowering a plate or disc into the flow path.
Note: a shut-off valve’s intended use is to operate in
the full-open or full-closed positions only, and not as a
throttling valve—that is, partially opened. Considerable
wear and tear on the mechanism occurs in the par-
tially-opened position, and the head loss, at this posi-
tion, is very high. Typically, gate valves are placed in
F IGURE 2 6 . 7 Above-ground packaged booster pump station.
(Reprinted with permission of Universal Sanitary Equipment Manufacturing valve boxes that extend to the ground surface to per-
Co., Tumah, WI.) mit access. The valve is operated with an extension
wrench that reaches down through the box to turn the
operating nut on top of the valve stem.
stoppers, and plugs are types of valves used in the water-
supply lines within a building, while gate valves, butterfly 䡲 As shown in Figure 26.17, a butterfly valve, also a
valves, and check valves are those used, typically, in water type of rotary valve, consists of a thin disk that rotates
distribution lines serving the buildings. about a thin shaft. When the face of the disc is parallel
A valve is completely closed when some type of oper- to the flow directions the valve is fully opened. Butter-
ating mechanism, such as a wheel, forces the gasket or plug fly valves can be used for either shut-off or throttling
tightly against the fixed seat. The operating mechanism (i.e., purposes. Although these types of valves have relatively
actuator) for a valve is either manual or automatic. Manual low head loss, they present problems when cleaning,
actuators include wheels and levers; automatic actuators since the disk is in the flow stream.
can be electric, pneumatic, or hydraulic. Whereas automatic 䡲 The globe valve, which is another type of slide
valves are more commonly used at the treatment facilities valve, consists of a flexible disk attached to a screw-
or pump stations, most valves used in the distribution pipe operated stem. A schematic diagram of a globe valve is
network are manual. shown in Figure 26.18. Raising and lowering the disc
In addition to their function, valves are also described onto a horizontal seat controls the flow. Use of globe
by their numerous characteristics such as size, material, fit- valves is most common in smaller domestic water
ting end, pressure rating, and actuator. The five most com- lines; a familiar globe valve is the household faucet.
mon types of valves used in water lines, along with their High-pressure losses are typical of most globe valves.
specific characteristics, provide an extensive list for speci-
fying a particular valve. A summary of the important characteristics for these
The five most common types of valves used in water particular valves appears in Table 26.9. In addition to the
lines are as follows. basic valves just described, there are other specialty valves
used in waterworks systems:
䡲 A ball valve (Figure 26.14) has a slotted spherical
or section of a spherical closure element that rotates 䡲 Check valves are pressure-activated valves. Typical
within the casing. The valve is opened when the open- water-main systems are bi-directional in that water
ing is parallel to the flow direction. A 1⁄4-turn of the flows according to the pressure differential in the
opening closes the valve. Typically, ball valves are used pipes. Check valves are inserted to restrict flows to one
for on-off service and throttling the flow. direction. For example, a check valve on the discharge
WATER DISTRIBUTION
F IGURE 26.8 Below-grade packaged booster pump station. (Reprinted with permission of Universal Sanitary Equipment Manufacturing Co.,
Tumah, WI.)
end of a pump or treatment plant prevents the water greater than 70 psi, a pressure-regulating valve in-
from reversing directions and flooding out the facility stalled on a domestic service line reduces the service
when the facility shuts down operation. Check valves line pressure so that the pressure will not damage
are also used to control flows at the boundary of dif- household fixtures.
ferent water-supply districts and service areas of differ- 䡲 Altitude valves are automatically activated according
ent pressures. to the pressure differential on either side of the seat.
䡲 Pressure reducing valves (PRV) are automatic valves This type of valve is usually used to control the flow
that protect against excess pressure in the water lines. to and from an elevated storage tank. The valve opens,
Pressure-reducing valves act by controlling the flow allowing the tank to refill, when the pressure in the
and intentionally causing high head losses. Large distribution line is greater than the static pressure of
pressure-reducing valves are operated by a smaller pi- the water in the tank. In times of high demand, when
lot valve. A wheel on the pilot valve sets the internal the pressure in the main decreases, the valve opens to
spring tension, which in turn sets the activating pres- allow the water in the storage tank to equalize the dis-
sure. Larger PRVs are placed on-line between service tribution system.
areas of different elevations. Smaller PRV (⬍2 in.) 䡲 Blow-off valves and drain valves are used to de-water
valves are used to protect residential plumbing from lines for repairs or remove accumulated sediment.
excessive pressures in the main line. The valve acts as These valves are most commonly used at the end of
the transition between high-pressure zones and low- branches and at low points of the water main (see Fig-
pressure zones. For example, if line pressures are ure 26.19).

WATER DISTRIBUTION
F I G U R E 2 6 . 1 1 Skid-mounted fuel tank for location beneath a

generator set. (Reprinted with permission of Cummings Power Generation.)
parallel to it. Air-release valves should also be consid-

ered in sections where there is an increase in the
downward slope or decrease in the upward slope1 of
the pipe.
䡲 Hydraulic surge (water hammer) can occur when
water flowing in a long pipeline suddenly stops. Surge
can actually cause a water column separation at high
F IGURE 2 6 . 9 Typical generator enclosure. (Reprinted with per- points, or peaks, on the main. This, at first, exerts a
mission of General Power Systems, Wakesha, WI.)
tremendous negative pressure (or vacuum) on the
main that can cause it to collapse. If the system does
not collapse, the vacuum will be followed immediately
䡲 Air-release valves. Water at standard conditions con-
by a pressure spike, which occurs as the separated wa-
tains about 2% to 3% dissolved air by volume. The
ter columns reunite, that also can rupture the pipe. To
amount of dissolved air in a water-line system is gov-
prevent this, vacuum-relief, or combination air release
erned by the turbulence before it enters the system
and vacuum-relief valves, are used at points on water
and the pressure and temperature within the system.
mains where analysis indicates water column separa-
Pressurized distribution systems change elevations as
tion might occur. The vacuum-relief valve lets air into
the pipe follows the terrain. In effect, the changes in
the pipeline during hydraulic surge to both relieve the
elevation change the pressure in the system. Conse-
vacuum and provide a volume of air that cushions the
quently, the air dissociates from the water and collects
at the higher points in the pipeline. Since the return of
air back into the water does not occur as readily as it
leaves the water, air pockets, which add 10% to 15%
more resistance to the flow, are formed. Additionally,
these pockets can lead to air lock of the system, which
can completely stop the flow. Typically, air-relief valves
are installed at the local peaks in the pipe sysytem. As
shown in Figure 26.20, a peak is any section of pipe
that slopes up towards the hydraulic grade line or runs
F IGURE 2 6 . 1 2 Aboveground storage tank and generator set.

(Reprinted with permission of Core Engineered Solutions.)
F I G U R E 2 6 . 1 0 Sound attenuated walkin enclosure. Copyright 1

Golden Anderson Automatic Valve Reference Manual, Golden Anderson Industires,
䉷 Tramount Corporation 2001. Inc. Pa.

WATER DISTRIBUTION
F IGURE 26.13 Schematic arrangement of diesel fuel piping.
pressure spike caused by the two water columns com- Plastic Pipe. Distribution lines for small water systems
ing together again. Note: hydraulic surge analysis is a are normally constructed of PVC pipe because of its ease of
specialized field and must be done by qualified per- construction and economy. Plastic pipe used for drinking
sonnel. applications should be certified by an acceptable testing lab-
oratory (such as the National Sanitation Foundation) as not
Pipes, Joints and Fittings producing objectionable taste and as being non-toxic. Stan-
Typically, pipes used in waterworks systems are classified dards for PVC pipe (up to 12-in.) for underground service
according to their design working pressures. The four most are ASTM D1785, ASTM D2241, and ANSI/AWWA C900.
common classes of working pressures are 100, 150, 200, ASTM D1785 pipe is available in Schedule 40, 80, and 120
and 250 psi. Other parameters for identifying pipe strength thickness. ASTM D2241 pipe has pressure ratings up to 250
are the bursting strength rating, which identifies the psi, while AWWA C900 pipe is available in pressure rat-
strength against internal forces caused by hydrostatic and ings up to 200 psi. AWWA C900 pipe is manufactured to
hydrodynamic pressures, such as pressure surges and water ductile-iron pipe outside dimensions, and both ASTM
hammer, and the crushing strength, which deals with the D2241 and ASTM D1785 are manufactured to steel pipe
external forces related to soil, vehicles, and impact loadings. outside dimensions. Joining these pipes requires a transition
Typical standard pipe diameters used in distribution sys- gasket used with standard ductile-iron fittings.
tems range from 6 in. through 20 in. in 2-in. increments. Ductile-Iron Pipe (DIP). DIP is standardized in ANSI/
Then, beginning with 24 in., diameters increase in 6-in. AWWA C150/A21.50-96 and is available in sizes from 3-
increments. For residential plumbing pipe, diameters begin to 64 in. in various pressure classes. Push-on or mechanical
at 1⁄2 in. and increase in 1⁄4-in. increments. Since manufac- joints are used on DIP for underground service. For water
turers and pipe material dictate the available pipe diame- service, DIP is normally lined with cement-mortar. Soft wa-
ters, diameters other than those mentioned here might be ter will leach the cement-mortar lining if not properly con-
available. The supplier should be contacted to verify what ditioned. Depending on soil conditions, DIP is often
pipe diameters are available and if they are in stock. installed in polyethylene wrapping to aid in corrosion pro-
Although ductile iron pipe is the most popular cast iron tection.
pipe, other common pipe materials for water-distribution Steel Pipe. Steel pipe is normally used for large-diameter
lines include grey cast iron, steel, plastic and polyethylene. installations beyond the sizes of which DIP is available and
Note that this same type of piping is used for water-service is not often used for small water systems. However, it is
lines larger than 2 in. Copper or plastic tubing is commonly available in various sizes and thickness classes. It is covered
used for service lines smaller than 2 in. under the AWWA C200 standard. Note: buried steel pipe

WATER DISTRIBUTION
a)
FIGURE 2 6 . 1 4 Ball Valve. Reprinted with permission of

Worcester Controls, Marlboro, Mass.
is more susceptible to corrosion than DIP and must be ad-

equately protected. It is usually installed underground with
a tape-wrap coating as a minimum, and the pipe interior is
normally specified to be provided with a cement-mortar
lining for drinking water service.
Polyethylene Pipe (PE). PE is becoming popular for small
water service, mainly because it is economical to purchase
and install. PE is available in sizes larger than 4 in., and
the standard for PE is AWWA C906. F IGURE 2 6 . 1 5 (a) Schematic diagram of a plug valve; (b)
Joints. Distribution pipes are connected by either of the eccentric plug valve. Reprinted with permission of DeZurik, Sartell, Minn.
several different types of joints shown in Figure 26.21.
䡲 The push-on joint is a compression joint that creates vidual lengths of piping from separating under pres-
a pressure-tight seal when a gasket, inside the bell end, sure, so concrete thrust blocks are cast at elbows and
is compressed by the plain end of the pipe. This type other turns to restrain the pipe. Soil friction on the
of joint allows for fast and easy installation and is low pipe also acts to prevent joint separation. The push-on
in cost, which probably accounts for its popularity. joint is not suitable for above-ground use in pressure
However, this type of joint does not restrain the indi- piping.

WATER DISTRIBUTION
F IGURE 26.16 Gate valve: (a) schematic diagram; (b) resilient seat gate valve. Reprinted with permission of Mueller Co., Decatur, Illinois.
䡲 For the mechanical joint, the pipes fit together as a bell. A retainer lock inserted between the lugs prevents
plain end inside a bell-shaped end. A pressure-tight the retainer from rotating.
seal is created by a gasket tightened between the flange
䡲 The flanged joint is used for the larger sizes of
on the bell end and the gland, a flange-like collar that
above-ground distribution piping, such as in pump sta-
slips over the plain end. The flange and gland are held
together with bolts. The mechanical joint is considered tions. This joint is seldomly used for underground dis-
a ‘‘semi-restrained’’ joint in that friction, in the highly- tribution piping because of its cost and difficulty of
compressed gasket, provides some restraint against installation. The flanged joint has a flat-faced or flat-
pipe separation under pressure. Where joint restraint is faced with gasket-groove bolt collar or flange on each
not provided by thrust blocking, as for the push-on end of the pipe. A suitable gasket is placed between
joint, a restraining collar with locking bolts is used to the flange faces and compressed by the bolts to form a
hold the joint together. The mechanical joint is easy to pressure-tight joint. The flange joint is the strongest of
assemble and is intermediate in cost (i.e., between the the joints. The chief disadvantage of the flange joint is
push-on joint and the more costly ball joint, flanged that usually some type of length-compensating joint
joint or threaded joint). must be included in the pipe run, because as the
flange bolts are drawn up, the overall length of the
䡲 The ball joint is used for crossing waterways, as a pipe run is shortened by the compression of the gas-
restrained joint, and where free-turning deflections are
kets.
needed. The gasket is inserted into the bell and com-
pressed by the entering ball. The joint is secured by 䡲 The threaded or screwed joint is formed by cutting
locking the bayonet-type retainer over the lugs on the threads into the end of the pipe on a tapered diameter
WATER DISTRIBUTION
F IGURE 26.17 (a) Butterfly valve; (b) AWWA butterfly valve. Reprinted with permission of DeZurik, Sartell, Minn.
(i.e., ‘‘pipe threads’’). When the tapered threads are

screwed together, they create an interference fit, which
with the aid of a mastic pipe sealing compound on the
threads makes a pressure tight joint. The threaded
joint is not commonly used for distribution piping be-
cause it is difficult to make in larger pipe sizes and be-
cause the loss of metal in the pipe wall at the threads
makes it weaker than the flanged joint.
䡲 The ball, flanged, and threaded joints are consid-
ered ‘‘restrained’’ joints in that the joints will hold the
individual lengths of pipe together under system-
operating pressure; as such, these joints are suitable for
above-ground use.
Fittings. Fittings are used to connect same or different-
size pipes, change the flow direction, split the flow into
several directions and stop the flow. Examples of fittings
commonly used in the distribution network are crosses,
tees, wyes, and bends. Standard bends are 90⬚ or full bends,
45⬚ or 1⁄2⬚ bends, 221⁄2⬚ or 1⁄4⬚ bends and 111⁄4⬚ or 1⁄8⬚
bends. Fittings are readily available in standard sizes. Non-
standard sizes are special-order items from a manufacturer.
Because the special-order items cost significantly more and
may delay construction while on order, their use and ne-
cessity in design should be avoided except in the most ex-
treme cases. Typically, the AWWA, ANSI, and ASTM
designate acceptable standards and specifications for vari-
ous pipes and fixtures for water-supply systems. Examples
F IGURE 26.18 Schematic diagram of a globe valve. of various fittings are shown in Figure 26.22.
WATER DISTRIBUTION
TABLE 26.9 Valve Summary (Water Distribution Operator Training HB, AWWA, 1976)
COMMON SIZE PARTICULARLY MAIN MAIN
VALUE TYPE RANGE (in.) ADAPTED TO ADVANTAGES DISADVANTAGES
1
Gate ⁄2 –24 Low cost in
Isolation services High cost in large sizes
small sizes
in distribution Large sizes are quite heavy
grids Low friction Poor for throttling; should
Good service life not be used where frequent
Ease of operation is necessary
installation
.....................................................................................................................
Butterfly 3 & up Isolation and Low cost in Higher friction loss than
automatic control larger sizes for gate valve
normal service Difficult to open in lines
pressures where differential pressures
Some types have exists
very short May cause problems when
lengths relining pipe
Ease of operation Leaks because of seat
damage
.....................................................................................................................
1
Globe ⁄2 –24 Isolation in Simple High friction loss
smaller sizes construction Very heavy and expensive in
Flow control in Dependable, can large sizes
larger sizes be used for
Pressure control throttling
Good for
pressure control
Sediment or
material unlikely
to prevent
complete closing
.....................................................................................................................
1
Ball and Plug ⁄2 –3 Isolation and Dependable High cost in large sizes
1
⁄2 –12 throttling Very low friction Very heavy
loss
Slow shut-off
characteristic
minimizes
closing surges
Ease of operation
Resistant to
erosion
Long life
Reprinted from ‘‘American Water Distribution Operator Training Handbook,’’ by permission. Copyright 䉷 1976, American Waterworks Assocation.

WATER DISTRIBUTION
Meters are available in the same sizes as pipe diameters.

Usually the meter is sized one diameter size less than the
pipe for reasons associated with accuracy, head loss, and
cost. Unlike pipe, where the cost differential between suc-
cessive pipe sizes may be on the order of 10% to 25%, the
cost differential between successive meter sizes can be sig-
nificantly more. Downsizing the meter also down sizes suc-
ceeding appurtenances and fixtures thereby reducing costs.
The increase in accuracy in using the smaller size meter is
counterbalanced by an increase in the head loss. Usually
the cost savings and the accuracy offset the drawback in-
curred from the increased head loss.
Thrust Restraint
Two basic forces associated with flowing water under pres-
sure are the hydrostatic forces and hydrodynamic forces.
Simply explained, hydrostatic forces are due to the pressure
F IGURE 26.19 Two-inch blow-off valve detail. exerted by a depth of fluid as shown in Figure 26.23. This
pressure force acts perpendicular to a surface. Thus, for a
pipe with full flow, the pressure acts radially outward and
also along the longitudinal axis of the pipe.
Fire Hydrants
Consider a pipe connected to a tank and plugged at the
A fire hydrant consists of the above-ground barrel that ex- other end as shown in Figure 26.23. From basic hydro-
tends below grade to the water supply line. The supply line statics, the pressure on the plugged end of the pipe is pro-
connecting the barrel to the water main is a minimum six- portional to the depth of water, H, as shown by the
in diameter pipe. Typically, a gate valve located in an un- hydrostatic pressure distribution diagram. The pressure, p,
derground valve box allows for shut-off and repair. is equal to ␥H, where ␥ is the specific weight of the fluid.
Maximum recommended friction losses in the hydrant are The magnitude of the force acting at the end of the pipe is
2.5 psi, and five-psi in the water supply line, from the main equal to the product of the pressure and the cross-sectional
to the hydrant, for flows of 600 gpm. Hydrants have various area of the pipe, Fp ⫽ ␥HA, where A is the cross-sectional
nozzle arrangements, but the most common hydrant has area of the pipe.
two 2.5-in. hose connections and one 4.5-in. pumper con- Hydrodynamic forces are the result of changes in mo-
nection. The bend directly below the barrel connects the mentum of the moving fluid. Any change in direction or
barrel to the supply line. A thrust block prevents movement magnitude of flow velocity results in a change in momen-
from lateral forces and a concrete block underneath the tum of fluid. Fittings such as bends, tees, and wyes change
bend prevents excessive settling. After use of the hydrant, the direction of flow; nozzles, valves, and reducers change
the barrel is drained by way of a drain near the base of the the cross-sectional area of the flow path. Each of these fix-
barrel. A gravel bed surrounds the thrust block or bend to tures has force acting on them due to hydrostatics and hy-
allow for draining of the barrel. drodynamics.
The impulse-momentum equation (assuming incom-
Meters pressible flow) determines the resultant hydrodynamic force
Meters are commonly used to measure water for setting of the water on the fitting. The impulse-momentum equa-
cost, collecting payments from customers, and determining tion, in vector component form, is
fair distribution of water delivery costs. Other uses for me-
ters include flow measurements to and from treatment 冘F ⫽ ␳Q(⌬V )
x x
冘F ⫽ ␳Q(⌬V )
(26.5)
plants and reservoirs, blending of water and chemicals, and
y y
measuring water sold to other jurisdictions.
Meters used to measure usage for residential dwellings where Q is the discharge, ␳ is the density, and Vx and Vy
and commercial use are located in areas easily accessible to represent the x and y components of velocity.
the water utility company. They should not interfere with Consider the horizontal bend of Figure 26.24-a. The
public safety nor act as a hazardous obstacle. Most meters force of the water on the bend is the result of the pressure
are located below ground surface levels for safety and to forces, pA, acting on the water within the bend, as illus-
reduce damage due to weather and tampering. Occasionally trated in Figure 26.24-b. To counter these forces, an equal
meters will be located inside the building with a remote and opposite force is produced by the longitudinal stresses
recorder mounted on the outside. in the pipe wall (Figure 26.24). Since common pipe joints

WATER DISTRIBUTION
F IGURE 26.20 (a) Typical bubble behavior; (b) suggested air release valve locations. Reprinted with permission of GA Industries, Inc.,
Cranberry Township, PA.

WATER DISTRIBUTION
F IGURE 26.21 Joint connections for cast iron pipe. Reprinted with permission of McWane Cast Iron Pipe Company, Birmingham, Alabama.

WATER DISTRIBUTION
F IGURE 26.22 Various types of fittings.
cannot resist these longitudinal forces, the developed forces

must be reduced or eliminated by additional anchors, either
in the form of thrust blocks or with supplemental clamps
and collars at the joints.
As an example of the magnitude of such forces, consider
a typical water distribution pipe system with operating pres-
sure ranges from 40 to 150 psi and velocities approximately
3 to 10 fps. Within these ranges, hydrostatic forces are far F IGURE 26.24 Forces for flow through a horizontal bend.
greater than hydrodynamic forces and for the purposes of
design can, in most cases, be ignored. To illustrate this
given, let Fx and Fy represent the forces of the bend on the
point, consider a 12-in.-diameter, 45⬚ horizontal bend. As-
fluid. Expanding Equation 26.5 gives
sume line pressure of 50 psi and flow velocity of 5 fps. The
right side of the momentum equation (Equation 26.5) is p1 A1 ⫺ Fx ⫺ p2A2 cos 45⬚ (26.6)
the force due to the change in momentum of the fluid. The ⫽ ␳Q(V2 cos 45⬚ ⫺ V1) Fy ⫺ p2A2 sin 45⬚
left side represents all forces acting on the fluid, such as
gravity, pressure forces, and shear forces. For the conditions ⫽ ␳QV2 sin 45⬚
Rearranging terms and substituting the appropriate values
冉50 psi * 144

in.2
psi 冊 (0.79 ft2) (26.7)
⫺ 冉
50 psi * 144
in2
psi冊 (0.79 ft2) cos 45⬚
ft3
⫺ 1.94 slugs * 3.9
sec
冉5
ft
sec
cos 45⬚ ⫺ 5
ft
sec 冊 ⫽ Fx
or
1666 lbs ⫺ (⫺11 lbs) ⫽ 1677 lbs ⫽ Fx (26.8)
F IGURE 26.23 Hydrostatic pressure in a pipe. Similarly the y-component of the force is

WATER DISTRIBUTION
冉50
lbs
in.2 *
in.2
144 2 * 0.79 ft2 sin 45⬚
ft 冊 (26.9)
Sf ⫽ factor of safety (usually 1.5 for thrust block
design)
冉冊
SB ⫽ bearing strength of the soil (psf)
ft3
⫹ (19.4 slugs) * 3.9 sin 45⬚ ⫽ Fy
sec 䡲 The block height (h) should be equal to or less
than 1⁄2 the total depth to the bottom of the block, HT,
or but not less than the pipe diameter, D.
5688 lbs ⫹ 5.4 lbs ⫽ 5693 lbs ⫽ Fy (26.10) 䡲 Block height (h) should be chosen such that the
calculated block width (b) varies between one and two
The preceding computations show that for conditions
times the height.
typical of water distribution systems, the components of the
momentum force (i.e., 11 lb and 5.4 lb) are substantially Table 26.10 provides bearing strengths for generalized
less than the x and y components of the pressure forces, soil, to be used whenever actual bearing strengths are not
namely 1666 lbs and 5688 lbs, respectively. available. The engineer is responsible for proper selection
The types of joints commonly used to connect ductile of the bearing strength based on proper soil identification.
iron pipe are push-on or mechanical joints. Although leak- The DIPRA suggests that in lieu of the values for soil bear-
proof and quite effective for normal radial stresses, these ing strength shown in Table 26.10, a designer may choose
joints are not capable of resisting the hydrostatic and hy- to use calculated Rankine passive pressure or other deter-
drodynamic forces at the components in the longitudinal mination of soil bearing strength based on actual soil prop-
direction. Added measures are necessary to reinforce lon- erties.
gitudinal separation at the joints. For instance, thrust blocks
On horizontal bends, the placement of the thrust block
are used to transfer the fluid pressure forces to undisturbed
is against the outer edge of the bend. On vertical down
soil. Other measures include collars and clamps around the
bends, similar placement would put the thrust block on top
joints to provide additional restraint.
of the pipe. Besides the danger of crushing the pipe, the fill
The design concept of thrust blocks is similar to foun-
dirt on top of the block provides marginal bearing support.
dation design. The intent is to transfer internal hydrostatic
Instead, the vertical down bend is stabilized with a gravity
forces to the undisturbed soil mass through a mass of con-
thrust block attached to the underside of the bend (see
crete. For a given hydraulic design, the size of the thrust
Figure 26.21-b). The vertical component (Ty ⫽ PAsin␪) of
block depends on the bearing capacity of the soil and the
the thrust force is countered by the weight of the block
hydrostatic forces within the waterline component. Figure
26.25 shows the magnitude and line of action of hydrostatic itself. The required volume of the block is
forces for various types of waterline components. The lo- SfPA(sin ␪)
cation of the thrust block depends on the type of pipe fit- VG ⫽ (26.12)
Wm
tings. Parameters considered in the design of thrust blocks
include pipe size, hydrostatic pressures, type of component, where VG ⫽ the volume of the block and WM ⫽ density of
and soil properties. the block material.
The Ductile Iron Pipe Research Association (DIRPA) rec-
ommends the following for thrust block design (with ref- The horizontal component of the thrust force, TX ⫽
erence to Figure 26.26). PA(1-cos␪), is transferred to the soil by the right side bear-
ing area of the block.
䡲 Bearing surface of the block should be placed
In situations where thrust blocks cannot be used, an-
against undisturbed soil. Alternatively, when this is not
other common method for thrust resistance is the use of
possible, the fill soil between the block and the undis-
restrained joints. A restrained joint is a specially designed
turbed earth must be compacted to minimum 90%
joint that provides longitudinal restraint. The thrust force
Standard Proctor density. The required bearing block
at the component is transferred to the surrounding soil
area is
through frictional resistance and bearing from a predeter-
TSf mined length of pipe.
Ab ⫽ hb ⫽ (26.11) Other types of thrust resistance include steel straps at-
SB
tached to boulders and bedrock (not very common), and
where: tie rods connecting collars on either side of a joint.
Ab ⫽ the bearing surface area of the block
h ⫽ height of the block
SYSTEM LAYOUT CONSIDERATIONS
b ⫽ width of the block
T ⫽ the resultant hydrostatic thrust force on the Pipe Network
component. The hydrostatic forces (PA terms) In residential areas, distribution lines typically follow the
corresponding to T are found from Figure street network and are usually located within the public
26.25. right-of-way. Some localities require the location of the wa-

WATER DISTRIBUTION
F IGURE 26.25 Thrust forces and line of action for selected fittings. Reprinted with permission of Ductile Iron Pipe Research Association,
Birmingham, Alabama.
ter line to be a fixed distance from the centerline, curb line, easements should preferably run through out-parcels and
or right-of-way line and on the same side of the street for common land rather than individual lots. However, if the
uniformity. For instance, in some parts of the United States, water line must pass through a lot, the preferred location
the water line is laid on the north and east side of the is along lot lines, with the lot lines coincident with the edge
centerline. Whether the water main is located under the of the easement. Note: this method of locating the easement
pavement or behind the curb line is a matter of preference must comply with other subdivision and zoning con-
set according to local standards. straints. For example, the water line must meet the criteria
Although the grid layout is preferable to the branching for minimum distance to dwellings and other structures.
layout, dead-end lines cannot always be avoided. Therefore, Location of water mains in commercial areas and high-
most distribution systems are a combination of loops and density residential areas (e.g. townhouses and condomini-
branches, with the branch lines kept to a minimum. Many ums) is dictated, in part, by other utilities, their structures,
branch lines are temporary and are built for the conven- location of fire prevention and control devices for the in-
ience of future connections needed when new develop- ternal parts of the building (e.g., fire hose connections,
ments are added and streets are extended. Cul-de-sac sprinkler systems), location of fire hydrants and type of
streets, common in residential developments, make looping metering system. Generally, these sites contain a more com-
of distribution lines difficult since easements are required plex maze of underground utilities within the travelways
to extend the water line through private property. The water that present obstacles in the layout. To illustrate: the trav-
supply company, in its desire to minimize dead-end water elways are narrower than public street right-of-ways; the
lines, may require the developer to provide easements sites contain higher impervious areas, and this translates to
through the project for inter-connecting the water line. The more storm sewer pipe and inlets; and the higher density

WATER DISTRIBUTION
T A B L E 2 6 . 1 0 Bearing Strength of
Generalized Soils
STRENGTH (SB)
SOIL (lb/ft2)
Muck 0
.....................................................
Soft clay 1,000
.....................................................
Silt 1,500
.....................................................
Sandy silt 3,000
.....................................................
Sand 4,000
.....................................................
Sandy clay 6,000
.....................................................
Hard clay 9,000
*Although the above bearing strength values have been used successfully
in the design of thrust blocks and are considered to be conservative, their
accuracy is totally dependent on accurate soil identification and evalua-
tion. The ultimate responsibility for selecting the proper bearing strength
of a particular soil type must rest with the design engineer.
Reprinted with permission of Ductile Iron Pipe Research Assocation, Bir-
mingham, Alabama.
erable. Note: sustained high-discharge velocities scour the

interior of pipes.
For health and safety reasons, the horizontal distance
between a water line and sanitary sewer line or manhole
should be a minimum 10 ft. Pipes and pipe joints may
develop leaks due to deterioration, improper construction,
and excessive pressures. Contamination of the water supply
from the sanitary wastewater system presents a potential for
creating a major health problem as well as a major cost in
locating the point of contamination and repairing it. When
the water and sanitary sewer line are essentially parallel and
F IGURE 2 6 . 2 6 Schematic for (a) bearing block; (b) gravity
block. Reprinted with permission of Ductile Iron Pipe Research Association, the horizontal distance is less than 10 ft, special provisions
Birmingham, Alabama. are done to ensure no contamination. When the water main
is in the vicinity of a sanitary sewer, the water main should
be above the sanitary line, with a minimum distance of 18
usually means more sanitary connections. Since water lines in between the invert of the water line and the crown of
are normally non-gravity-dependent, the water line can be the sanitary pipe. In addition, pressure pipe should be used
adapted to weave over, under and around the other gravity- for the sanitary sewer, and water-tight joints should be used
dependent utilities. to provide additional protection from contamination. San-
Although water mains are usually no smaller than 6 in itary sewer manholes in the vicinity of water mains must
in diameter, since this size is common for stub lines serving also be of water-tight construction. As an alternative, design
fire hydrants and lines that only serve a few residential standards may require concrete encasement of the water
units, 4-in. lines may be acceptable for special situations. line when it falls in close proximity to sanitary lines. In the
Typical pipe sizes for water mains are 4, 6, 8, 12, 16, 18, extreme cases, when the sanitary line must be above the
and 24-in. diameters. The size varies according to the spec- water main, the sanitary sewer should have adequate sup-
ifications of the jurisdiction and the availability of pipe ma- port (e.g., concrete cradle) to prevent excessive deflection,
terials. Since the velocity increases as the diameter settling on, and breaking of the water line. If the sanitary
decreases, smaller diameter pipes result in higher head- sewer crosses the water main, not only should upgraded
losses for the same discharge. Velocities of 3 fps to 6 fps at materials be used, but the water-main section of pipe
normal working conditions are preferred, although higher should be centered at the point of crossing to put the water
velocities in short lengths of pipe for short periods are tol- main’s pipe joints as far from the sanitary pipe as possible.

WATER DISTRIBUTION
Water lines are set at a depth below the frost line. The
engineer profiles the water line after the horizontal layout
is complete to show how the water line weaves over and
under other utilities in the development. Minimum clear-
ance between water main and storm sewer is approximately
one ft. When the water main passes under a storm sewer
pipe, additional structural support to the storm pipe should
be considered to prevent crushing of the water main. When
water mains pass over utilities at less than minimum depth,
consideration for freezing is necessary.
Valve Locations
Isolation valves are placed on line for shutting down a sec-
tion of the system for repairs and maintenance. Recom-
mended valve spacing ranges from 500 to 1200-ft intervals.
Since the purpose of isolation valves is to shut down a
section for repairs, the objective in placing the valves is to
balance the economics of using as few valves as possible to
inconvenience the smallest number of customers when a
section is shut down.
Most water main systems follow a community’s public
road. In moderate to high-density residential and commer-
cial areas (i.e., ⬎3 DU/AC), the frequency of street inter-
sections is typically less than 1000 ft and in many
developments 500 ft and less. At these intersections, tees
and crosses divide the water line into other feeder lines. F IGURE 26.27 Valve placement.
Included with these tees and crosses are valves that allow
for various ways to segment small service areas. Generally,
valves are placed on two sides of a tee and three sides of a The number and location of valves in a development
cross. At tees, one valve is placed on the minor line. Like- project is a function of the density. In low and moderate-
wise with crosses, valves are placed at each side of the mi- density areas, the placement of valves every 500-ft is in-
nor connection (see Figure 26.27-a). The location of the herent due to the street layout. In areas of higher densities
remaining valves for the cross and tee depends on the lo- (e.g., 10 DU/AC, or apartment complexes), the placement
cation of the valves at the next junction upstream and of valves at 500-ft intervals would mean inconveniencing
downstream from the point under consideration. Referring numerous households when a section is shut down. In such
to Figure 26.27-a, recognize that two valves at each tee can cases, the location of valves will depend on the number of
accomplish the same results as three valves. The water-main service lines that can comfortably be shut down. A reason-
segments of B-D, D-F, and C-E can be isolated without the able range is 15 to 25 service lines between isolation valves.
need for a valve at P. To do this requires intermediate valves placed on line to
The exception to the above-noted rule occurs on tees limit the number of households to a reasonable level.
where the stub side connects to either a reasonably large Valves are installed in cast iron or PVC valve boxes—a
commercial building or a fire hydrant. In these cases, valves sleeve placed over the valve that prevents backfilling over
are placed on all three sides of the tee as shown in Figure the valve and allows access from the ground level. The valve
26.27-b. The two valves along the distribution line allow box and its lid present a nuisance when located in lawns.
flows to the building or hydrant, even though part of the When possible, the valve should be placed in accessible
nearby distribution line may be shut down. The third valve areas, but not where the valve box would be covered with
on the stub side allows the building or hydrant to be iso- soil and overgrown vegetation (e.g. wooded areas). Al-
lated without disrupting flows along the water main. though locating valves in such areas should be avoided, this
Valves are also commonly located where the distribution is not always possible. In such instances, the valve is en-
line has been downsized. As the number of service con- closed within a vault. The vault may be concrete or another
nections decrease on the line, for instance at a terminating permanent enclosure that protrudes above the ground sur-
street, the distribution line’s diameter can be reduced be- face at least six in. A vent stack may also be connected to
cause of reduced demand. A reducer is a component that the vault. The protruding vault and vent stack allows for
allows for the connection of a large pipe to a smaller pipe. locating the valve much easier.
Typically, as an economic consideration, valves are placed Placement of valves for isolation purposes can be very
after the reducer on the side with the smaller diameter. subjective. Occasionally, the water supply company dictates

WATER DISTRIBUTION
the location of valves and other controlling components. land use, risk (e.g., high-value district in terms of property
The water supply company has immediate access to infor- cost and public safety) and local controlling ordinances.
mation not readily available to the project engineer. The To the extent possible, placement of hydrants should not
project engineer can then only make the best guess using detract from the streetscape. The fire hydrant needs to be
the foregoing concepts and personal experience for showing visible and accessible to the fire fighters and yet not be
water-line and component location on the plan sheets. obtrusive. For example, in single-family detached subdivi-
sions, a hydrant placed behind the curb at the side property
Fire Hydrant Location line extended would serve both purposes. A fire hydrant in
Although aesthetic value of a development has a high pri- the middle of the front property line may be unattractive—
ority, there is very little compromise with safety and fire especially if the house sits close to the front property line.
protection. Fire hydrants need to be conspicuously located In placing fire hydrants in a residential subdivision, a
and highly accessible. Fire fighters in the throes of fighting systematic method would be to start on the cul-de-sac
a blaze need to locate a hydrant by quick glances in obvious streets. Determine the fire flow coverage or the maximum
directions. Typically, fire hydrants are located 2 to 3 ft be- distance from a fire hydrant to the farthest buildings as
hind the curb or edge of pavement. The hydrant is oriented prescribed by local codes. Using this distance, place a fire
so that the pumper connection faces the street or travelway hydrant as far away from the houses within the cul-de-sac
and is set far enough behind the face of curb to avoid dam- as this distance allows. Proceed along the cul-de-sac street
age from vehicles. Hydrants are placed to be accessible for toward the through street, placing fire hydrants at the ap-
hose connections and the pumper truck and, therefore, propriate distances, considering hydrant spacing and pre-
should not be placed high on embankments, in depressions scribed maximum distances to dwellings. After all
or ditches, or near trees, poles, walls, or where there is cul-de-sac streets have the appropriate number of hydrants,
insufficient clearance for hose lines (Figure 26.28). the hydrants along through streets are located to provide
In high-density residential areas (e.g., townhouse and fire protection not covered by the cul-de-sac fire hydrants
condominium sites) fire hydrants are frequently placed on or any existing fire hydrants.
parking islands near buildings. Consideration is given to the A map, such as the one of Figure 26.29, showing hy-
minimum distance between the fire hydrant and closest drant and valve locations might be available from the water
building it is intended to serve. Local codes prescribe the utility company or Department of Public Works. A copy of
safe distance for which the fire fighters can access a hydrant a map such as this for the project area should be obtained
without sustaining injury from the burning building and prior to beginning the design. This provides information for
this is approximately 50 to 75 ft. Therefore, several hy- assessing water availability and hydrant location during the
drants may be needed throughout high-density and com- site-analysis phase.
mercial areas to protect the building. Another consideration
when locating hydrants is the placement of fire hoses. For Pipe Curvature
example, BOCA fire codes do not recommend placement of Gradual change of direction with pipe is accomplished by
unprotected fire hoses across travel ways. Placement of fire using bends or simulating curvature through succeeding de-
hydrants on both sides of the street to protect the building flection of pipe joints. The approximate radius of curvature
opposite from the fire hydrant will not suffice because of depends on the type of pipe joint, length of pipe, and pipe
the BOCA restrictions on placement of fire hoses. diameter. Figure 26.30 shows details for joint deflections
On commercial sites, hydrant spacing is governed by the for mechanical and push-on type pipe joints.
estimated coverage as determined by fire flow requirements,
the course of the unrolled fire hose, and the location of fire Connections
hose connections on the building (in addition to any other During construction, building service connections are ex-
local requirements). Since fire hoses are unrolled along the tended from the water main to the right of way line.
travelways and grassy areas, the distance between hydrants Whereas the water main may be 6- to 12-in.-diameter pipe,
is not measured along a straight line connecting the hy- the service connections for residential dwellings are typi-
drants. Subsequently, for streets and travel ways with many cally 3⁄4 to 1-in.-diameter. A corporation stop assembly (see
short radius curves and obstructions (e.g., fences and Figure 26.31) connects the service line to the water main
walls), more fire hydrants will be needed. Commercial at a point above the horizontal center of the water main.
buildings may be required to have an exterior fire hose This location does not draw off any sediment from the bot-
manifold (e.g., standpipe, siamese connections). The loca- tom of the water main, is an easily accessible location for
tion of this manifold on the building must be near (prob- repairs, and allows trapped air to escape from the water
ably within 100 ft) a fire hydrant. main and be expelled through water fixtures. However, the
The ISO recommends hydrant distribution according to specific location of the connection depends on the policy
the coverage presented in Table 26.11. Rule-of-thumb hy- of the utility company.
drant spacing ranges from 300 ft to 1,000-ft intervals. Ac- The service connection ends at the meter box or curb
tual spacing considers the type and size of the dwelling, box. The meter box contains the shut-off service valve, a

WATER DISTRIBUTION
F IGURE 26.28 Typical hydrant settings.
yoke, and the water meter. The yoke is a special fitting to method selected depends on the specific site conditions and
hold the service pipe stubs at the proper alignment for con- the locality.
necting the meter. The service box contains only the service One common method uses a tapping sleeve and valve.
valve. In some areas, the building contractor is responsible As illustrated in Figure 26.32, the tapping sleeve and valve
for installation of the meter and the service line leading to consists of two half-sections of pipe that are strapped over
the house, and in others the water utility company manages the existing line. Special equipment designed to fit over a
the installation of the water main and service lines. The valve cuts a hole in the existing water main through the
stubbed service lines are installed during construction of opened valve fixture. After the hole is cut, the equipment
the water main. This allows the house connections to be is withdrawn and the valve is closed. The water main is
made as the houses are built without cutting into new pave- extended and the valve is opened when the extended water
ment. main has been approved for service. The advantage of the
tapping sleeve and valve is that it does not require existing
Connecting to an Existing Water Line service to be shut down while the connection is made.
Special types of construction methods are used to connect However, this type of connection, sometimes referred to as
the proposed water main to an existing water main, when a wet-tap, can be expensive.
the existing service cannot be shut down—even for the If isolation valves are located in close proximity to the
short time needed to make the connection. The type of proposed connection, they can be closed while the connec-

WATER DISTRIBUTION
Many connections of appurtenances require additional

T A B L E 2 6 . 1 1 Standard Hydrant
stability due to pressure forces. Besides using thrust blocks,
Distribution stability is attained by strapping the appurtenances to other
AVERAGE AREA stable parts. Strapping consists of connecting one fixture to
FIRE FLOW REQUIRED PER HYDRANT another fixture or pipe by using several rods attached at the
(gpm) (ft2) flanges.
1000 or less 160,000 Cross Connections

.....................................................
A cross connection is a link through which contaminated
1500 150,000
..................................................... water enters the potable water supply. The most obvious
2000 140,000 situation in which this occurs is when the potable water
..................................................... supply is directly connected to a contaminated source, ei-
2500 130,000 ther through an error during construction or poor hydraulic
.....................................................
3000 120,000 design. Although the system of checks and balances that
..................................................... exists during the design and approval process minimizes
3500 110,000 the chances of such a connection occurring, the repercus-
..................................................... sions of even one occurrence is costly both in human safety
4000 100,000 and monetary damages. Even if not physically connected to
.....................................................
4500 95,000 the water-supply system, cross connections can occur when
..................................................... back siphonage and back flows of contaminated water enter
5000 90,000 the potable-water system. Back siphonage, a type of back
..................................................... flow, results from negative pressures within the distributing
5500 85,000 pipes of the potable water supply, which draw water from
.....................................................
6000 80,000 the surrounding area into the system. Back siphonage can
..................................................... occur from inadequate pressure at the suction side of a
6500 75,000 booster pump, a water main break causing significantly re-
..................................................... duced pressure in the system, and reduced pressure in the
7000 70,000 system caused during repairs.
.....................................................
7500 65,000 An actual situation where contamination of the water
..................................................... supply resulted from back flow occurred in 1971. As re-
8000 60,000 ported by the EPA:
.....................................................
8500 57,500 A contractor using a tank truck with a rig designed to pump
..................................................... and spray a mixture of water, fertilizer, grass seed and wood
9000 55,000 pulp was working on the grounds of a subdivision. The
.....................................................
contractor was using a direct connection to a fire hydrant
10,000 50,000 to fill the tank with water, which was then mixed with the
.....................................................
fertilizer, etc. A high pressure pump then sprayed the mix-
11,000 45,000
..................................................... ture onto the ground. As the wood pulp circulated through
12,000 40,000 the tank piping system, it plugged one of the lines while
the pump continued to run creating a very high pressure
(Reprinted with permission of Insurance Services Office, Inc. Copyright 䉷 in the tank. This pressure was higher than the water-supply
1974). system pressure and it forced the solution of fertilizer into
the water system. Several people in the subdivision became
ill after drinking the water, but the contamination was dis-
covered and quick action in flushing and disinfecting the
tion is made. While the valves are closed, the existing pipe
lines eliminated the danger.2
can be cut. The cut section is removed, and a tee and sleeve
is inserted in its place. Note: this method requires incon- Although certain precautionary measures can be used to
veniencing the customers while the construction is per- reduce the potential for cross connection during the design,
formed. as long as the human element is present in design and con-
Another method consists of inserting valves onto the ex- struction, the potential for cross connection will always ex-
isting line in the area where the connection is to be made. ist. The most direct and easiest method for back flow
The valves are installed similar to the wet-tap method. The prevention is the inclusion of an air space between the free
valves are closed and the existing water line is cut and re-
placed by the fixture. However, like the wet-tap, this
method can be expensive. 2
Cross Connection Control Manual, USEPA 1975

WATER DISTRIBUTION
F IGURE 26.29 Municipal map showing waterline, valve and hydrant location in residential area.
flowing discharge end of the pipe and the flood level rim the numerical methods used within the program, it is im-
of the fixture. Other mechanical methods, used mainly in perative that the users understand the limitations of the
the smaller distribution and service lines, include vacuum program and the reliability of the input data. To intuitively
breakers, double check valves, and reduced-pressure- get a feel for the correctness of the output, the engineer still
principle devices. needs to understand the fundamental methods typically
used in the software program. The results from a computer
SYSTEM ANALYSIS software program are only as good as the input data and
Analysis and design of a water-distribution system is a com- the numerical methods used within the program.
plex process. Due to the availability of computers and the
myriad software programs available to analyze complex sys- Pipe Flow
tems, detailed long-hand computations have become vir- In general, flow through a pipe conduit is affected by its
tually obsolete. This does not de-emphasize the importance hydraulic and geometric properties. Length and shape are
of the fundamental knowledge of hydraulics. Very often, the the significant geometric properties; hydraulic properties in-
computer software is used as a ‘‘black box’’ to generate an- clude pipe material (for roughness), type and number of
swers from the input data. Although it is not imperative components (e.g., valves, reducers, bends, tees, etc.) and
that the program users fully understand the program and pressure. Analysis of fluid flow is a matter of determining

WATER DISTRIBUTION
F IGURE 2 6 . 3 0 Joint deflections for mechanical and push-on joints. Reprinted from American Water Works Association Standard for Ductile-
Iron Water Mains and Their Appurtenances, by permission. Copyright 䉷 1993, American Water Works Association.
WATER DISTRIBUTION
F IGURE 26.31 Typical service connections.
the total hydraulic energy of the fluid. To do so requires variable z is used in hydraulic nomenclature to reference
the conversion of the fluid’s known energy-related para- the potential energy of the system.
meters—pressure, velocity, and relative elevation—to units Analysis of a system, or components within specific con-
of energy. fines of the system, usually requires the comparison of the
Most water-distribution systems function as pressure total energy of the fluid at two locations. From the conser-
flow. Mathematically, system pressure is converted to energy vation-of-energy principle, equating the energy at one lo-
by changing the units of pressure to an equivalent height cation to the fluid’s energy at the second location produces:
of fluid. This is done by dividing the pressure by the spe-
cific weight of the fluid. Although specific weight is a func- p1 ␯2 p ␯2
⫹ 1 ⫹ z1 ⫹ 兺hi ⫽ 2 ⫹ 1 ⫹ z2 ⫹ 兺hL (26.15)
tion of temperature, the value of 62.4 lb/ft3 is ordinarily ␥ 2g ␥ 2g
assumed constant for the conditions encountered in water
distribution systems. Equation 26.13 converts pressure to where the 兺hL terms represent energy lost by the fluid in
pressure head—the depth of fluid that creates a pressure going from location one to location two.
identical to the pressure in the pipe. Energy lost or taken from the system is attributed to pipe
friction, components such as valves and reducers, and sud-
p den enlargements and contractions.
⫽h (26.13)
␥ In the energy equation (Equation 26.15), the p / ␥ ⫹ z
terms represent the hydraulic grade line (HGL). This is the
where p is the pipe pressure in psf, ␥ is the specific weight locus of values above the centerline of the pipe that des-
of the fluid (lb/ft3) and h is a depth in ft. ignate the height to which the water level would rise due
This is also referred to as the flow energy of the fluid.
to the pressure head if it were not confined within the pipe.
The kinetic energy of a moving fluid, typically referred to
Along straight sections of pipe, energy losses in the system
as the velocity head, is
cause the HGL to drop in the direction of flow. However,
␯2 increases in pipe velocity in the downstream direction will
h␯ ⫽ (26.14) cause the HGL to rise. Adding the ␯ 2 /2g term to the HGL
2g
represents the energy grade line. This represents the fluid’s
where hv ⫽ velocity head, v ⫽ average velocity in the cross available energy, and similar to the HGL, decreases in the
section of flow, and g ⫽ gravitational acceleration. downstream direction when no external energy is input into
Fluid within the distribution system also has potential the system.
energy. This is the energy associated with a fluid’s height Discharge through pipes is represented by the continuity
relative to a reference datum. The datum is arbitrarily se- equation, Q ⫽ VA. Unless there is a leak or the fluid is
lected for the convenience of analyzing the system or iden- highly compressible, the continuity equation shows that the
tifying other parameters associated with the system. The amount of water flowing in a length of pipe is constant;

WATER DISTRIBUTION
F IGURE 26.32 Tapping sleeve and valve. Reprinted with permission of Mueller Co., Decatur Illinois.
687
WATER DISTRIBUTION
velocity adjusts proportionally to any change in cross- on the pipe material and the pipe diameter. Figure 26.28
sectional area to keep the discharge constant. Inherent in shows this ratio for various commercial pipes. The Moody
pipe flow is the energy loss from the effects of the roughness diagram (Figure 26.34) shows the relationship between f,
of the pipe material. The pipe’s surface roughness affects ⑀, and R.
the velocity across the cross-sectional flow area, with a net The energy loss, hL, for a known discharge and pipe can
result of retarding the flow. Therefore, the equations for be found by:
determining the discharge in pipes must account for this
head (i.e., energy) loss. 1. Determining the Reynolds number, Equation
The Darcy-Weisbach equation is one of the most popular 26.17.
methods for determining the head loss in pipe flow. This 2. Determining ⑀ from Figure 26.34
equation,
3. Determining the ⑀ / D ratio and enter R and ⑀ / D
L V2 on the Moody diagram (Figure 26.34) and reading the
hL ⫽ f (26.16)
corresponding value of f
D 2g
where 4. Using the Darcy-Weisbach Equation 26.16 to find

hL
hL ⫽ head loss,
5. Using the Bernoulli equation and/or the continuity
f ⫽ dimension less friction factor,
equation to determine other design parameters
L ⫽ length of pipe,
D ⫽ diameter of the pipe, In lieu of the Moody diagram, Equation 26.19 can be
V ⫽ average velocity in the pipe, and used to approximate f for the given constraints.
g ⫽ gravitational constant)
1.325
and experimental verification show the following to be true: f⫽ (26.19)
[ln (⑀ /3.7D ⫹ 5.74/R0.9)]2
䡲 The head loss varies directly with the length of for
pipe and inversely with the diameter.
⑀
䡲 The head loss varies with the square of the veloc- 10⫺6 ⱕ ⱕ 10⫺2
D
ity.
5000 ⱕ R ⱕ 108
䡲 The head loss depends on the roughness of the in-
terior pipe wall. Pipe analysis problems with incompressible flow require
the determination of the variables Q, L, D, hf and V. Rec-
䡲 The head loss depends on fluid properties of den-
ognize that V, D and f are inter-related. Hence, the solution
sity and viscosity and is independent of pressure.
to solving problems where these parameters are unknown
The last two items are evident from the significance of (and therefore R is unknown) requires a trial-and-error pro-
the parameter f. The value of f is dependent on the Reyn- cedure. Since the value of f changes very slowly at the
olds number, the ratio of the inertia forces to the viscous higher R values, begin the trial-and-error procedure by as-
forces of the fluid and the relative roughness of the pipe. suming a value for either f of R and obtain a final solution
These are the only two significant forces of the fluid in a for Q or V. Compute an f (or R) using the final solution,
completely filled conduit. For a circular conduit, the Reyn- and use the Moody diagram to find R (or f ) and compare
olds number (R) is this to the assumed value. The procedure ends when the
computed value is within an acceptable tolerance of the
␳DV assumed value. For example, if D is known, the trial-and-
R⫽ (26.17)
␮ error procedure begins by assuming f and using the Darcy-
Weisbach equation to find the velocity. Use this velocity to
For laminar flows (i.e., R ⬍ 2000) f is, compute R and find the corresponding f value from the
Moody diagram. If the two values are within an acceptable
64
f⫽ (26.18) tolerance, the procedure ends and the design parameters
R are known; otherwise, assume another value for f and re-
where ␳ is the density and ␮ is the absolute viscosity of peat the procedure.
the fluid. Another popular method used to find pipe discharges
For any consistent system of units, R is a dimensionless and other design parameters is the Hazen-Williams equa-
number. For turbulent flows, f has been found through ex- tion, shown for use with English units as
perimentation to be related to the ratio of ⑀ / D where ⑀ is V ⫽ 1.318 CR 0.63S 0.54 (26.20)
the absolute roughness, a parameter that measures the size
of the irregularities of the pipe material. This ratio depends where
WATER DISTRIBUTION
F IGURE 26.33 Moody diagram. (ASME Transactions, vol. 66, 1944. Reprinted by permission of American Society of Mechanical Engineers.)
V ⫽ velocity, Minor Losses

C ⫽ coefficient associated with pipe roughness, Components in the pipe network contribute to the system’s
R ⫽ hydraulic radius (⫽ D /4 for circular pipes flowing head losses. These are considered as minor losses and, de-
full), and pending on the section of the system under analysis, may
S ⫽ energy gradient (hL / L). or may not need to be incorporated into the design com-
putations. Energy lost through friction is significantly larger
Although not dimensionally correct, as many empirical
than the combined minor losses when pipe lengths exceed
equations tend to be, the Hazen-Williams equation provides
1000 Ⳳ diameters. In these situations, the minor energy
generally acceptable discharge estimates. In most problems
losses can be ignored without appreciable effect on the re-
for design purposes, C is taken to be 100, but for aged
sults (due to the uncertainty in the C coefficient).
pipe, C can be as low as 70. Table 26.12 provides a range
The loss coefficient method uses a constant of propor-
of C values for different pipe materials. The advantage in
tionality based on the configuration of the component. This
using this equation over the Darcy-Weisbach equation, is
constant is applied to the velocity head of the water enter-
the independence of C from the Reynolds number. Because
ing or exiting the component. This method computes the
this equation does not include any terms relating to the
minor losses using the form
physical properties of the fluid, the Hazen-Williams equa-
tion is used for water discharges for turbulent conditions ␯2
only. Additionally, this non-dependence on the physical h␯ ⫽ k (26.21)
2g
properties of the water makes the Hazen-Williams equation
the preferred equation for pipe flow analysis. Figure 26.35 where k is the constant of proportionality.
is the nomograph for the Hazen-Williams equation. Given Table 26.13 shows k factors for various fittings and other
the value of two of the variables in the equation, the nom- water line appurtenances. For additional information on
ograph provides the unknown values of the remaining two head losses through fittings as well as other components,
variables. the manufacturer’s specifications should be consulted.
WATER DISTRIBUTION
F IGURE 26.34 Roughness factors for commercial pipes. (ASME Transactions, vol. 66, 1944. Reprinted by permission of American Society of
Mechanical Engineers.)
Equivalent Pipe Lengths different diameter with the same discharge, or the same
A pipe network typically consists of loops and branches, head loss as a fitting for the given discharge. Using the
with fittings and pipes of various diameters. In order to Darcy-Weisbach equation, an equivalent pipe length for a
simplify pipe network computations, it may be advanta- fitting with a given head loss is
geous to convert the fittings and various pipe lengths into
冉冊冉冊
equivalent lengths of a uniform diameter. The equivalent
pipe length represents a length of pipe of known diameter Le V2 V2 D
f ⫽K or Le ⫽ K (26.22)
that has either the same head loss as a length of pipe of D 2g 2g f

WATER DISTRIBUTION
TABLE 26.12 Relative Roughness and Hazen-Williams Constants for Various Pipe Materials
⑀(ft) C
TYPE OF PIPE OR SURFACE RANGE DESIGN RANGE CLEAN DESIGN
STEEL
welded and seamless 0.0001–0.0003 0.0002 150–80 140 100
interior riveted, no projecting rivets 139 100
projecting girth rivets 130 100
projecting girth and horizontal rivets 115 100
vitrified, spiral-riveted, flow with lap 110 100
vitrified, spiral-riveted, flow against lap 100 90
corrugated 60 60
.....................................................................................................................
MINERAL
concrete 0.001–0.01 0.004 152–85 120 100
cement-asbestos 160–140 150 140
vitrified clays 110
brick sewer 100
.....................................................................................................................
IRON
cast, plain 0.0004–0.002 0.0008 150–80 130 100
cast, tar (asphalt) coated 0.0002–0.0006 0.0004 145–50 130 100
cast, cement-lined 0.000008 0.000008 150 140
cast, bituminous-lined 0.000008 0.000008 160–130 148 140
cast, centrifugally spun 0.00001 0.00001
galvanized, plain 0.0002–0.0008 0.0005
wrought, plain 0.0001–0.0003 0.0002 150–80 130 100
.....................................................................................................................
MISCELLANEOUS
fiber 150 140
copper and brass 0.000005 0.000005 150–120 140 130
wood stave 0.0006–0.003 0.002 145–110 120 110
transite 0.000008 0.000008
lead, tin, glass 0.000005 150–120 140 130
plastic (PVC and ABS) 0.000005 150–120 140 130
Taken from Civil Engineering Reference Manual, 4th edition, by Michael Linderbers, with permission from Professional Publications, Inc., Belmont CA. Copyright
䉷 1989.
where the terms are as defined earlier and Le represents the

length of pipe of diameter D that corresponds to the head Le ⫽ L 冉冊冉冊
f
fe
De
D
5
(26.23)
loss through the component.
where f and fe are the friction factors for the given pipe and
The nomograph of Figure 26.38 can be used in lieu of
equivalent length pipe respectively.
the equations to convert various fixtures to equivalent
Similarly, the Hazen-Williams equation is rearranged to
lengths.
find an equivalent length pipe using the diameters and the
To convert a pipe of one diameter to pipe of different
coefficients of pipe roughness for the equivalent length
diameter, for a given discharge, either the Darcy-Weisbach
pipe, Ce, and the coefficient of roughness for the given pipe,
equation or the Hazen-Williams equation can be used. After
C.
冉冊冉冊
rearranging terms of the Darcy-Weisbach equation, con-
4.87 1.85
verting one pipe of known diameter D to another diameter De Ce
Le ⫽ L (26.24)
De, of equivalent length Le is found by D C

WATER DISTRIBUTION
F IGURE 2 6 . 3 5 Hazen-William nomograph. Design and Construction of Sanitary and Storm Sewers (1969). American Society of Civil Engineers
and the Water Pollution Control Federation. Reprinted with permission of ASCE, New York, New York.
As an example, find the equivalent length of 12-in di- Using the same equation, the velocity in the 12-in.-
ameter ductile iron pipe (C ⫽ 100) for 500 ft of 10-in- diameter pipe is 6.4 fps.
diameter pipe (C ⫽ 100) attached with a globe valve at one From Table 26.13, the head loss coefficient for a globe
end (Q ⫽ 5 cfs). valve is 10 and the corresponding head loss through the
The velocity in the 10-in. pipe is globe valve is
冉冊Q 5
冉冊冉冊
V10 ⫽ ⫽ ⫽ 9.2 fps (26.25)
A10 ⌸ 10 2
9.22
hl ⫽ 10 ⫽ 13.2 ft (26.26)
4 12 2g

WATER DISTRIBUTION
TABLE 26.13 Table of Local Loss Coefficients

WATER DISTRIBUTION
TABLE 26.13 Table of Local Loss Coefficients (Continued)
Using the Hazen-Williams equation, the equivalent demand table for various building uses will be prescribed
length of 12-in.-diameter pipe for the globe valve is in the applicable building code.
冉冊1.85
Another method estimates the demand based on the
1.318CR 0.63h L0.54 number and type of plumbing fixtures in the building.
L12 ⫽ (26.27)
V However, the size of the water-supply line is based on max-
1.318(100) 冉冊
1
4
.63
13.10.54
imum probable demand rather than the sum of the maxi-
mum flows of all of the fixtures. It is highly unlikely that
every plumbing fixture would be operating at maximum
⫽ ⫽ 700 ft
6.4 discharge simultaneously. Under this pretense, the demand
is related to the number and type of fixtures, the rates re-
From Equation 13.16, the equivalent length of 12-in.- quired by these fixtures and the probable simultaneous op-
diameter pipe for 500 ft of 10-in.-diameter pipe is eration of the fixtures. The unit of measurement used to
correlate these flow characteristics is the water-supply fix-
冢冉冊冣冉冊
4.87
1.85
ture unit (WSFU) or ‘‘fixture unit.’’
1 100 The fixture unit is a measure of the hydraulic demand
L12 ⫽ 500 ⫽ 1,215 ft (26.28)
10 100 of a fixture. It is the average discharge, during use, of an
12 arbitrarily selected plumbing fixture. It takes into account
the anticipated discharge, the average duration of flow
The total equivalent length of 12-in.-diameter pipe is when the fixture is in use, and the frequency with which
700 ⫹ 1215 ⫽ 1915 ft. the fixture is likely to be used. The WSFU is a factor chosen
so that the load-producing effects of different kinds of
Fixture Unit Method plumbing fixtures, as well as their conditions of service, can
be expressed as multiples of that factor. For example, if a
Occasionally, the project engineer may be required to size
bathtub with a discharge of 7.5 gpm is selected as the ar-
the water service line to a building. This normally occurs
bitrary fixture, a fixture with a discharge of 22 gpm is as-
on commercial or other high rise/high-density projects. For
signed a fixture unit of 3.
the most part, however, the analysis and sizing of the in-
Typical values of fixture units are given in Table 26.14.
ternal distribution system is typically done by mechanical/
By knowing the type and number of water supply fixtures,
plumbing engineers. The size of the water-supply line to
the total WSFU for a building can be determined and then
the building depends on the demand within the building,
converted to flow rates using Figure 26.313.
and this may be related to the number and type of plumb-
After estimating the peak demand, the service line is
ing fixtures in the building, or perhaps the building’s use.
sized using head loss and velocity parameters for the pipe
Since there are several methods available to estimate the
material selected. Consideration is given to the available
demand, the one used depends on the building codes of
pressure in the water main to determine if the pressure is
that jurisdiction.
adequate for the calculated losses through the building.
The simplest method used to estimate demand is one
that relates the demand to the building’s use. For example,
water demand for an office building could be based on the
square feet of floor area or the number of employees, while 3
This curve, frequently referred to as the Hunter curve, was first proposed by Roy
for apartments the demand may be based on the number B. Hunter of the National Bureau of Standards in 1923. Since then is has been
of units in the building. If this type of method is used, the modified based on other research data.

WATER DISTRIBUTION
TABLE 26.14 Demand Load of Fixtures

LOAD VALUES ASSIGNED,
WATER SUPPLY
FIXTURE UNITS
FIXTURE OCCUPANCY TYPE OF SUPPLY CONTROL COLD HOT TOTAL
Water closet Public Flush valve 10 10

.....................................................................................................................
Water closet Public Flush tank 5 5
.....................................................................................................................
Urinal Public 1ⴖ (25.4 mm) flush valve 10 10
.....................................................................................................................
Urinal Public 3
⁄4ⴖ (19 mm) flush valve 5 5
.....................................................................................................................
Urinal Public Flush tank 3 3
.....................................................................................................................
Lavatory Public Faucet 1.5 1.5 2
.....................................................................................................................
Bathtub Public Faucet 3 3 4
.....................................................................................................................
Showerhead Public Mixing valve 3 3 4
.....................................................................................................................
Service sink Offices, etc. Faucet 2.25 2.25 3
.....................................................................................................................
Kitchen sink Hotel, restaurant Faucet 3 3 4
.....................................................................................................................
Drinking fountain Offices, etc. 3
⁄8ⴖ (9.52 mm) valve 0.25 0.25
.....................................................................................................................
Water closet Private Flush valve 6 6
.....................................................................................................................
Water closet Private Flush tank 3 3
.....................................................................................................................
Lavatory Private Faucet 0.75 0.75 1
.....................................................................................................................
Bathtub Private Faucet 1.5 1.5 2
.....................................................................................................................
Shower stall Private Mixing valve 1.5 1.5 2
.....................................................................................................................
Kitchen sink Private Faucet 1.5 1.5 2
.....................................................................................................................
Laundry trays (1 to 3) Private Faucet 2.25 2.25 3
.....................................................................................................................
Combination fixture Private Faucet 2.25 2.25 3
.....................................................................................................................
Dishwashing machine Private Automatic 1 1
.....................................................................................................................
Laundry machine [8 lb (3.6 kg)] Private Automatic 1.5 1.5 2
.....................................................................................................................
Laundry machine [8 lb (3.6 kg)] Public or general Automatic 2.25 2.25 3
.....................................................................................................................
Laundry machine [16 lb (7.3 kg)] Public or general Automatic 3 3 4
Note: For fixtures not listed, loads should be assumed by comparing the fixture with one listed using water in similar quantities and at similar rates. The assigned
loads for fixtures with both hot and cold water supplies are given for separate hot and cold water loads and for total load, the separate hot and cold water loads
being three-fourths of the total load for the fixture in each case.
From Nielson, L., 1981. Standard Plumbing Engineerings Design, 2nd Ed. New York: McGraw-Hill.
Booster pumps may be required when pressures are inad- room and a kitchen with a dishwasher. There are four
equate at the upper level floors. (16-lb) laundry machines in the basement. The ele-
vation of the 8-in water main located in the street is
E X A M P L E 2 : Size the water-supply line for a 165.5 ft. The water meter, where the service line con-
three-story apartment building having five apartment nects to the building, is 160 ft away from the water
units on each level. Each apartment has one bath- main and is at elevation 175.5 ft. The service line has
WATER DISTRIBUTION
two 90⬚ elbows and one angle valve. Minimum pres- that must be considered. Many methods used for analysis
sure in the water main is 45 psi. are iterative processes that incrementally adjust the flows or
head losses until convergence. Several iterative techniques
S OLUTION : include the linear theory method, the Newton-Raphson
1. Tabulate the fixture units. Using Table 26.14 to get method, and the ever popular Hardy-Cross method. One
the total fixture units (see Table 26.15) of the most widely used and accepted computer models,
KYPIPE, is based on the linear theory method.
2. Using Figure 26.37, the total demand for 151 The simplicity of the Hardy-Cross method, a form of the
(WSFU) is 60 gpm. Newton-Raphson method, lends itself to hand calculations.
3. Using Figure 26.38, the demand discharge of 60 Although the personal computer has made laborious hand
gpm and a design velocity of 6 fps indicates that a 2- calculations nearly obsolete, an understanding of even the
in. pipe is required. Note that the corresponding pres- simplest method helps in assessing the validity of the final
sure drop (i.e., head loss) is 2.8 psi per 100 ft. values of the analysis. The Hardy-Cross method uses an
equation of the form
4. Convert the elbows and angle valve to equivalent
lengths of pipe. From Figure 26.36, the angle valve is hf ⫽ KQ n (26.30)
28 ft of 2-in pipe and an elbow is 5 ft of 2-in. pipe.
where hf is the friction head loss in a section of pipe, K is
5. The pressure at the inlet side of the water meter is a constant, and Q is the discharge.
the minimum pressure in the water main less the The value of the exponent n depends on the governing
losses in the valves and piping and the elevation differ- equation selected for solving the problem. As an example,
ence (i.e., static lift) between the water main and the the Hazen-Williams equation (Equation 26.20) can be writ-
outlet connection, or ten as
冉冊冉冊
Pressure @ water meter
D 0.63
␲D 2
⫽ 45 psi Q ⫽ 1.318C S 0.54 (26.31)
冋册
4 4
2.8 psi
⫺ (160 ⫹ 28 ⫹ 2(5)) ⫺ (174.5 ⫺ 164.5) For a given pipe of known material and diameter flowing
100 ft
full, the equation simplifies to
⫽ 29.5 psi
(26.29) Q ⫽ KS 0.54 (26.32)
Hardy-Cross where the constant K incorporates the coefficient 1.318, the

Analysis of a water-distribution system can be extremely diameter, the C-factor, p, and other constants.
complex due to the varying pipe sizes, pump-storage facil- Substituting for S, the equation is
ities, fluctuations in demand, and fire flow requirements
hf ⫽ KQ 1.85 (26.33)
There are two main underlying assumptions in the

T A B L E 2 6 . 1 5 Fixture Unit Count for Hardy-Cross method. The first is that continuity must be
preserved (the total flow into a junction equals the total
Example Problem
flow exiting the junction). The second is that pressure at
TOTAL any junction is single-valued (the summation of the head
FIXTURE UNITS WSFU TOTAL WSFU loss around a loop is zero).
With reference to Figure 26.39, if continuity is pre-
Kitchen sink 15 2 30 served, the flow at point B is equal to the flow at point C.
..................................................... For the pressure at point C to be single-valued, the head
loss in the upper loop must equal the head loss in the lower
Dishwasher 15 1 15
..................................................... loop. In all likelihood the pipe lengths and diameters and
Lavatory (sink) 15 1 15 possibly even the pipe material in each loop are different.
..................................................... The discharge will divide at point B in such a way that the
Water closet head loss through the two sections of loop is equal. As a
(flush tank) 15 3 45 result, if a clockwise direction of flow is assumed to be
.....................................................
positive, the summation of the head loss from BCup around
Bathtub 15 2 30 CBlow will be zero.
.....................................................
Laundry machine 4 4 16 The solution is determined through a series of iterations,
with each iteration producing a loop correction factor. Some
Total ⫽ 151
value of flow for Qup and Qlow is assumed. For these as-

WATER DISTRIBUTION
F IGURE 26.36 Nomograph for conversion of fixture losses to equivalent pipe lengths.

WATER DISTRIBUTION
F IGURE 26.37 Curves for estimating demand load.
sumed flows, if hf(BC-up) is greater than hf(BC-low), then the 䡲 Pipe system identifying pipe sizes
discharge in the upper loop must be reduced and the dis-
䡲 Lengths and materials
charge in the lower loop must be increased. That is,
Q⬘up ⫽ Qup ⫹ ⌬Q and Q⬘low ⫽ Qlow⫺ ⌬Q, where ⌬Q is the 䡲 Identify all location of flows entering and leaving
loop correction factor. Eventually the discharges in each the system
loop are adjusted, such that the summation of the head loss 䡲 Assume a sign convention for direction of flow.
around the loop converges to zero. The flow correction fac-
tor for the loop is In the initial assumption of pipe flows, it is imperative for
the sum of the flows at any junction to be zero. Using these
hf(BD-up) ⫺ hf(BC-low) initial conditions, the head loss for each pipe is computed
冉冊
⌬Q ⫽ (26.34) as
hf(BC-up) hf(BC-low)
冉冘 (H ) 冊 ⫻ 冘冉冏(HQ ) 冏冊
1.85 ⫹ n n
Qup Qlow
⌬Q ⫽ ⫺ ü i
ü i (26.35)
i⫽1 i⫽ 1 i
For a more complex multi-loop problem, the initial task
is to set up the following parameters: where (Hf )i represents the head loss in the i-th pipe of the
WATER DISTRIBUTION
F IGURE 26.38 Chart for determination of flow in pipes (GPM versus velocity versus pressure drop).
loop and Qi is the discharge in that pipe, which was used Tables 26.17 and 26.18 show how loop flows are ad-
to calculate Hf. justed by a ⌬Q correction. Note how the adjustments are
The sign convention applies to the Hf term—all flows in determined for pipes common to more than one loop. For
the negative direction will have negative Hf terms. example, pipe 4 is common to loops one and two. In loop
Figure 26.40 shows a simple three-loop system with pipe 1, the first iteration ⌬Q is ⫹0.082, while the ⌬Q for loop
information and assumed flows. Table 26.16 summarizes 2 is 0.113. The new flow in pipe 4 is then 0.20 ⫹ 0.82 ⫺
the information shown on Figure 26.40. Note the algebraic 0.113 ⫽ 0.17 cfs. The initial flow of 0.2 is adjusted si-
sign attached to the discharge: negative if the flow is coun-
terclockwise; positive for clockwise direction. At each junc-
tion the 兺Q ⫽ 0. In most systems there are valves, pumps,
storage tanks, and other components that affect the cal-
culations. Additionally, systems are analyzed for maximum
fire flow demands at several locations to ensure adequate
pressures everywhere. This simple system serves only to
illustrate the fundamental procedure for Hardy-Cross cal-
culations.
F IGURE 26.39 Simple loop for Hardy-Cross solution. F IGURE 26.40 Schematic diagram for Hardy-Cross example.
WATER DISTRIBUTION
multaneously by the correction of the first loop and the

T A B L E 2 6 . 1 6 Initial Assumptions for
negative of the correction of the second loop. The iterative
Flows and Directions process continues until the sum of the absolute values of
INPUT VALUES the ⌬Qs is less than a prescribed minimum tolerance. The
acceptable tolerance depends on the precision of the known
LOOP PIPE DIAM. LENGTH Q values and the degree of accuracy required.
NO. NO. (in.) (ft) (cfs)
1 1 16 6500 ⫺2.00 DISTRIBUTION SYSTEM CONSTRUCTION PLANS

2 16 4000 ⫺2.00 Preliminary Layout and System Modeling
3 16 6000 2.00 Water-line analysis and design are done using computers
4 8 4500 .20 and commercial software, such as KYPIPE, CYBERNET,
.....................................................
WaterCAD and others. To model the system accurately, pipe
2 4 8 4500 ⫺.20
geometry, system demand, flow, and pressure data for the
5 12 4000 .80 existing water services, at the points where the proposed
6 12 3000 .80 water line connects to the existing water line, are needed.
7 10 5000 ⫺.80 Pressure and flows, at these connection points, serve as the
.....................................................
boundary conditions for the proposed water line. Addition-
3 7 10 5000 .80 ally, data may be needed on storage tank capacities, water-
8 12 4000 ⫺1.40 surface elevations in the storage tank at the time of the flow
9 10 4000 .60 tests, as well as pumping station and well pump curves.
10 10 5000 .60 If the data is not available directly from the utility com-
pany, flow tests will have to be conducted at nearby hy-
drants to obtain static and residual pressures for several
different flow conditions. If the municipality or water utility
company has the computational abilities and resources,
they may dictate the location and size of the water-supply
TABLE 26.17 First Iteration Values

LOOP PIPE DIAMETER LENGTH Q Qⴕ
NO. NO. (in.) (ft) (cfs) HL 1.85*HL /Q (cfs)
1 1 16 6500 ⫺5.47
⫺2.00 5.06 ⫺1.92
2 16 4000 ⫺3.37
⫺2.00 3.11 ⫺1.92
3 16 6000 ⫺2.00
5.05 4.67 2.08
4 8 4500 1.56
.20 14.43 .17
⫺2.23 27.27
⌬Q ⫽ ⫺(⫺2.23/27.27) ⫽ .082
.....................................................................................................................
2 4 8 4500 ⫺.20 ⫺1.56 14.43 ⫺.17
5 12 4000 .80 2.51 5.80 .91
6 12 3000 .80 1.88 4.34 .91
7 10 5000 ⫺.80 ⫺7.61 17.60 ⫺.52
⫺4.78 42.17
⌬Q ⫽ ⫺(⫺4.78/42.17) ⫽ 0.113
.....................................................................................................................
3 7 10 5000 .80 7.61 17.60 .52
8 12 4000 ⫺1.40 ⫺7.06 9.33 ⫺1.57
9 10 4000 .60 3.57 11.00 .43
10 10 5000 .60 4.47 51.71 .43
8.59 51.73
⌬Q ⫽ ⫺(8.59/51.73) ⫽ ⫺0.166

WATER DISTRIBUTION
TABLE 26.18 Second Iteration Values

LOOP PIPE DIAMETER LENGTH Q Qⴕ
NO. NO. (in.) (ft) (cfs) HL 1.85*HL /Q (cfs)
1 1 16 6500 ⫺1.92 ⫺5.07 4.89 ⫺1.85

2 16 4000 ⫺1.92 ⫺3.12 3.01 ⫺1.85
3 16 6000 2.08 5.44 4.84 2.15
4 8 4500 .17 1.13 12.30 .26
⫺1.62 25.04
⌬Q ⫽ ⫺(⫺1.62/25.04) ⫽ 0.064
.....................................................................................................................
2 4 8 4500 ⫺.17 ⫺1.13 12.30 ⫺.26
5 12 4000 .91 3.20 6.51 .88
6 12 3000 .91 2.40 4.88 .88
7 10 5000 ⫺.52 ⫺3.43 12.20 ⫺.57
⫺1.04 35.89
⌬Q ⫽ ⫺(1.04/35.89) ⫽ 0.029
.....................................................................................................................
3 7 10 5000 .52 3.43 12.20 .57
8 12 4000 ⫺1.57 ⫺8.68 10.23 ⫺1.55
9 10 4000 .43 1.96 8.43 .45
10 10 5000 .43 2.45 10.54 .45
⫺0.84 41.40
⌬Q ⫽ ⫺(⫺.84/41.40) ⫽ ⫺0.20
system components. Some larger utilities now use system 䡲 The minimum residual system pressure during the
modeling software that is integrated with a geographic in- peak hour demand on the maximum day is typically
formation system (GIS) for the management of their water required to be 30 psi or greater. Additionally, the pres-
infrastructure. For small systems, the consulting engineer sure in the water main should be greater than 20 psi
will normally do the hydraulic analysis and design of the during the maximum daily demand plus fire flow.
additional distribution system needed for the new devel-
The preceding considerations are only guidelines for de-
opment project.
signing the water distribution system. The regulating au-
The following criteria are considered when designing the
thorities should be consulted for specific line pressures,
water-supply system:
demand flows and other design criteria.
䡲 In most cases the flows in the water-distribution After estimating the demand and determining the peak-
system are designed to supply the amount of water ing factors, layout the pipe network, including fire hy-
needed to meet the maximum daily potable demand drants, valves, tees, and crosses on a plan view of the
plus fire flows, or the peak hour flow, whichever is project. The layout also should include any stubouts needed
greater (the AWWA defines the maximum daily de- to provide water service to future developments. In laying
mand as the maximum amount of water used during out the waterline, the engineer follows the local criteria for
one 24-hr period occurring during the latest 3-yr pe- setting the waterline in public right-of-ways based on the
riod). number of dwelling units being served, the engineer esti-
mates the pipe size and labels them on the plan view. In
䡲 The minimum residual pressure in the system at most moderately-sized developments, pipe diameters typi-
the average daily demand should be around 40 to 50 cally range from 6 in. on short cul-de-sacs streets to 12 in.
psi. According to the AWWA, the average daily de- for the main feeder line. Typically, the size requirement re-
mand is the average amount of water used each day sults from fire flow demand and not because of the do-
during a 1-yr period for the entire system. If the water mestic demand. In all likelihood, the size of the distribution
pressure in the main is 60 psi or greater, the engineer lines through the proposed development will have similar
should consider incorporating pressure-reducing valves sizes as the existing lines in surrounding similar develop-
on the domestic service lines. ments.

WATER DISTRIBUTION
F IGURE 26.41 Plan and profile view of a typical waterline.

WATER DISTRIBUTION
Input this data into the model and examine the output (e.g., wet-tap with tapping sleeve and valve). Although the
for high velocities, excessive head losses, and unacceptable water utility company probably has records to show where
pressures. Adjust the pipe sizes to meet demand and local the existing line should be, test holes are dug to find the
standards criteria. When the model analysis is complete, exact location. In many instances, where the water line is
finish the plan and profile of the waterline for the construc- terminated from a prior development, a blow-off valve is
tion drawings. set to easily connect a future water line (see Figure 30.41).
REFERENCES
The Water Main Plan and Profile American Water Works Association, Design and Construction of
The plan and profile of the water line identifies the size and Small Water Systems, American Water Works Association, Denver,
type of pipe and the location of the fittings. To the con- Colo., 1999.
tractor, it shows the material needed, the volume of exca- American Water Works Association, Water Distribution Operator
vating and potential construction problems. To the review Training Handbook, American Water Works Association, Denver,
agencies, the plan and profile shows that the waterline is Colo., 1976.
in conformance with the applicable building and health Ductile Iron Pipe Research Association, Thrust Restraint Design
codes. for Ductile Iron Pipe, Ductile Iron Pipe Research Association, Bir-
The water-line location is accurately drawn on the plans mingham, Al., 1984.
as per local criteria. For stakeout and construction pur- Engineers Automatic Valve Reference, Golden Anderson Industries
poses, the location of a water line is identified by stationing. Inc., Pittsburgh, Pa.
Since most waterlines in a development project are located Fire Suppression Rating Schedule, Insurance Services Office, New
in the street and typically run near parallel with the cen- York, 1980.
terline, the street stationing can be used for stationing the Grading Schedule for Municipal Fire Protection, Insurance Service
water line. When the course of a water line cannot be tied Office, New York, 1974.
to the street, an arbitrary stationing system on the water Great Lakes Upper Mississippi River Board of State Public Health
line itself serves the same purpose. Although stationing of and Environmental Managers, Recommended Standards for Water
Works, Health Education Services, Albany, N.Y., 1992.
the pipe system is done as a matter of convenience and
Guide For Determination of Required Fire Flow, Insurance Services
should reasonably reflect the length of the pipe used, it does
Office, New York, 1974.
not need to start with 0⫹00. In the figures showing the
Lehr, Jay, et. al., Design and Construction of Water Wells, Van Nos-
plan and profile of a typical water line, the water-line sta-
trand Reinhold, New York, 1988.
tioning coincides with the street stationing.
Merrick, Ronald, C., Valve Selection and Specification Guide, Van
Although some localities allow pipes to be laid with Nostrand Reinhold, New York, 1991.
curves, other localities require that pipe direction changes
National Association of Home Builders Research Foundation,
be made with elbow fittings. On commercial sites, the de- Water Distribution Systems Land Development Standards, National
signer needs to know where the fire hose connections at Association of Home Builders Research Foundation, Rockville,
the building are located. In addition, some locales have Md., 1974.
minimum spacing for fire hydrants in commercial areas. National Fire Protection Association, National Fire Codes Vol. 10;
Both of these items affect the placement of the hydrants. In Recommended Practice for Fire Flow Testing and Marking of Hy-
residential areas, placement of fire hydrants may be based drants, National Fire Protection Association, Quincy, Mass.,
on minimum spacing or based on the area of coverage for 1988.
the required fire flow. The engineer should ensure that the National Plumbing Code, Building Officials and Construction Ad-
location of the hydrants shown on the worksheet complies ministrators, National Plumbing Code, Country Club Hills, Il.,
with appropriate design criteria. After the water-line loca- 1990.
tion and stationing are established in the plan view, the Nielsen, Louis S., P.E., Standard Plumbing Engineering Design, 2nd
water-line profile is drawn using the same stationing sys- ed., McGraw-Hill, New York, 1982.
tem. In the profile view, pipe characteristics (e.g., diameter, Ponce, Victor Miguel, Engineering Hydrology, Prentice Hall, Engle-
wood Cliffs, N.J., 1989.
material, bearing strength, etc.) are labeled. The profile view
identifies the station of fitting, hydrants, and other pertinent U.S. Department of the Interior, USGS, Estimated Use of Water in
the United States in 1985, Circular 1004, U.S. Government Print-
components. The profiled water line shows how it will
ing Office, Washington, D.C., 1985.
weave around other utilities. As discussed previously, spe-
U.S. Environmental Protection Agency, Cross-Connection Control
cial construction techniques may be necessary when the
Manual, U.S. Government Printing Office, Washington, D.C.,
waterline is placed either near a sanitary sewer or at less 1973.
than minimum depth. The engineer should ensure that all Viessman, Warren, Jr., and Mark J. Hammer, Water Supply and
utility crossings are shown in the profile view and that min- Pollution Control, 4th ed., Harper & Row, Cambridge, Mass.,
imum clearance (as per applicable standards) is maintained. 1985.
At the point where the proposed water line connects to Virginia Department of Health, Waterworks Regulations, Common-
the existing water main, the plans should identify the wealth of Virginia, Bureau of Water Supply, Department of
method for location of existing line and type of connection Health, Richmond, Va., 1982.
WATER DISTRIBUTION

CHAPTER 27
WASTEWATER TREATMENT
Ernest Jennelle, Ph.D., P.E.
ON-SITE SYSTEMS million new homes are being added to this number each
General year. It has been estimated that about one third of the land
area in the United States is suitable for on-site systems em-
The most desirable means of managing the sewage flow
ploying absorption fields.
from a home or community is through a central system
Pressure for development often occurs for land areas that
where the sewage is conveyed to a community sewage treat-
are not the most suitable for absorption systems. Land avail-
ment plant for treatment and disposal. However, many
ability, together with higher land costs, means that lot size
homes will not be located where a central system is avail- continues to decrease, placing greater restrictions on avail-
able. Also, when the lot size becomes greater than about 3⁄4 able areas for on-site absorption fields. Denser housing, en-
acre, the per-unit cost of installing a collecting sewer system vironmental awareness about ground and surface-water
may become prohibitive, limiting options for wastewater pollution and a better understanding of design require-
management to on-site systems. Until very recently, either ments have caused, and will continue to cause, public
a cesspool or a septic tank/drain field system were the only health officials to impose additional conditions on the de-
satisfactory on-site alternatives available to the design en- sign and placement of absorption fields.
gineer or homeowner. The regulations for on-site drain The high failure rate for older on-site systems that were
fields, which have become more rigorous in recent years, located in unsuitable soil has contributed to a low opinion
now clearly define the types of soils and the depths to the of the technology by some perspective homeowners. Septic
water table that are satisfactory for the design and place- tank failures occur because of poor design, construction
ment of septic tank drain fields. Thus, local soil conditions and maintenance. A properly designed, constructed, and
may make many locations unsuitable for this method of maintained system offers an affordable, reliable and envi-
wastewater management. In instances where the soil is ronmentally sound means of providing on-site wastewater
found to be unsuitable or the water table is too high for a management. The absence of central sewerage need not al-
septic tank/drain field system, the design engineer has ways reduce the potential of a proposed site for develop-
other options available that may make it possible to locate ment.
a reliable on-site system on a lot. Design procedures for The performance of an on-site system depends on sev-
several alternative systems are presented in this chapter. eral local geographic and geologic conditions, including the
The need to install an on-site wastewater management average annual temperature, the depth to ground water, the
system need not detract from the potential to develop a distance to bedrock, the type and degree of weathering of
particular site. An on-site facility may mean a larger lot size the bedrock, the type and depth of soil and the annual
and other considerations related to the site plan. However, rainfall. The material presented herein is only a guide to
many homes and businesses have been satisfactorily served sound design practice. This is a field of rapidly developing
by on-site systems for many years. More than 25% of the technology. The alternatives included herein represent the
homes in the U.S. rely on on-site systems and about 0.5 principal technologies in use. The engineer should have a
705
broad knowledge of the acceptable alternatives for the local

TABLE 27.1 Septic Tank Volumes
geographic and political area. The ‘‘Small Flow Clearing-
house’’ (see Table 27.7) is a source of current data covering NUMBER OF BEDROOMS VOLUME (gal)
new technology.
Regulations for on-site systems are controlled at the state 1–2 750–1000
.....................................................
and local government level and may vary significantly be-
3 750–1000
tween two adjacent political boundaries. A builder or de- .....................................................
veloper should have an engineer conduct an investigation 4 1000–2000
to determine what on-site technology is appropriate for the
.....................................................
specific land area before proceeding with plans leading to 5 1200–2000
.....................................................
construction. The selected alternative may affect the devel- Each additional bedroom 150–250
opment plan in the placement of lots, building locations,
or the size of the lots.
Septic Tank industrial or commercial flows or for serving a cluster

of homes. The volume of the septic tank for this type
The septic tank and associated absorption field has been
service should be at least one and a half times the av-
the most widely used on-site wastewater management sys-
erage daily flow. A utility or an equivalent organization
tem in the United States for many years. A septic tank is a
should maintain tanks serving more than one home.
buried, water-tight receptacle designed to receive waste-
water flow. The tank has no moving parts but is sized and 䡲 The inlet and outlet should be designed to still the
constructed to remove and retain the settleable and floata- incoming flow velocity, trap the scum layer and mini-
ble material in the incoming flow. The solids removed in mize scour of the accumulated sludge into the effluent.
the septic tank are mostly organic matter that will consol- Some suppliers of precast tanks may provide tanks
idate and partly decompose. While the effluent is largely having baffles placed to the proper depth across the
devoid of settleable and floating solids, it is septic, carries tank at both the inlet and outlet ends of the tank.
a significant amount of suspended and dissolved organics Most tanks are supplied without baffles with the in-
and requires further treatment. Septic tanks for single- stalling plumber using cast iron or PVC tees to provide
family homes are generally purchased from a local precast the required venting of gases and trapping of solids
concrete firm that will deliver and set the tank on a pre- and scum. Figure 27.1 shows the design of a typical
pared base. The design provided will normally comply with tank outlet.
state and local codes. Precast tanks are preferred because
䡲 The outlet tee is normally 4 in. in diameter, but
they are normally well constructed and watertight. In areas
the vertical stem of the tee may be increased to 6 in.
where precast tanks are not available, concrete or masonry
to reduce effluent rising velocity and thus reduce the
tanks are constructed in place. Metal tanks that have been
potential for solids to be scoured into the effluent. The
properly coated to retard corrosion are also generally ac-
tee should project 12% of the liquid depth above and
ceptable. Plastic and fiberglass tanks are also available and
24% of the liquid depth below the liquid level. Some
offer long service life.
local jurisdictions recommend that these projections be
Design. The design of a septic tank should provide, as a
increased 50% for tanks serving homes having garbage
minimum, the following:
grinders. It is also recommended that the septic tank
䡲 24-hr flow retention plus maximum sludge and volume be increased 250 gallons where a garbage
scum storage volume. This size has normally been grinder is installed on the system. The normal liquid
based on the number of bedrooms to be served. While
the normal per person contribution of wastewater flow
is about 45 gpd, this is generally adjusted to 75 gpd as
a safety factor. It is further assumed in the design pro-
cess that there are two people per bedroom in a dwell-
ing. Thus, the daily design flow for a two-bedroom
dwelling is 300 gpd. When allowance is made for
sludge and scum storage, a 750-gallon tank is needed
for a two-bedroom home. The Uniform Plumbing
Code recommends the tank volumes shown in Table
27.1. The recommended volumes shown in Table 27.1
are equal to or greater than required under the regula-
tions of the Federal Housing Authority and the U.S.
Public Health Service. Larger tanks may be needed for F IGURE 27.1 Septic tank outlet design. (U.S. EPA 1979)

27 䡲 WASTEWATER TREATMENT 707
depth in a tank is about 4 ft, with a 1-ft clear space 䡲 Have a qualified septage-hauling firm check the
above the liquid. tank for solids level every 2 years until evidence shows
Septic tank systems serving sources other than do- that a less frequent schedule is satisfactory. Check with
mestic homes may require some type of pretreatment the local health official for a list of qualified firms.
of the flow ahead of the tank. Flow from a restaurant Qualified firms are licensed by most localities.
should always pass through a grease trap ahead of the
䡲 If possible, pump the tank in late spring to allow
tank. Flow from some industrial establishments may
stabilization to start during the warmer summer
require grit removal and/or screening ahead of the
months. Some officials recommend that a small
tank.
amount of solids be left in the tank to seed and buffer
䡲 Sufficient sludge storage. The accumulation of the new sludge. The tank should not be washed when
sludge depends primarily on temperature. If the influ- it is cleaned. All that is needed is to pump the con-
ent to the tank has been screened to eliminate inert tents.
material, the organic solids should decompose into wa-
ter and gases. In warm climates, where the tank con- 䡲 There is no evidence that adding special seed or
tents are warm throughout the year, considerable concoctions will help the performance of a septic tank.
decomposition will occur, with a corresponding de- However, some of the grease-decomposing cultures
crease in solids accumulation. However, very little de- have been shown to be effective in other locations in
composition will occur at locations where the sewer systems and may be effective in reducing a prob-
temperature of the tank’s contents drops during the lem with grease buildup in septic tank scum. The use
winter months. Normally, a septic tank should be of additives is not a substitute to the recommended
checked every 2 years and should be cleaned when the periodic inspections.
sludge accumulation reaches to within 8 in. of the bot-
Figure 27.2 shows a typical two-compartment tank in
tom of the outlet pipe. After accumulating a few years
both plan and elevation. Most tanks have a single com-
of record, the frequency of checking can be adjusted to
the specific need. It is important to clean the tank be-
fore the sludge level reaches the outlet pipe entrance
to prevent washout of solids from the tank. A manhole
is located at both ends of the tank for inspection and
cleaning.
䡲 Venting. The tank should be constructed to permit
venting back through the influent piping and house
plumbing to the roof vent.
Placement Considerations
䡲 Locate tank in an area where vehicles will not cross

or park on top of the tank.
䡲 The tank should be placed such that the top is
about 6 in. below grade to discourage entry by unau-
thorized persons and yet not be so deep as to present
a problem at inspection and cleaning time.
䡲 The tank should be located to allow gravity flow
from the source into the tank if possible. At locations
where this is not possible, a duplex grinder pump is
used to lift the flow from the building sewer to the
septic tank.
䡲 Trees should not be planted near the tank because
of the potential for root damage. Fast growing trees
such as elms and willow have the greatest root mass.
Operation and Maintenance Requirements
䡲 A properly installed and maintained septic tank F IGURE 27.2 Typical two-compartment septic tanks. (U.S. EPA
should last for many years. 1979)

partment. The single and two compartment tanks are alike ing. Larger systems may incorporate pumps or dosing de-
except for the intermediate baffle wall. vices to insure intermittent application. System efficiency is
improved by incorporation of a holding tank and pump
Disposal Methods into the system to provide for filling the absorption field
General. The septic tank, if properly designed and main- distribution piping with each pump cycle. This may mean
tained, removes the settleable and floatable material from that the absorption field is dosed less than once per 24-hr
the wastewater flow. Much of the material initially removed period. However, special dosing facilities are not normally
by settling from the flow and the non-settleable organics provided except where they are needed because of poor soil
are carried from the tank in the effluent as either dissolved conditions.
or finely divided solids. The tank effluent is septic, high in Figure 27.3 shows a section of a typical absorption
solids and reduced chemical forms such as ammonia and trench. Care should be exercised during the digging of the
sulfides. The biochemical oxygen demand of the effluent trench to insure that the bottom is maintained on a constant
will vary greatly in strength diurnally, weekly and season- grade with no depressions, as this will cause septic tank
ally. An average value of the strength is a biochemical ox- effluent to accumulate at the low points. It is important that
ygen demand of approximately 150 mg/l. The flow from a the flow be distributed as evenly as possible along the entire
septic tank will always require further treatment as a part length of the trench. The trench bottom should be sloped
of the disposal process. about 3 in. per 100 ft. The bottom and sides of the trench
Suitable technology is available for safely treating and should be scarified with a rake or similar tool to break the
disposing of septic tank effluent on land, beneath the land smooth compacted surface formed by the excavating
surface, into surface waters, and into the atmosphere. The bucket. The trench is then filled with about 6 in. of clean
most common methods of treatment and disposal for septic durable gravel. A 4-in. perforated plastic pipe is placed on
tank effluents, such as from single-family homes, small clus- the gravel surface after the gravel has been raked to the
ters of homes, or flows from industrial of commercial same uniform slope as the trench. This slope (0.25%) of
establishments are subsurface soil absorption systems, the pipe should provide good distribution of incoming flow,
evaporation systems, intermittent dosed slow sand filters, but not be so steep that all the flow will run to the low end
and aerobic treatment with or without filtration. Effluents before leaving the pipe. The pipe is then covered with ad-
from filtration and aerobic systems are discharged to surface ditional clean gravel. A plastic sheet is placed on top of the
waters. The selection of the most suitable method for a gravel to prevent soil from infiltrating into the gravel voids
particular application will usually be straightforward. and the remainder of the trench is then backfilled with
Subsurface soil absorption systems are the most widely native soil. The trenches are normally less than 5 ft deep,
used and represent the most economical and reliable but should be deep enough to provide at least one foot of
method if soil conditions are suitable. The individual hom- soil cover over the gravel.
eowner is not prepared to maintain a system that requires When septic tank effluent is distributed to the soil ab-
daily or even monthly attention. The soil absorption system, sorption trench, a biological film develops in the rock fill
if properly designed and protected from major hazards such and on the trench wall. The biological film on the soil
as tree roots and heavy surface loads such as vehicle traffic, trench interface becomes semi-clogging. It is important that
should operate for many years with little maintenance re- the surface area of the gravel be sufficient such that this
quired. Any wastewater treatment system that requires spe- film does not become so massive as to block percolation
cial maintenance and land use will detract from the value into the soil. If the percolation through this film or mat
of the land as a building site and will make the completed becomes less than the application rate to the trench, the
dwelling less marketable. The following sections present de- system will fail. Some state and local authorities may re-
sign information for the most common types of on-site quire that two absorption fields be provided and that a dis-
treatment and disposal methods. tribution box be installed to permit seasonal or annual
Subsurface Soil Absorption. As noted above, where soil rotation between the two fields. This technique provides a
conditions are suitable, subsurface soil absorption is the de- rest period for the system, allowing the growth on the stone
sired method of septic tank effluent treatment and disposal. and the soil interface to decompose, returning the trench
This method is simple, reliable, requires little attention and to essentially a new condition.
has the least cost of installation. This method involves dis- Soil acts as a filter, exchanger, an absorber, and provides
tributing the flow through a subsurface system where it is a surface area for biological growth. The interface mat and
absorbed and treated as it percolates through the soil. It is retention time in the soil provides for entrapment and die-
important that the flow be applied at an intermittent dosing off of pathogens. Ammonia nitrogen and phosphorus are
rate such that the soil drains to an unsaturated condition adsorbed onto the soil particles. Organic matter is adsorbed
between applications. The normal rate of water use in the and decomposed by the biological growth in the trench,
home, such as the flushing of a lavatory or shower, and and this, together with the filtering action of the mat and
with little water draining to the septic tank between such the soil between the trench and the ground water table,
uses in the home, automatically gives the intermittent dos- produces a treated effluent that does not pollute the ground

F IGURE 27.3 Typical soil-absorption trench. (U.S. EPA 1979)
water. A minimum of 2 ft and preferably 4 ft of soil should Significant information is available on soils for most lo-
exist between the trench bottom and the water table. It is cations. The U.S. Department of Agriculture, Soil Conser-
important that the soil strata between the trench bottom vation Service (SCS) Soil Survey Maps are thought to be
and the water table not be saturated, as this will reduce available for all areas of the country. These maps are usually
adsorption and cause channeling, resulting in poor treat- compiled and issued for a local governmental jurisdiction
ment. Very porous soil such as coarse sand will not give such as a county. They are also available from the local SCS
proper treatment, as the flow will move rapidly to the water office. Furthermore, the Agriculture Extension Service
table without receiving proper treatment. maintains local and state offices and is a local source of soil
Soil is primarily composed of mineral matter, resulting information. Soil survey maps include aerial photographs,
from the weathering or decomposition of rock. Residual soil classification, interpretative data on potential uses and
soils are those found directly above the bedrock source. a description of each soil series. These maps are compiled
Many soil deposits have been transported from distant lo- at small scale, and while very useful, a site-specific soil sur-
cations, primarily by water (alluvial deposits). Soil may convey will likely be needed to complete an evaluation of a
tain refractory, or relative stable organic matter called site.
humus, which changes the physical and chemical charac- An experienced individual is required to conduct a field
teristics of the soil. Soil containing this mixture of refractory soil survey and prepare a report. The first step in conduct-
and stable organic matter is called topsoil. It is normal to ing a site-specific soil survey is an investigation on the op-
find a wide variation in soil types at any location. Most eration of other absorption fields in the area. This
open cuts will show more than one soil type. The soil pro- information is normally available from the local agency hav-
file in a highway cut may show several soil types or hori- ing permitting responsibility for septic tank systems. This
zons. agency can also provide information on soils in the area
The type and condition of the soil, percolation rate and and their general suitability for soil absorption fields. The
depth to bedrock or water table are important parameters next step is the collection of field soil types and conditions.
in the location and design of an absorption field. If the soil Field soil data can best be obtained by using a backhoe to
percolation rate is inadequate, the trench will become sat- dig a short length of trench to sufficient depth to expose
urated and the system will fail. If the flow does not per- the soil profile 4 to 6 ft below the proposed elevation of
colate through a sufficient depth of unsaturated soil, the absorption trench. The exposed soil profile allows the
adequate treatment will not be provided, resulting in investigator to determine the soil texture (the relative frac-
groundwater pollution. tions of the various sizes of soil particles), soil structure (the

aggregation of soil particles into clusters), soil color (a good

indication of drainage characteristics-standard color charts
are available), soil mottling (also described by the color,
streaks or areas of darker color), soil profile, and the pres-
ence of seasonally saturated soils. Seasonal saturation can
be identified during the wet season or generally by the color
or mottling of the soil. Additional information on mottling
can be found within the Soils chapter of this text.
If the soil survey shows an area suitable for a soil ab-
sorption treatment and disposal system, a percolation test
is conducted. While a percolation test is subject to wide
variability and often poor reproducibility, it remains the
principal means of determining the hydraulic conductivity
for an area and thus the basis of the absorption field design.
A percolation test is conducted by boring three or more
test holes, 6 in. in diameter, to the depth of the proposed
absorption trench. The borings are located so as to cover
the entire area of the proposed absorption field. If the soil
profile varies significantly in the test holes, additional holes
may be needed. Figure 27.4 shows a typical percolation test
setup. After the hole is bored, the sides are scarified to
eliminate the smeared compacted surface left by the auger.
Two inches of gravel are placed in the bottom of the hole
to prevent scour and the hole is then filled with 12 in. of
clean water. This water depth is then maintained for at least
4 hr to soak the soil around the hole. The water level is
then adjusted to a 6-in. depth over the gravel and the rate
of fall in the surface is observed at a suitable interval, usu-
ally 30 min, but this will depend on the percolation rate of
the soil. Water is added, as needed, to maintain the 6-in.
depth, and measurements of the surface fall rate are re-
corded until the rate of fall becomes constant for at least
three successive observations. The percolation rate is de-
scribed as the time in minutes required for the water surface
to fall 1 in.
The length of required absorption trench is established
by the percolation rate, with the application rate being
based on the area of trench bottom. Table 27.2 gives some
recommended application rates for the indicated ranges of
percolation rate. The maximum length of a trench is usually
100 ft because of the inability to distribute the flow over
greater lengths. A minimum of two trenches and 200 ft of
trench length should be provided for a system. For exam- F IGURE 27.4 Typical percolation test setup. (U.S. EPA 1979)
ple, a four-bedroom house is assumed for design purposes
to produce 150 gpd/bedroom or a total flow of 600 gpd.
If the percolation rate is 45, the application rate to be used they should not be located within 50 ft of wells and surface
in the design of the absorption field is found from Table waters or within 10 ft of building foundations and property
27.2 to be 0.45 gpd/ft2. Thus, the absorption trench area boundaries. Absorption fields are located in well-drained
would be 600 gpd/0.45 gpd/ft2 ⫽ 1333 ft2. This is equal areas, with crest of slopes or convex slopes being desirable.
to 667 linear ft of a 2-ft wide trench. Eight absorption Concave slopes are undesirable because they are usually
trenches, each 2 ft wide and 83 ft long, are selected for the drainage ways and subject to surface water percolation.
design. Trenches are usually spaced 6 ft apart or more, cen- Areas having percolation rates less than 1 min/in. can
ter to center. be used by replacing 4 ft of soil below the trench with
Regulations also limit placement of septic tank-soil ab- suitable soil if permitted by local codes. A 4-ft depth of
sorption fields with respect to buildings, wells and other proper soil below the trench will ensure protection of the
activities. Safe distances vary from site to site, but generally, ground water below. The flow path for a septic tank—soil

TABLE 27.2 Rates of Septic Tank Effluent Application

OBSERVED APPLICATION
SOIL TEXTURE PERCOLATION RATE RATE*
Gravel, coarse sand less than 1 not suitable

.....................................................................................................................
Coarse to medium sand 1 to 5 1.2 gpd/ft2
.....................................................................................................................
Fine sand, loamy sand 6 to 15 0.8
.....................................................................................................................
Sandy loam, loam 16 to 30 0.6
.....................................................................................................................
Loam, porous silt loam 31 to 60 0.45
.....................................................................................................................
Silty clay loam, clay loam 61 to 120 0.2
* As with all criteria for on-site systems, local requirements may be different. The engineer must always be guided by the regulations of the local permitting
agency. Special requirements may apply to areas having a percolation rate greater than 60 minutes per inch. (U.S. EPA 1979)
absorption field may have the components as shown by mound systems has been known for several decades, the
Figure 27.5. It is not uncommon for a pumping station as practice, while not widespread, is now finding uses with a
shown to be required as part of the system. Normal open- variety of soil conditions. A mound system is an absorption
impeller centrifugal pumps can be used with septic tank system that has been constructed above the natural soil el-
effluent, but a grinder pump is required if pumping is evation. A mound system is constructed above or partially
needed prior to the septic tank. Small grinder pumping above grade by importing fill that has suitable characteris-
stations are available for this purpose. tics. Note that an absorption bed and not trenches is em-
When pumping is not required, the septic tank effluent ployed in the mound system. No other general layout
flows directly to the distribution box. The distribution box changes are required in a mound soil absorption field sys-
is designed to distribute the flow equally to all the absorp- tem.
tion lines. Systems sometimes have a distribution box to A mound system can be designed to overcome some site
distribute flow equally to two or more additional boxes, conditions that would normally make a site unsuitable for
which in turn supply the absorption lines. Figure 27.5 an absorption field. These conditions include soils having
shows a field selection valve that is used to direct flow to a high percolation rate, shallow depths of suitably perme-
the proper field. Where field alternation is required, the able soil over creviced or porous bedrock and permeable
valve is included as a means of directing the flow to the soils with a shallow depth to the water table. When the
proper field. When used, the fields are usually alternated bottom of the absorption trench bottom is sited over 4 ft
annually, but some agencies may require alternation that is of suitable soil material, proper treatment of the wastewater
more frequent. A single distribution box can be used to will be provided. The soil below this level will be less prone
alternate specific trenches. For example, the eight trenches to clog because only well-treated water will pass from the
served by a single box in Figure 27.5 could be divided at imported soil, making areas with soils having low perme-
the box into two four-trench systems by properly placing a abilities more suitable. In addition, the mound system pro-
slide gate in the box to permit the homeowner to direct the vides proper treatment for areas having a shallow depth to
flow as required. Each of the four trench systems would be the water table or to porous bedrock, eliminating the po-
designed to handle the total flow. tential for ground water pollution.
Four views related to a typical mound system are shown
Water-tight pipe is installed from the distribution box to
in Figure 27.6. Note that the absorption bed is constructed
the beginning of the absorption trench. The absorption
similar to a conventional bed except for being in an artificial
trenches may be curved to follow the surface contour of
fill. Design criteria for a mound system are as follows:
the land. The absorption trenches served by a single distri-
bution box are all the same length so that flow application 䡲 Land topography—locate in well-drained areas.
is uniform. The designer has unlimited options in laying
out the absorption field to accommodate soil conditions 䡲 Separation from wells, etc.—same as for a conven-
and topography. tional absorption field.
Mound Systems. The mound system is an engineered 䡲 Natural soil profile—prefer relatively undisturbed
modification of the conventional absorption field to over- area, avoiding filled areas until a thorough study has
come problems with slowly permeable soils and insufficient shown that filled changes will not affect water move-
depths of unsaturated soil. While the technology behind ment.

table depth. Where shallow soils exist over pervious or

creviced bedrock, the test is percolation run at a 12-in.
depth.
Mound dimensions as designated in Figure 27.6 are as

follows:
Fill depth ‘‘D’’ & ‘‘E’’ 1 ft or more
Absorption bed depth ‘‘F’’ 0.75 ft or more
Cap at edge of bed ‘‘G’’ 1 ft
Cap at center of bed ‘‘H’’ 1.5 ft
Since mound systems are installed in a raised area, the

percolation field is dosed by a pump following the septic
tank. The use of a pumping arrangement where the pump
wet well capacity is 25% of the design daily flow will pro-
vide four bed dosings per day. The pressure loading insures
that the flow is spread to the entire bed with each dosing.
Table 27.3 provides data required for sizing the absorp-
tion bed. The bed area depends on the permeability of the
fill material. The selection of fill material may depend on
transportation costs. The most suitable material may not be
found locally, in which case a material requiring a greater
area may be used.
Basal area requirements ((B times A) ⫹ I in Figure 27.6)
is the area to be provided to insure seepage into the natural
ground before reaching the bottom of the mound area. Di-
mensions ‘‘J’’ and ‘‘K’’ are based on a 3 to 1 side slope as
shown in Figure 27.6. ‘‘B’’ and ‘‘A’’ are the absorption bed
dimensions. Dimension ‘‘I’’ is the down slope distance re-
quired to provide the basal area. Basal area requirements
determined by the infiltration rates are given in Table 27.4.
EXAMPLE Determine the absorption bed area

and mound basal area to serve a three-bedroom
house. Medium sand is to be used for fill material
F IGURE 27.5 Typical dual-field septic tank—soil-absorption
field layout. and the natural soil is a silty clay loam having a per-
colation rate of 50 min/in.
Absorption bed area requirements from Table 27.3,

䡲 Unsaturated soil depth—a minimum of 2 ft of nat-
infiltration rate ⫽ 1.2 gpd/ft2.
ural unsaturated soil should exist over porous or crev-
iced rock or a high water table. Flow ⫽ 450 gpd, Bed area ⫽ 450 gpd/ 1.2 gpd
per ft2 ⫽ 375 ft2.
䡲 Depth to impermeable soils or rock barrier—3 to 5
ft. A sufficient depth of permeable soil must exist over From available area for mound, a bed length of 50
impermeable strata to carry the percolating water away ft is selected; therefore, bed width is 7.5 ft.
from the mound and to prevent the treated effluent
Basal area requirement determined from infiltra-
from seeping to the surrounding natural ground sur-
tion rate found in Table 27.4.
face. The required depth depends on soil permeability,
climate, and topographic site conditions. Frost penetra- Infiltration rate ⫽ 0.5 gpd/ft2. Bed length dimen-
tion depth must be considered. Each site must be eval- sion ‘‘B’’ is 50 ft.
uated.
Basal area ⫽ 450 gpd/0.5 gpd per ft2 ⫽ 900 ft2.
䡲 Percolation rate—natural soil should have a perco- Therefore, Dimensions ‘‘I’’ ⫹ ‘‘A’’ ⫽ 18 ft. Dimen-
lation rate of not more than 120 min/in. The rate is sions ‘‘L’’ and ‘‘W’’ are then determined from the
measured at a depth of 20 in. or 4 in. above the water topography and depth of the mound.

F IGURE 27.6 Mound absorption bed. (U.S. EPA 1979)

TABLE 27.3 Absorption Bed Area Requirements

FILL MATERIAL CHARACTERISTICS* DESIGN INFILTRATION RATE
Medium sand 25% 0.25–2.0 mm 0.2 gpd/ft2

⬍30–35% 0.05–0.25 mm
⬍5–10% 0.002–0.05 mm
.....................................................................................................................
Sandy loam 5–15% clay content 0.6
.....................................................................................................................
Sand/sandy loam mix 88–93% sand 0.2
7–12% finer-grained material
.....................................................................................................................
Bottom ash 1.2
* Percent by weight
(U.S. EPA 1979).
Evapotranspiration (ET) and Evapotranspiration/Absorp- por by diffusion and convection. Meteorological factors,
tion (ETA) Beds. ET and ETA beds are used as means of such as air temperature, humidity, wind velocity and radi-
liquid disposal through evaporation and transpiration at ation influence both energy supply and vapor removal. Both
some locations where subsurface absorption or discharge to evaporation and transpiration may be reduced to near zero
a surface discharge is not feasible. ETA beds may also be in the winter months. Winter rainfall generally makes ET
designed to augment subsurface absorption at locations negative during this period. Third, the moisture must be
where the percolation rate is too low for absorption to be brought to the soil surface. The soil material must be fine-
effective alone. The system functions best with a high- textured for capillary transport to be effective, but not so
quality influent, such as that produced by an aerobic pro- fine that water movement is restricted. These requirements
cess or by an intermittent slow sand filter. However, these for effective evaporation limit its applicability to a majority
systems can be designed to function where the influent is of sites. The dissolved salts from the water supply are de-
from a septic tank. posited at the surface as evaporation occurs and may influ-
ET beds are designed such that capillary action will bring ence the long-term operation of the ET bed. Excessive
the treated liquid to the surface where it is removed by growth within the bed, resulting from the organic loading
evaporation and/or transpiration. Planting trees and bushes contained in the wastewater, may further restrict water
having a large silhouette can improve the appearance of the movement.
bed area and aid in water removal. Transpiration is moisture All rainfall seeps into the bed, which adds to the evap-
uptake by the vegetative roots followed by evaporation to orative requirements for the process. ET bed design must
the atmosphere through transpiration. However, transpira- provide for the maximum annual rainfall expected at least
tion is only effective during the growing season, and a veg- every 10 years. A moisture balance (water budget) should
etative cover reduces evaporation throughout the year. be carried through several years of a projected wet rainfall
If evaporation is to be effective, three conditions must cycle.
be present. First, there must be a continuous supply of heat A typical ET bed is shown in Figure 27.7. The bed con-
to meet the latent heat requirement for evaporation (ap- sists of 1.5 to 3 ft of selected sand over an impermeable
proximately 540 cal/gr of water evaporated at 15 degrees plastic liner. Uniform sand having an average size of 0.10
C). Second, a vapor-pressure gradient must exist between mm has been found to be capable of raising water about 3
the evaporative surface and the atmosphere to remove va- ft through capillary action. A perforated plastic piping sys-
TABLE 27.4 Infiltration Rates for Determining Mound Basal Area

NATURAL SOIL TEXTURE PERCOLATION RATE INFILTRATION RATE
Sand, sandy loam 0–30 min/in. 1.2 gpd/ft2

.....................................................................................................................
Loams, silt loams 31–45 0.75
.....................................................................................................................
Silt loams, silty clay loams 46–60 0.5
.....................................................................................................................
Clay loams, clay 61–120 0.25

F IGURE 27.7 Cross section of a typical ET bed. (U.S. EPA 1979)
tem with a rock cover is provided to distribute the influent charge conditions, but in all instances secondary treatment
throughout the bed. The area is landscaped to direct all or equivalent followed by disinfection is required. Second-
runoff away from the bed. ary treatment involves subjecting the wastewater flow to
An ET bed can only function in areas having a low an- biological treatment and clarification. Effluents from inter-
nual rainfall. Annual evaporation should exceed the rainfall mittent sand filters are superior to those from a conven-
by at least 24 in. The average annual temperature must be tional secondary biological process. Both BOD and
sufficient to supply the latent heat of vaporization. These suspended solids must be reduced to less than 30 mg/l.
restrictions limit acceptable operation of ET systems to the Discharges to small streams where little or no dilution is
southwest section of the U.S. Much of the upper west re- provided, to impounded water like lakes and ponds, and
gion between the Mississippi basin and the east side of the special designated waters such as shellfish harvesting areas
Cascade Range has a high positive evaporation rate, but low or trout waters may require treatment that is more stringent
winter temperatures makes the operation less efficient. Most or may even prohibit a discharge. Treatment beyond the
likely, areas that permit the installation of ET systems will secondary level may involve nitrogen and phosphorus re-
have developed local design criteria. moval and/or a greater reduction in BOD and suspended
solids.
ON-SITE WASTEWATER TREATMENT FOLLOWED BY A
SURFACE DISCHARGE Intermittent Sand Filtration
General This technology has been used for many years with excel-
Relatively few homes are sited to permit a surface discharge lent success. There are many sand filters in use throughout
of treated wastewater. Surface discharges include land sur- the U.S., treating wastewater from individual homes, small
face application, discharge to a permanent flowing stream, commercial and institutional developments and small clus-
an intermittent stream, a dry ditch, or a pond or lake. For ters of homes. If properly designed and operated, an inter-
single-family homes, this means a building lot size of more mittent sand filter will produce an effluent having very low
than one acre is needed. Also, the cost of installation, op- BOD and suspended solids. The process is well-suited as
eration and maintenance is greater than for the on-site aban on-site method of treating septic tank effluent prior to
sorption system. However, several suitable treatment a surface discharge.
technologies are available for serving single-family homes, An intermittent sand filter is a bed of sand 24 to 36 in.
as well as small communities. Because of the cost associated deep and underlain with graded gravel and a flow-collecting
with the required treatment units, their use will generally manifold. General design criteria are given in Table 27.5.
be limited to locations where land and home values are Conditions that have significant impact on the performance
substantial and other alternatives are not available for was- of an intermittent sand filter include:
tewater management.
䡲 The quality of the applied wastewater. A septic
A permit is required by federal law for all surface dis-
tank effluent should be considered the minimum ac-
charges. National Pollution Discharge Elimination System
ceptable pretreatment. Furthermore, grease and solids
Permits (NPDES permits) were established under the 1972
loading should be kept to a minimum.
Water Pollution Control Act (P.L. 92-500). Most of the
states now administer this program and issue a state permit. 䡲 Temperature and dissolved oxygen. The organics
The level of treatment required will depend on the dis- removed by the filter must be decomposed by biologi-
TABLE 27.5 Design Criteria for Intermittent Sand Filters

ITEM CRITERIA
Pretreatment Minimum—septic tank or equivalent

.....................................................................................................................
Hydraulic loading gpd/ft2 1 to 5 gpd/ft2, smaller buried filters 1
Larger open filters to 5 gpd/ft2
.....................................................................................................................
Filtering media Washed durable granular material
Effective size 0.5 to 1.0 mm
Uniformity coefficient ⬍3.5
Depth 24 to 36 in.
.....................................................................................................................
Underdrains
Material Perforated plastic pipe, 4-in. diameter
Slope of underdrain 0.5 to 1.0%
Bedding Washed durable gravel, 1⁄4 to 11⁄2 in. size graded bedding with small-size gravel
on the top
.....................................................................................................................
Venting Upstream end of filter bottom
.....................................................................................................................
Dosing Complete 2-in. flooding twice per day
Hydraulic loading rate 2.5 gpd/ft2
May range from 0.75 to 15 gpd/ft2
.....................................................................................................................
Distribution Splash plates
cal activity. The rate of decomposition is temperature- failure. Good treatment depends on oxygen being drawn
dependent, and this limits the loading rate to the filter. into the bed to maintain aerobic conditions. This is accom-
plished by intermittent flooding of the bed. As the applied
䡲 Sand size and uniformity. The allowable loading
flow percolates into the bed, air is drawn in, replenishing
rate for a sand filter is affected by the sand grain size,
the consumed oxygen.
filtration rate, penetration depth of particulate matter,
Figure 27.8 shows a typical buried intermittent sand fil-
and the effluent quality. The uniformity of the sand es-
ter installation that is applicable for use at a single-family
tablishes the porosity, with a small uniform grain size
residence where a surface discharge is required. The filter
giving the best filtration and highest porosity. The ef-
follows the septic tank. Provisions must also be made for
fective size is the size where 10% by weight of the
disinfection by chlorination, prior to discharge. Intermittent
particles are smaller ⫽ E10. Uniformity in size is ex-
sand filters can be buried, covered with a means of access,
pressed by the ‘‘uniformity coefficient,’’ which is the
or left open to the atmosphere. In colder climates, protec-
sieve size that will pass 60% of the mass (E60) to the
tion against freezing is required. The buried filter may em-
effective size ⫽ E60/E10. A uniformity coefficient of
ploy rock distribution of the influent, similar to the design
less than 4 is considered acceptable, but a material
used for a mound bed. The rock layer will support a soil
having a lower value will give better performance. The
cover. Otherwise, a covered filter could be constructed sim-
small additional cost of a uniform sand will materially
improve the long-term operation of the filter, will ilar to the recirculating filter shown in Figure 27.9.
probably reduce the maintenance cost and will im- Figure 27.9 shows a typical flow diagram for a small
prove the effluent quality. It is important that the sand recirculating intermittent sand filter. Flow from the pretreat-
size be uniform throughout the filter. ment septic tank is piped to a wet well/dosing/recirculation
tank. The tank is sized to provide a 2-in. flooding of the
The filters remove pollutants by trapping them on the filter. The figure shows a splash plate located at the filter
sand surface, by straining the flow as it percolates through center for distributing the flow without eroding the sand.
the bed, and by absorption and adsorption by the biological The filter effluent piping is routed through the dosing tank
growth within the filter. Excessive loading will result in fil- where a float valve permits the flow to fill the dosing tank
ter clogging, which causes ponding on the filter surface, before any flow is discharged. Recirculation permits higher
leading to deterioration of effluent quality and, hence, filter daily hydraulic loading to the filter without increasing the

F IGURE 27.8 Typical buried intermittent sand filter. (U.S. EPA 1979)
organic load, with some installations being dosed as often prior to discharge. The simplest means of accomplishing
as every 30 minutes. This improves filter performance by disinfection for small flows is by use of a tablet chlorinator
drawing more air into the filter with the more frequent dos- as shown in Figure 27.10. Calcium hypochlorite tablets are
ing. Non-recirculating filters are generally designed for two stacked in the feed tube, and the filter effluent flows
dosings per day when septic tank effluent is applied because through the chamber. The size of the chamber and number
of the higher organic strength of the applied loading. of feed tubes is varied in the construction to provide the
The engineer should always consider an intermittent proper chlorine dosage. The flow is not retained in the chlo-
sand filter where a surface discharge is required for a small rinator but flows out into a holding tank called a contact
wastewater flow. The BOD5 (BOD for first 5 days at 20⬚C) tank, where a 30-min contact time is provided to insure the
and the suspended solids of the filter effluent will each nor- kill-off of pathogens. One to three mg/l of chlorine residual
mally be less than 10 mg/l. Most of the nitrogen will be should remain after the 30-min contact period.
oxidized to nitrates. When properly designed and operated, The permitting authority may impose restrictions on the
reliable treatment is achieved with little maintenance being area surrounding a surface discharge for health and safety
required. As with all wastewater, disinfection is required purposes. These include:

F IGURE 27.9 Typical recirculating intermittent sand filter. (U.S. EPA 1979)
䡲 When discharging to a point providing a dilution

of less than 10 to 1, direct human water contact
should be restricted by ownership or easement of the
flow path downstream for 500 ft.
䡲 When discharging to a dry ditch or to an intermit-
tent stream, the channel slope should be greater than
1% and ponding should not be permitted.
䡲 Where two or more discharges are to the same dry
or intermittent flow channel, the discharge points
should be more than 500 ft apart.
䡲 Where subdivisions require a surface discharge, a
single treatment plant and discharge point is recom-
mended instead of individual systems. The engineer
should review the regulations of the permitting agen-
cies before starting a design.
Biological Treatment
Both anaerobic (in the absence of free oxygen) and aerobic
(in the presence of free oxygen) processes are utilized in
wastewater treatment. The septic tank is an example of an
F IGURE 27.10 Tablet chlorinator. (U.S. EPA 1979) anaerobic process. Anaerobic processes perform best at tem-

peratures between 90 and 95⬚F. Only a low level of biolog- ‘‘mixed liquor suspended solids’’ (MLSS). The mixed liquor
ical decomposition and stabilization is accomplished in the is agitated by aeration to supply oxygen and to prevent
conventional septic tank, except in very warm climates. separation of the biomass from the mixed liquor. Diffused
Also, the anaerobic process is not as efficient as aerobic air is usually used to accomplish both mixing and aeration.
processes in terms of level of decomposition and quality of This period of aeration and mixing is usually 24 to 48 hr
liquid effluent produced. Other than the septic tank, an- for small systems, and the process is called ‘‘extended aer-
aerobic treatment is not common to small systems. ation.’’ During this period, the organic material is oxidized
Theoretically, the end products of aerobic decomposition and converted to cell mass. The increase in cell mass is 30
are carbon dioxide and water and a small quantity of salts. to 50% of the BOD added to the system. Therefore, biomass
In reality, there is a significant fraction of all organic matter (waste activated sludge) must be wasted from the system.
that is refractory to oxidation. This is the organic residual With the extended aeration process, the residual biomass is
found in topsoil and stable forms of humus. Since the nor- relatively stable and can usually be spread on land. How-
mal aerobic process is never continued for a sufficient pe- ever, air drying beds or other disposal means may be re-
riod to accomplish complete oxidation, and because of the quired at many locations. A local wastewater treatment
presence of the refractory component, there is always a re- plant may take the sludge for stabilization. In addition, the
sidual called sludge that must be disposed. The stability of local facility for treating septic tank sludge may be a suitable
this sludge depends on the conditioning process employed. means of disposal.
Most local governments provide a central facility for this Effective biological treatment depends on keeping the
function. Aerobic digestion is the most suitable means of biomass in a proper physiological state, whereby the bio-
on-site septic tank sludge stabilization. mass can be separated by gravitational settling, producing
Aerobic processes employed in the treatment of small a clarified effluent. The level and method of feeding largely
flows are of several types, including fixed film and sus- determine the physiological state of the biomass. The level
pended growth processes. With both the fixed film and the of feeding or ‘‘food to micro-organism ratio’’ (F/M ratio) is
suspended growth processes, the organic constituents in the controlled by adjusting the concentration of the biomass to
wastewater are adsorbed and absorbed by a biological the feeding rate. The biomass is expressed as the concen-
growth. These organic constituents are then used as an en- tration of the MLSS in mg/l, and the feed rate is the BOD
ergy source and for growth. With the fixed film process, in mg/l in the incoming flow. Some operating parameters
biological growth is supported on an inert surface. An early for extended-aeration systems are given in Table 27.6. The
form of a fixed film process that has been widely used in normal per capita contribution of BOD5 is 0.17 lbs./day,
wastewater treatment is the trickling filter, which was orig- and for single-family dwellings the per bedroom contribu-
inally a bed of rock with the rock surfaces supporting the tion may be taken as 0.4 lb/day. The activated-sludge pro-
fixed film growth. Various plastic forms are now available, cess is stable and produces a high-quality effluent when
and these have largely replaced the use of rock in the beds properly designed and operated. The process is subject to
because better circulation of air is achieved and a greater upset, resulting in poor removal of BOD and suspended
surface area per unit volume is provided. Another form of solids or poor separation of the mixed liquor from the flow
fixed film support is the rotating biological contractor, in the clarification process, producing a poor-quality efflu-
where discs are mounted on a shaft such that the lower ent in either instance. The extended-aeration process is rel-
portion of the discs are submerged in the flow. As the shaft atively more stable. Where a proper food to micro-organism
is rotated, the discs rotate into the air where oxygen is avail- ratio, oxygen level and mixing is maintained, few problems
able. Air may also be added to the flow and used to assist should develop. The dumping of excessive amounts of
with the rotation of the discs. These processes must be fol- cleaning agents or other toxic agents into the sewer where
lowed by final clarification and disinfection. In addition, the on-site treatment is practiced may cause failure of the pro-
sludge from the clarification process must be processed. De- cess.
watering and air drying on a small sand bed is one method It is common for small treatment units to be of the
of handling this sludge. Also common for treating small ‘‘package’’ type, as it is not economical to design and con-
flows are aerated and facultative lagoons. struct an on-site system in places where the daily flow is
The suspended-growth aerobic process is more common less than 200,000 gal. Most suppliers of smaller units, such
to all wastewater treatment, including small-flow treatment. as those less than 10,000 gpd capacity, have the product
A variety of designed ‘‘package units’’ are available for use tested and performance certified. The National Sanitation
as a means of providing on-site treatment. All aerobic sus- Foundation (NSF) provides this service, and the local per-
pended-growth processes (commonly called ‘‘activated mitting agency may require data of this type. When a pack-
sludge’’) include a contact chamber where the incoming age unit is specified, catalog data will provide the needed
flow is mixed with a biological population. The term design information. All design conditions, as shown in Ta-
‘‘mixed liquor’’ is used to describe the combination of the ble 27.6, will be available from manufacturer literature.
incoming flow and the biological population. The solids All on-site aerobic systems should have a high-water
that are within the mixed liquor suspension are called alarm to notify the homeowner of a malfunction. As noted

TABLE 27.6 Operating Parameters for Extended-Aeration Processes for Small On-site Units
PARAMETER AVERAGE PARAMETER
MLSS, mg/l 2000–6000 (5000 to 6000 common)

.....................................................................................................................
F/M Ratio, lb BOD per day/lb MLSS 0.05–0.1
.....................................................................................................................
Solids retention time, days (related to F/M) 20–100
.....................................................................................................................
Hydraulic retention time, days 1 to 5 (1.5 to 2.0 common)
.....................................................................................................................
Dissolved oxygen, minimum level in mg/l ⬎2.0
Discharge oxygen concentration generally ⬎5.0, so unit should carry this
level
.....................................................................................................................
Energy input for mixing, Hp/1000 ft3 0.5–1.0
Energy input is usually by diffused air.
.....................................................................................................................
Clarifier overflow rate, gpd/ft2 200–400
.....................................................................................................................
Clarifier solids loading, lb/d/ft2 20–30
.....................................................................................................................
Clarifier weir loading, gpd/ft of weir 10,000–30,000
.....................................................................................................................
Sludge wasting frequency, months 6–12
Note: Design parameters of ‘‘package units’’ controlled by the manufacturer.
in Table 27.6, sludge will need to be wasted from the sys- high-water alarm. A submersible aerator is used to mix the
tem about every 6 months. The operating permit will also liquid and provide oxygen to the mixed liquor. The aerator
require a monthly or quarterly report on the plant perform- does not always need to operate continuously, but may be
ance. This report will usually need to come from a qualified controlled by a timer. Patented filter tubes are used to filter
operator. In fact, some suppliers of equipment provide this the effluent, eliminating the need for a clarifier. The man-
service. The operator should also be responsible for having ufacturer of these filter tubes reports that solids need to be
sludge removed from the system as required (see Table removed every 6 to 12 months. The filter tubes control the
27.6). Normally, the sludge is removed by a firm that quality of the effluent, making temporary biological upsets
pumps septic tanks and can take the sludge to a septage less likely to cause a poor-quality effluent to be discharged.
disposal facility. As noted during the discussion of inter- The unit shown in Figure 27.11-b is a batch reactor hav-
mittent sand filters, all surface discharges should be disin- ing a fill-and-draw operation. Diffused air is used for aer-
fected, with the tablet chlorinator being the most suitable ation and mixing. A pump control turns off the aeration
technology. Some locations may require dechlorination after blower when the high operating liquid level is reached. Af-
the 30-min contact time and before discharge. A tablet sul- ter a reasonable settling time (1 hour or more), the effluent
fonator, having a design similar to the tablet chlorinator, is pump discharges clarified effluent until the low-water level
available for this purpose. The sulfonator can be placed on is reached, after which the pump stops, the aeration is
the discharge line from the contact tank to oxidize the re- started, and the fill-and-draw cycle is repeated. Sludge must
sidual free chlorine forms. The reaction is instantaneous, be wasted periodically, as was noted for the unit shown in
and only flow through the chamber is required (no contact Figure 27.11-a, above.
time needed, as required for disinfection). Figure 27.11-c shows a three-chambered process that
Figures 27.11 a, b, c and d show four types of on-site employs a surface mechanical aerator for mixing and aera-
‘‘package’’ units that are available in several sizes for treating tion. An initial chamber similar to a small septic tank is
flows up to 2000 gpd. The unit shown in Figure 27.11-a located ahead of the aeration basin. This chamber serves to
is available in five sizes from 500 to 1500 gpd. It is a de- remove scum, heavier sludge particles and trash. A clarifier
veloped and tested technology, with the entire process or settling chamber follows the aeration chamber where,
housed in a barrel-shaped fiberglass container. A 4-in. inlet through its design, the solids automatically fall back into
and outlet are provided for connecting the house sewer to the aeration basin.
the inlet and the disinfection chamber to the outlet. Elec- Figure 27.11-d shows an on-site process employing a
trical connections are provided for a power supply and a fixed-film treatment design. A surface aerator draws water

The homeowner or developer should use the services of

a qualified engineer in selecting an on-site treatment unit.
It is recommended that the local health department be con-
tacted for information on what types of units are being mar-
keted in the area and the reliability of operation of existing
units. Useful information on types of units available can be
obtained from several sources. The National Sanitation
Foundation (NSF) provides testing services to equipment
manufacturers of small treatment units. Some regulatory
agencies require that the NSF test new equipment before
approving its use.
The homeowner must use good judgment and caution
in controlling what is flushed down the drain where an on-
site system is used. Diapers, towels, plastic items and any
material that will not be readily dissolved in water will de-
crease system performance and lead to a need for additional
maintenance.
On-site wastewater treatment is a developing field. Cur-
rent information on available technology is available from
the sources listed in Table 27.7.
SMALL COMMUNITY WASTEWATER TREATMENT PLANTS

General
The type of facility required for a small community treat-
ment plant will depend on local conditions and practices.
The terms ‘‘primary,’’ ‘‘secondary’’ and ‘‘tertiary’’ are used to
define levels of treatment. The term ‘‘advanced wastewater
treatment’’ is often used to indicate a level of treatment be-
yond secondary. Domestic wastewater is an ever-changing
mixture that is more than 99.9% water and less than 0.1%
suspended and dissolved matter (0.1% ⫽ 1000 mg/l). The
suspended and dissolved matter consists of a multitude of
chemical and biological compounds, including the inert
dissolved salts from the water supply, dissolved organic ma-
terial, grit (fine inorganic particulate matter), rags, paper
and plastic matter that is flushed down the drain. Addi-
tionally, the suspended and dissolved matter will include a
high concentration of enteric organisms, which may include
pathogenic forms. While wastewater is an ever-changing
mixture, with the characteristics changing from minute to
minute, the broad measures of strength such as BOD and
suspended solids for domestic sewage are always within a
defined range on a daily basis. The diurnal strength varies
with the community activity, with the strength being highest
during periods of highest flow. Sewers serving new com-
F I G U R E 2 7 . 1 1 Typical on-site ‘‘package’’ biological treatment
units. Reproduced with permission from Multi-Flo Waste Treatment Sys- munities should not be subject to problems with inflow and
tems, Dayton, Ohio (a); and U.S. EPA 1979 (b, c, and d). infiltration as suitable construction materials and technol-
ogy are available to the engineer for insuring water-tight
systems.
When a central facility is needed for wastewater treat-
up through a center chamber, where it flows back through ment, the engineer should conduct a study to determine
the packed media and into the quiescent chamber, where the availability of capacity at existing plants. Routing the
suspended solids are allowed to settle to the bottom. The flow to an existing treatment plant where possible is pre-
effluent flow rate is equal to the inflow, with a constant ferred to the construction of a new plant. The unnecessary
level being maintained in the biological reactor. proliferation of small plants is not an environmentally

TABLE 27.7 Sources for Information on On-site Wastewater Treatment
EPA National Small Flow Clearinghouse Your State Water Quality Agency
P.O. Box 6064 Your State USDA
Morgantown, WV 26506-6064 Farmers Home Administration Office
Toll Free 1-800-624-8301
.....................................................................................................................
National Sanitation Foundation EPA Center for Environmental Research Information
P.O. Box 1468 26 W. Saint Clair
Ann Arbor, MI 48106 Cincinnati, OH 24268
(313) 769-8010
.....................................................................................................................
The National Rural Water Association Catalog Data from Purveyors of Wastewater Treatment Equipment
Wastewater Technical Program
(Local office in most States)
.....................................................................................................................
National Association of Towns and Townships EPA Regional Office
1522 K Street N.W., Suite 730
Washington, D.C. 20005
(202) 737-5200
sound practice. The cost of treatment will generally be less 100-yr flood elevation. Suitable buffering of the site
at a larger facility. from the surrounding community must be provided.
When a decision is made to construct a new plant to Buffer requirements are generally several hundred feet
serve a community, a determination must be made on the from the nearest residence. An all-weather road must
plant capacity, the site location, treatment level required, be provided to the plant site. Additionally, a reliable
who will own, operate, maintain and control the completed water supply and three-phase power must be provided.
facility and how the construction cost will be funded. Prin- Local zoning, or a zoning variance, must be obtained
cipal items related to these four considerations include: for the intended land use. Downstream water uses,
such as an existing public water supply intake, a pub-
䡲 Treatment plant capacity. A permit to construct and
lic recreational site, a shellfish harvesting area, or other
operate a new plant will come under the authority of
water quality considerations may eliminate a potential
both state and local government. These agencies to-
site or discharge point from further consideration.
gether with the local planning and zoning departments
must be consulted about zoning, plant location, area to 䡲 Level of treatment. Treatment requirements will de-
be served, and total population to be served. The pro- pend on several factors, including the class of the re-
jected growth of the proposed service area should be ceiving water, the dilution provided by the receiving
coordinated with the local planning department staff. stream (generally based on the 7-day, 10-yr low flow),
The initial design capacity will generally be based on and the hydraulic features of the stream related to
the area needs for a period of 15 to 20 yr. In most in- mixing and reaeration, such as slope, depth, type of
stances, land should be set aside for future expansion stream bottom and downstream conditions. The level
and provisions made in the design to accommodate of treatment required will be established by the state
any projected expansion. There may be instances water pollution control agency, but in all cases, sec-
where the treatment facility will be designed solely to ondary treatment will be required as a minimum by
serve a single development, but this will generally not federal law. The state agency having jurisdiction for
be the case if the local government has developed a permitting wastewater treatment plants may conduct a
comprehensive plan. It is incumbent upon the engineer site-specific field study of the receiving water body to
to insure that suitable planning precedes the location establish the assimilative capacity, or it may require the
and sizing of a new plant. engineer to conduct the study prior to establishing the
䡲 Plant site. A suitable discharge point must be avail- treatment requirements. Some states will only issue a
able. It is generally preferred that the plant be located discharge permit to a public agency. In this case, ar-
adjacent to the discharge point, but this is not a re- rangements will need to be made with the agency that
quirement. The plant must be protected against the will own and operate the plant before starting design,

as the operating agency may have specific design re- The atmosphere is approximately 20% oxygen and 80%
quirements. nitrogen. At normal water temperature (60 to 70 degrees),
oxygen solubility in surface water is in the range of 9.5
䡲 Funding of construction and operation. The local gov-
mg/l. Saturation or equilibrium solubility is a function of
ernment is unlikely to participate in funding the con-
water temperature and atmospheric pressure. As oxygen is
struction of a new plant unless it will meet a regional
used by aquatic life it must be replenished. The sources for
need. If the area has been planned for sewer, some
this oxygen replenishment include the atmosphere and au-
level of cost participation may be arranged, and the
totrophic growth (photosynthetic growth where oxygen is
willingness of the developer to assist with the cost may
liberated when sufficient UV light is available for growth)
expedite the construction program. Otherwise, the de-
as algae respire under this condition. Atmospheric replen-
veloper may be faced with providing the entire con-
ishment depends primarily on surface renewal for oxygen
struction cost. Operating costs should come from a
transfer. There is a finite surface layer of water that quickly
service fee. The fee for sewer service should cover am-
comes into equilibrium with the oxygen in the atmosphere.
ortization of construction costs, operation and mainte-
However, the molecular penetration of oxygen to greater
nance costs, a replacement fund and general
depths is a slow process. If mixing of the water is provided,
administration costs. The construction cost is often
such as found in a rapidly flowing stream, the rate of sur-
prorated to each building unit served and collected as
face renewal is rapid since the saturated surface layer is
a part of the cost for a construction permit.
continually mixed with water at depths beneath the surface
An environmental assessment will be required for the while a new layer is brought to the surface. Thus, aquatic
selected plant site. After the engineer has completed a pre- life like the mountain trout, which requires a high level of
liminary investigation covering at least the four subjects oxygen, is found in a shallow rapidly flowing stream, while
presented above and found that the selected site is, in gen- the more oxygen tolerant aquatic forms are found in deeper,
eral, acceptable, an in-depth environmental assessment is slower moving water where the oxygen level may be only
prepared and copies of the report presented to the local 2 to 3 mg/l.
and state authorities. A presentation at a public hearing, While floating matter and bottom sludge deposits are
which is generally held as part of the approval process, will degrading to stream quality, it is the oxygen level that gen-
often be required. The environmental assessment will in- erally has the most overall degradation impact. Oxygen de-
clude a thorough investigation of the esthetics, ecological, mand from sewage results from the oxidation of the organic
physical and social aspects of the proposed project. General load (BOD) to stable forms. The oxidation is primarily bac-
potential impacts associated with the construction and op- terial activity. Visual evidence, such as floating dead fish that
eration of a wastewater treatment plant include lighting at have suffocated, is one type of degradation resulting from
the plant, neighborhood aesthetics, noise, odor, traffic, and exceeding the oxygen resources of a stream. However, when
air pollution. These impacts can be mitigated through good fish are dying, the damage to the aquatic environment is
design and operation. much broader. In the past, most aerobic aquatic forms were
eliminated from segments of streams downstream from
Pollutant Characteristics many wastewater discharge points. The most noteworthy
The principal pollutional characteristics of domestic sewage research relating to surface water pollution is that con-
are: ducted by two U.S. Public Health Service Officers, H.W.
Streeter and E.B. Phelps, ‘‘A Study of the Pollution and Nat-
䡲 Floatable matter or scum, which is unsightly if dis-
ural Purification of the Ohio River,’’ Public Health Service
charged to a surface water.
Bulletin No. 146, U.S. Public Health Service, Washington,
䡲 Settleable matter that will form sludge deposits on D.C. (1925). This work remains the foundation that is used
the stream bottom. in establishing the assimilative capacity of flowing surface
waters. Secondary treatment is now required for all waste-
䡲 An oxygen demand that may exceed the oxygen re-
water prior to discharge by the 1972 Water Quality Act. A
sources in the stream, resulting in septic conditions.
higher level of treatment may be required to prevent stream
The pollutant potential of scum and settleable solids is
degradation. This means that the level of treatment must
easily recognized, but the oxygen balance of surface
reduce the oxygen demand (BOD) of the plant effluent to
water is not always as well understood.
less than the reaeration capacity of the receiving water.
䡲 The potential for pathogenic organisms to be pres-
ent. Wastewater Treatment
䡲 Domestic sewage should not contain toxic sub- The wastewater treatment process creates a controlled en-
stances. vironment for reducing the characteristics of the effluent
that will cause degradation of surface waters or cause a
The indigenous life in surface water is aerobic, which potential health hazard. As noted above, for domestic sew-
means dissolved oxygen is required to maintain that life. age, the characteristics include floatable material, settleable

material, material that will impose an oxygen demand, and

T A B L E 2 7 . 8 Primary Clarifier
pathogenic bacteria. Other potential pollutants common to
all domestic wastewater are nitrogen and phosphorus. An Parameters
increase in the availability of one or both of these elements SURFACE LOADING DEPTH RETENTION TIME
may lead to eutrophication of the receiving water. Unoxi-
dized forms of nitrogen, such as ammonia, represent an 600 gpd/ft2 7 ft 2.1 hr
.....................................................
oxygen demand as the compounds are oxidized to nitrates.
800 7 1.6
The five primary elements making up all organic matter .....................................................
are carbon, oxygen, hydrogen, nitrogen and phosphorus. 600 8 2.4
The composition of cell tissue is C6H7NO2. Cell tissue is
about 27.5% nitrogen and less than 2.0% phosphorus. Of
the five primary elements, only nitrogen and phosphorus
are potentially growth-limiting in natural waters, since ox- level so that flow is uniform across the tank. Generally, weir
ygen and hydrogen are available from water and carbon is loading is never a problem with circular tanks. Low surface
obtained from carbon dioxide. Excessive aquatic auto- loading is money well spent in a clarifier design because
trophic growth (algae growth) is a form of water quality efficiency of solids removal is related to this design param-
degradation and is undesirable for several reasons, with the eter.
oxygen demand expressed by algae during the night and Clarifiers may be rectangular, but circular clarifiers are
on cloudy days being a principal consideration. Nitrogen preferred because there is much less maintenance associated
oxidation to eliminate the oxygen demand and nitrogen with the sludge collecting equipment with a circular shape.
and /or phosphorus removal to mitigate the eutrophication Figure 27.12 shows a cross-section view of both a circular
potential will be required for some discharge locations. and a rectangular clarifier. With the circular clarifier, the
Primary treatment of wastewater is the removal of the flow is piped to a center feed well, from which it flows to
larger suspended solids by gravitational settling. It is accom- the periphery weir where the clarified supernatant is de-
plished by passing the flow through a clarifier that will gen- canted into a trough. A revolving sludge collector scrapes
erally provide a holding time of 2 hr (volume of clarifier/ the compacted solids to the tank center where they are
design flow rate ⫽ 2 hr). Gravitational settling will remove withdrawn. Secondary clarifiers are similar to primary clar-
much of the floatable and settleable suspended materials, ifiers, except surface loading may be lower to give greater
with approximately 35% of the BOD and 60% of the sus- solids-removal efficiency. The flow in a rectangular tank is
pended solids being removed by primary treatment. Before from influent end to a weir at the effluent end of the tank.
the 1950s, only primary treatment was provided at many A continuous chain is located at each side of the tank for
wastewater treatment plants. This level of treatment re- supporting sludge collector flights that move the settled
moved most of the visual forms of pollution, such as float- sludge back to the influent end of the tank where it is
ing and settleable matter. Primary treatment remains withdrawn. Note that wear of the flights and chains are a
common to larger plants, where it is cheaper to handle the maintenance consideration. Maintenance requirements, ef-
additional waste stream (primary sludge) separately than to ficiency, and construction cost all favor the circular clarifier
treat the total waste load with a biological process. The over the rectangular form.
clarifier provides a quiescent environment where the solids Scum and bottom sludge are removed from the primary
are allowed to settle and compact near the chamber bottom, clarifier and generally stabilized by anaerobic digestion.
where they are removed, and the clarified liquid is decanted Methane, a combustible gas, is a product of anaerobic di-
over a peripheral weir. The design parameters for a primary gestion, and the gas may be used as a heat source in the
clarifier are: surface loading in gpd/ft2 of surface area— plant operation. Anaerobic digestion is not an economical
surface loading determines the efficiency of solids removal; means of sludge stabilization for small treatment plants. At
depth, which is required for solids compaction and for small plants where primary treatment is practiced, aerobic
equipment; and weir loading, which must be maintained or chemical stabilization are suitable alternatives. The haul-
below rates where weir approach velocity will draw solids ing of waste solids to a larger plant or to a septage disposal
from the lower depths. Common design parameters are: facility for treatment should always be considered when de-
surface loadings 600 to 1200 gpd/ft2; depth, 6 to 8 ft; and signing a small plant.
weir loading, 10,000 to 15,000 gpd/ft. Surface loading and Secondary treatment is a biological process where the or-
depth establishes retention time in the clarifier as shown by ganic matter present is adsorbed and absorbed by a biomass
the data in Table 27.8. (suspended-activated sludge or a fixed-film sludge), where
A 40-ft-diameter primary clarifier (also called a primary it is oxidized for energy and used for cell growth (a food
sedimentation tank) that is 7 ft deep and having a surface for the biomass). Secondary aeration reactors are rectan-
loading of 600 gpd/sq ft will have a capacity of 753,600 gular in elevation and may be straight or circular in profile.
gpd and a weir loading of 6000 gpd/ft. The weir must The tanks are equipped with facilities to provide mixing to
extend completely around the periphery of the tank and be keep the biomass in contact with the organic matter in the

F IGURE 27.12 Sectional views of clarifiers. (U.S. EPA 1979)
wastewater, while also preventing settling and to supply the a low level or may be depleted entirely, eliminating the aer-
required oxygen transfer. If the biomass is a suspended obic life forms indigenous to the environment. Wastewater
growth (MLSS), the process is called activated-sludge, and treatment is the creation of a controlled environment for
if the biological exists as film on a solid surface, it may be this natural stabilization process.
termed a tricking filter or biological contractor process. Activated sludge is an active biomass that feeds upon the
It is important to distinguish between an activated- organic matter in the wastewater. By maintaining this active
sludge process and plain aeration. Aeration of sewage will biomass, wastewater treatment can be accomplished in a
result in some coagulation of solids, but after aeration for matter of minutes instead of the 2 weeks that is required
a few hours or even a few days, little treatment will be by plain aeration. In order to produce a quality effluent, the
achieved. Aeration for 12 to 20 days will result in stabili- biomass must readily settle to the bottom of a clarifier, leav-
zation of the organic material present as this amount of time ing a clear effluent, low in BOD and suspended solids for
permits a complete cycle of the biological process from a discharge. Thus, it is necessary to maintain the biomass in
growth phase through decay for the bacteria and other life its proper physiological state and to insure that it is com-
forms (see Figure 27.13). When untreated wastewater is posed of the proper types of micro-organisms to accomplish
discharged to a surface stream, the natural biological sta- good separation. In all modifications of the activated-sludge
bilization process will occur over a downstream reach of process, the initial adsorption/absorption phase, which re-
the stream. If the oxygen requirement associated with the quires only a few minutes, must be followed by 2 to 6 hr
stabilization process exceeds the reaeration capacity of the of aeration for the biomass to assimilate the organic material
stream, the oxygen content of the water will be reduced to through growth and respiration. The operation of an acti-

F I G U R E 2 7 . 1 3 Relative-growth phases found in an activated sludge. Reproduced with permission from McKinney, R. 1962, Microbiology for
Sanitary Engineers, New York: McGraw-Hill.
vated-sludge process involves keeping a proper balance be- Activated-sludge solids are about 70% volatile. Sludge age
tween the biomass (feeders) and the incoming organic load is the ratio of the MLVSS carried in the system to the cell
(food), and feeding the biomass in a fashion that will give production per day. Both terms are controlled by the
the desired species selection. amount of sludge removed from the process per day (sludge
Activated sludge is a gelatinous mass of organisms that wasting). An activated-sludge, extended-aeration process
includes bacteria, protozoa, metazoa, nematodes and treating domestic sludge is operated with a food to micro-
worms. The gelatinous quality of the biomass, which is im- organism (biomass) ratio of 0.05 to 0.15 lb BOD applied
portant for providing the agglomeration needed for good per day/lb MLSS, which corresponds to a sludge-age range
separation, results from keeping the bulk of the biomass of about 20 days. The F/M ratio for a process carrying a
in a declining growth phase, whereby extracellular poly- MLVSS of 2000 mg/l with an influent BOD5 of 200 mg/l
saccharides are produced, and by fostering the growth of is calculated as follows:
zoogleal-type bacteria. The protozoa and metazoa feed upon
Pounds of BOD5 added per day
the relatively small number of dispersed bacteria growth
present. Protozoa and metazoa feeding is necessary for the ⫽ (BODinf ⫺ BODeff)(8.34 lb/gal)(Q, gpd)/106
production of a quality effluent. If the quantity of dispersed Pounds of MLVSS in aeration tank
growth exceeds the feeding capacity of the protozoa and ⫽ (V, ft3)(7.48 gal/ft3)(8.34) (MLVSS)/106
metazoa population, a cloudy, poor quality effluent will re-
Q/V (0.133)(BODin ⫺ BODout)
sult. Figure 27.13 is a generalized presentation showing the F/M ⫽ (27.1)
complex, interrelated, mixed biological population of an ac- MLVSS
tivated sludge. A well-operated process will maintain an ac- where
tive population of stalked ciliates and rotifers, which
requires that a significant fraction of the bacteria biomass Q ⫽ daily flow in gpd
be in a declining-growth phase. A microscopic examination V ⫽ volume of aeration tank in cu ft
is a good means of checking on the quality of activated BODin ⫽ BOD of influent to aeration tank in mg/l
sludge. BODout ⫽ BOD of plant effluent in mg/l
The level of feeding (food to biomass ratio, F/M) is the Sludge age
ratio of the BOD removed per day divided by the mixed (V, ft3) 8.34 (MLVSS, mg/l) (7.48)
liquor volatile suspended solids (MLVSS). Volatile sus- ⫽
(Q, mgd)(8.34)(Y)(BODin) ⫺ k (MLVSS, lb)
pended solids are the fraction of the solids that is repre-
sented by weight loss during combustion at 600⬚C. (27.2)

1 F/M ratio occurs when the organic content of the incoming

Sludge age ⫽ (27.3)
(Y (F/M) ⫺ k) flow exceeds the initial absorption and adsorption capacity
of the zoogleal biomass present, leaving food for filamen-
where tous growth. This is a particular problem when treating
high-strength wastewater. If the operator maintains a suit-
sludge age ⫽ pounds of MLVSS in the aeration tank di- able F/M ratio, there should not be a problem with do-
vided by the net cell growth per day mestic sewage if the facility has been designed to mix the
k ⫽ decay constant for the MLVSS ⫽ 0.055 return sludge with the incoming wastewater properly. A low
day⫺1 for domestic sewage. F/M ratio occurs when the incoming flow is dispersed, such
as with a complete-mixed regime, before the zoogleal bio-
The decay constant applies to the oxidation of the biomass can achieve an initial BOD uptake. Filamentous forms
mass. The term is small, and Y ⫽ cell yield in lbs. cell have a greater surface-area-per-unit mass than a zoogleal
produced per lb. BOD removed ⫽ 0.5, VSS for domestic growth and can become predominant in a dispersed-food
sewage. regime. The filamentous bacteria have little capacity to store
The MLSS concentration for an extended-aeration pro- food, compared to the zoogleal-type biological growth.
cess is usually maintained between 3000 and 6000 mg/l, Therefore, under a regime where the zoogleal forms are pro-
with operation at the lower end of the range generally provided with the opportunity to adsorb food from a concen-
ducing the better-quality effluent. A high MLSS produces a trated condition, they will utilize the stored food for the
more stable waste-sludge for disposal, but an excessively remainder of the aeration time, while the filamentous forms
old sludge may result in a lower-quality effluent because of will be deprived of a food source. A low-level food concen-
small particles of stable sludge that settle poorly and break tration is available at all times in the complete-mixed pro-
away from the agglomerated biomass. The most important cess, and this regime can foster the selection of filamentous
test for the operator in process control is the settleability growth. Where the plant design and operation provides for
test. It requires only 30 min and tells a lot about the process uptake of the incoming food by the biomass before the flow
operation. The test is conducted by filling a 1-liter gradu- is dispersed, and other operation conditions are favorable,
ated cylinder with MLSS from the aeration tank. The solids the desired bacteria selection should occur. Figure 27.14
are allowed to settle under complete quiescent conditions shows a schematic of each regime. In the complete-mix
for 30 min. The level of the interface between the sludge regime, conditions are the same throughout the chamber,
and the supernatant, along with the quality of the super- making the location of the effluent of little significance. Un-
natant, provides the operator with a visual indication of the der the plug-flow regime, the flow enters one end of the
effluent quality, the settleability and compactability of the aeration tank and leaves at the opposite end, with one ob-
sludge, and the amount of sludge to be wasted. Most ex- jective of the design being to have little longitudinal mixing.
tended-aeration processes operate well when the interface The operator must conduct several tests on a routine
between the sludge and the supernatant is at about 200 to basis for proper process control. These include: the strength
250 ml. As the level of the interface increases, the operator
can determine the fraction of sludge that needs to be
wasted.
While the operator has the final control of the waste-
water treatment process, the decisions of the design engi-
neer are very important in establishing the overall treatment
reliability. The settleability and compactability of the bio-
mass largely determines the quality of the effluent. The ab-
sence of good settling and compactability is termed
sludge-bulking. Sludge-bulking reflects the biomass com-
position, wherein a suspended growth that is predomi-
nantly composed of zoogleal-type bacteria will show good
compactability; a MLSS high in filamentous growth will be
bulky, showing poor compactability and settleability. Poor
compactability and settleability lead to poor-quality efflu-
ents because biomass is washed out in the effluent.
Several conditions may lead to promoting filamentous-
type growths, including dissolved oxygen concentration,
F/M ratio, sludge age, and flow regime. The plant design
establishes the flow regime and the ability of the operator
to control dissolved-oxygen levels. Filamentous growth may F IGURE 27.14 Plug-flow and complete mixed regimes. (U.S.
be promoted by either a high or a low F/M ratio. A high EPA 1977)

of the incoming wastewater (BOD and solids—the results Batch Reactor. One modification to the activated-sludge
from these tests will not vary greatly for a strictly domestic process that has been employed for several decades but not
sewage, and variation in test results will generally not be of widely used is the sequential batch reactor. This modifica-
a nature that will require modification to the plant operation was initially marketed as a series of concrete tanks
tion); the settleability test; MLSS, mg solids per liter; sludge connected in series. The precast tanks could be delivered
return rate; and the sludge volume index (SVI ⫽ ml of to the plant site, placed on a suitable foundation, and con-
MLSS per gram of solids ⫽ equal the volume required to nected together with piping. A benefit of this modification
produce one gram of solids after settling 30 minutes). The was that additional tanks or an additional treatment train
settleability test is a visual test giving results in 30 minutes, could be added as additional capacity was needed. A later
whereas the SVI, and other solids testing, requires the com- modification to this design alternative called for the place-
pletion of a laboratory test taking a few hours. The BOD ment of two tanks in parallel.
test requires 5 days for completion. The operator must be For most small community systems, two reactors are suf-
able to interpret the settleability test, as it provides timely ficient. Raw wastewater, following screening and grit re-
operational information, particularly for the small plant op- moval, is split with the use of a valve along the influent
erator. The experienced operator will generally know from line to each of the two reactors. A valve is provided to the
visual observations of the effluent and the settleability test influent line of each reactor that not only provides for flow
how the plant is functioning. Laboratory analysis should be control but also isolation of either unit for maintenance.
based on a 24-hr composite sample. A portable sampler Each reactor moves through four stages to accomplish treat-
should be a part of the operational equipment available at ment: (1) filling (aeration is provided during the filling
all wastewater treatment plants. stage), (2) aeration, (3) settling, and (4) decanting of clar-
ified flow (see Figure 27.16-a). Under normal conditions,
Modifications to the Activated-Sludge Processes the entire cycle is completed in 4 hr (see Figure 27.16-b).
There are several modifications to the activated-sludge pro- Note that the flow is aerated for 2 hr after filling is com-
cess, but only five are considered to be of significance to plete. The aeration period is followed by 2 hr of settling,
small plants. These include plug flow, contact stabilization, and a 2-hr decant period. The process is then repeated. As
complete mix, batch reactor and the oxidation ditch. The shown by Figure 27.16-b, the influent control valves are
oxidation ditch represents a complete-regime. The plug- timed to fill one unit while the other is in the settling and
flow and complete-mix regimes are shown in Figure 27.14. decant mode. Note that the design shown includes a baffle
Figure 27.15 shows a schematic view of an oxidation ditch, that is located to provide two zones in the reactor. The
and the batch reactor is shown in Figure 27.16. With all initial zone is termed a ‘‘pre-react zone,’’ and the remainder
complete-mixed regimes, the effluent has the same com- of the tank is termed the ‘‘main-react zone.’’ The influent
position as the reactor and includes a fraction of the influ- flow to the reactor is mixed with the consolidated biomass
ent that just entered the tank. This does not contribute to providing for rapid uptake of the organic constituents in
poor-quality effluent because of the rapid uptake of the food the pre-react zone. There is no additional feeding of the
supply by the biomass. Influent and effluent locations are biomass in the main-react zone. This is an effective means
relatively unimportant for a complete-mixed system since of promoting the growth of a desired zoogleal biopopula-
the reactor contents are uniform throughout. As noted pre- tion while minimizing the growth of filamentous bacteria.
viously, bioselection is more difficult to control in the com- The pre-react zone is normally 10 to 15% of the total basin
plete-mix regime. Package plants are often designed as a volume. Sludge is wasted from the underflow near the end
‘‘contact stabilization’’ process, as less tankage volume is re- of the decant period. Disinfection facilities must be pro-
quired for this treatment regime. The process involves a vided following the reactor.
short aeration period followed by clarification. The com- The sequence timing for the process, as shown in Figure
pacted, and thus smaller, sludge volume is then aerated for 27.16-c, can be adjusted to accommodate higher inflow
6 or more hours before being recycled back to mix with rates, such as may occur during wet periods (high inflow
the incoming flow. during wet periods should not be a problem with a system
F IGURE 27.15 Schematic of an oxidation-ditch-flow regime. (U.S. EPA 1979)

Closed
SBR #1
Screening
Influent
Grit
Removal
SBR #2
Open
Effluent
a) Two Reactor Design
Flow of
Screened
and
Degritted
Influent
1. Aerate & Filling 2. Settle
Treated
3. Decant Effluent
Waste Sludge
b) Operating Cycle
Settle Decant Air
0 0.5 1 1.5 2 2.5 3 3.5 4

Hours
c) Normal Cycle Operational Sequence for Secondary Treatment
Settle Decant Air On Air Off
Basin 1
Basin 2
0 0.5 1 1.5 2 2.5 3 3.5 4 4.5

Hours
d) Normal Cycle Operational Sequence for Secondary Treatment Plus Nutrient Removal
F IGURE 27.16 Batch reactor.

729
serving a new development). The process is a modified aerated lagoon is not common. Most lagoons are facultative
plug-flow operation. High-level secondary treatment and in terms of biological activity. In the facultative lagoon, the
nitrification can be accomplished. Note that the entire bi- only mixing that occurs is from surface wind action and
ological process and clarification occurs in a single tank. from thermal density currents. Thus, there are two zones
Nitrogen and phosphorus removal can also be accom- in the facultative lagoon. The top 2 ft or so contains algae
plished as a part of the process by control of the aeration growth and is generally supersaturated with oxygen from
process (see Figures 27.16-d). The aerobic phases promote mid-morning until late afternoon. This top layer serves as
nitrification and phosphorus uptake. The air is turned off a cap over the facultative and anaerobic activity occurring
to create an anoxic phase, which accomplishes denitrifica- at the lower depths and in the bottom sludge. Malodorous
tion and phosphorus release. Please note that nitrogen and gases and reduced compounds, such as ammonia and sul-
phosphorus control is covered in more detail in a later sec- fides that are released into solution by the anaerobic activity
tion. in the bottom sludge, are oxidized to such stable com-
The above reactor design, including the decant and aer- pounds as CO2, sulfates and nitrates as they reach the top
ation equipment and controls, is proprietary equipment layer.
marketed by the Sanitaire Corporation. The manufacturer’s When lagoons are operated at northern latitudes, where
catalog should be consulted for more extensive data on dean ice cover will exist for weeks during the winter, the
sign and operation. biological activity will be reduced and the lagoon will be-
While the batch reactor eliminates the need for a sec- come septic throughout its depth. When the spring thaw
ondary clarifier and the associated valving and piping, the comes, the septic gases will be released to the atmosphere
plant design must include facilities for grit, screenings and causing a severe odor problem that may last for several
waste sludge. weeks. A similar condition, though less severe, may occur
Stabilization Lagoons (Ponds). This wastewater stabiliza- where the winter water temperature drops to near freezing
tion process may be considered for serving small commu- for several weeks and decomposition is slowed to where
nities where sufficient land is available for the lagoon organic sludge accumulates under septic conditions. When
system and the required buffer. Buffer requirements will the water temperature raises in the spring, the release of
vary, based on local conditions. The severity of winter con- septic gases may exceed the solubility of the lagoon con-
ditions will largely determine the potential for odor prob- tents, releasing malodorous gases to the atmosphere.
lems and buffer needs. A buffer requirement of up to 500 Most states have regulations for the siting and design of
ft is not uncommon. A 500-ft buffer establishes a plant site lagoon systems. Retention times may vary from 10 to 15
of 5 to 7 acres. The principal advantages of a lagoon system days for the complete aerobic operation in temperate cli-
are the reliability of treatment and the low operational re- mates to more than 120 days for a facultative lagoon located
quirements. at a northern latitude. The engineer should obtain infor-
The two types of lagoon designs that are applicable for mation on design requirements in the state where the la-
small systems are the aerobic and the facultative lagoons. goon will be located. The information in Table 27.9 is
Wastewater treatment can be accomplished in temperate cli- provided as general guideline for lagoons located south of
mates when employing a lagoon system without creating an the 38th parallel of latitude.
environmental nuisance (malodors, etc.) because of the Pond depth is limited to more than 4 ft to discourage
symbiotic conditions maintained between algae growth and bottom-rooted plant growth. The depth should be kept as
bacterial decomposition. In the presence of sunlight and shallow as possible to obtain the benefit of mixing from
with the availability of nutrients that are provided by the wind action at the surface and to limit the facultative zone.
wastewater, the following biological reactions occur. The lagoon side slopes should be uniform and constructed
to the proposed grade. The cells must be water-tight below
Autotrophic reaction: (27.4) the water line. Plastic curtains are suitable for cell division
CO2 ⫹ H2O ⫹ N, P & trace elements* barriers. A loop is formed at the top and bottom of the
⫹ Sunlight ⫽ Algae cells ⫹ O2 sheet plastic. This loop is used to hold the flotation material
at the top of the sheet and a chain at the bottom. The chain
Hetertrophic reaction: (27.5)
rests firmly on the bottom to prevent movement from wind
Organic matter ⫹ O2 ⫹ Bacteria
action. A window is cut in the plastic to permit flow be-
⫽ CO2 ⫹ H2O ⫹ N, P, & trace elements* tween cells.
In an aerobic lagoon, sufficient mixing and aeration must Most of the heterotrophic activity will occur in the first
be provided to keep the solids suspended and to provide cell, with the second and third cells providing polishing
free oxygen throughout the lagoon depth. The completely treatment. The second and third cells, and if the system is
not heavily loaded—all three cells, should develop a cover-
surface of duckweed. This is desirable for the third lagoon,
* There are many elements incorporated into organic matter, but H, O, C, N, and P as suspended algae growth is essentially eliminated beneath
are the five principal elements. the surface growth, producing a better-quality effluent.

TABLE 27.9 General Guidelines for Lagoons South of the 38th Parallel
Pretreatment Screening to remove floatable solids

.....................................................................................................................
Detention time 30–40 days
.....................................................................................................................
Water depth 4–6 feet
.....................................................................................................................
Number of cells 3 in series
50% of volume in first cell
30% of volume in second cell
20% of volume in third cell
.....................................................................................................................
Side slopes 3 horiz. to 1 vert., (3:1)
.....................................................................................................................
Cell bottom Level
.....................................................................................................................
Inlet pipe—outlet at center of first cell to prevent solids buildup
near the side slopes
.....................................................................................................................
Fence to prevent access to lagoons—post notices around fence
of polluted water
.....................................................................................................................
Landscape site, including side slopes for easy mowing
.....................................................................................................................
Lighting—should be sufficient to enable a trespasser to be aware
of the environment.
It is recommended that some mechanical mixing and Air volumes are based on standard pressure and tempera-
aeration be provided for all lagoon operations. There are ture (1 atmosphere pressure and 20⬚C temperature). Blower
several suppliers of excellent floating aerators that provide capacity is rated as ‘‘standard cubic feet per minute’’
mixing with a small impeller and aeration by induction (SCFM). A pound mole of air at standard conditions oc-
along the shaft. These can be low horsepower units located cupies 359 ft3. This volume will contain about 5.76 pounds
to encourage a low level of circular flow in each cell. This of oxygen. Oxygen transfer equipment used in wastewater
minimizes sludge buildup and materially improves treat- treatment gives about 6% to 15% efficiency. This efficiency
ment performance. depends on the type of equipment used, how the air is
Final clarification has become common with lagoon op- applied and the driving force (saturation deficit). Thus,
erations. Clarification is needed to reduce the algae concen- 1000 ft3 of air will supply about 2 lb of oxygen to the
tration in the effluent. Clarifier design is the same as that aeration tank. Applying 2000 ft3 of air per pound of BOD
which is used for extended aeration treatment. It is rec- represents a potential oxygen transfer of 2.6 lb of oxygen
ommended that the surface loading be in the range of 400 at a transfer efficiency of 8%. If the domestic sewage being
to 500 gpd/ft2. Disinfection is also required, with the tablet treated has a BOD5 of 200 mg/l and an ammonia content
chlorinator being acceptable. Liquid chlorine feeders are of 30 mg/l, the daily oxygen demand will be:
also suitable. The use of UV disinfection will eliminate the (200)(8.34)(flow, mgd) ⫽ Carbonaceous demand
need for a chlorine contact-vessel and dechlorination.
(30)(4.6)(8.34)(flow, mgd) ⫽ Nitrogenous demand
Air Requirements
If the flow is 100,000 gpd, the total oxygen demand will
The air requirements for an activated-sludge process in- be 167 lb (carbonaceous demand) ⫹ 115 lb (nitrogenous
clude satisfying the applied BOD demand, the endogenous demand) ⫽ 282 lb/day.
respiration of the biomass demand, the nitrogenous de- Note: mg/l is equivalent to parts per million parts by
mand (nitrogen demand for oxidizing forms present to ni- weight, flow is in mgd and one gallon of water weighs 8.34
trate), and providing adequate mixing. There are several lb.
commonly used rules for estimating the air requirements. For oxidation to nitrate, 4.6 mg/l of oxygen is required
These include: 1 ft3 of air per gallon of sewage; 500 to 900 per mg/l of ammonia.
ft3 of air per lb of BOD applied; and with the extended The nitrogenous demand is 69% of the carbonaceous
aeration process, 2000 to 3000 ft3 per lb of applied BOD. demand in the above example. This is not a trivial per-

centage, and as such, the nitrogenous demand should not sludge-collecting equipment is eliminated with small clari-
be neglected in determining the oxygen demand of a was- fiers by using a hopper bottom. An air lift is used to lift the
tewater. BOD5 is a measure of the carbonaceous oxygen sludge from the hopper to a pipe or trough. The sludge is
demand during a 5-day incubation period at 20⬚C. then returned to the influent of the aeration tank or to
An air supply of 2000 ft3 /lb of BOD will ensure an ox- sludge waste. The sides of the hopper must be inclined 60
ygen transfer of more than 2.5 mg/l, if a reasonably efficient degrees or more to the horizontal so sludge will not accu-
diffuser is used. This should be adequate to meet both the mulate on the hopper sides. Where the liquid depth is 11
carbonaceous and the nitrogenous demands, and adequate ft and a 2-ft2 hopper bottom is provided, the surface di-
mixing of the tank contents (extended-aeration process). mension is limited to 14 ft when the inclined sides are
extended to the liquid surface.
Final Clarification A clarifier having a surface loading of 600 gpd/ft2 and
Secondary treatment is a two-phase process consisting of surface dimension of 14-ft has a daily capacity of 117,600
the adsorption/absorption-stabilization phase and the gpd. The weir loading, where the weir extends along a 14-
solids-separation phase. Final clarifiers are designed to op- ft side, is 8400 gpd/ft. Additional weir length can be in-
timize the solids-separation phase and to produce a clarified cluded in the design to increase the clarifier capacity.
effluent. Solids separation is accomplished by the gravita- Grease and other floating substances are not entirely re-
tional subsidence of the agglomerated sludge particles to moved in the activated-sludge process. Also, a long sludge
the clarifier bottom, where they are removed and recircu- age may foster the growth of scum-forming compounds and
lated back to the influent end of the aeration reactor or organisms. Clarifier design should include scum removal
wasted to a sludge-stabilization reactor. equipment, and the effluent weir should be baffled to pre-
Small clarifiers are generally rectangular with hopper vent overflow of scum into the effluent trough. A second
bottoms. The mixed liquor from the aeration reactor is in- air lift may be provided to lift the scum into a pipe leading
troduced into the clarifier several feet below the surface, to the waste-sludge vessel. Larger clarifiers are generally cir-
generally at mid-depth or lower, and the decant is removed cular and are designed similar to the primary clarifiers
at the surface. The upflow regime is more efficient than an shown in Figure 27.12.
across-the-vessel flow because, with the short-flow path,
minor short-circuiting, such as will occur if the weir is not Disinfection
absolutely level, may cause solids to be carried into the Biological treatment does not eliminate all enteric organ-
effluent before separation occurs. The clarifier generally isms. Therefore, enteric pathogens are assumed to be always
shares a common wall with the aeration reactor in package present. The principal three pathogenic forms found in was-
plant design. Figure 27.17 shows a typical package plant tewater are bacteria, viruses and amoebic cysts. No routine
with the clarifier attached to the aeration tank. direct test is made for pathogens, but tests are performed
As noted for the primary clarifier, the design parameters to determine the presence of the enteric coliform group of
include surface loading, weir loading and depth. The bacteria, which are always present in sewage in great num-
bers. If this group has been eliminated, it is assumed that
the pathogens have been eliminated.
Chlorine Disinfection. Disinfection can be accomplished
by heat, chemicals or radiation. Wastewater disinfection is
usually accomplished by the use of oxidizing chemicals or
by radiation. Chlorine is the most common chemical em-
ployed for disinfection at larger installations. Chlorine is
plentiful, relatively inexpensive and the technology and
equipment required for its use are well-developed. Chlorine
is available as a liquid, a solid and as a gas. Liquified gas
is available in 150 and 2000-lb containers. Chlorine gas is
a very strong oxidizing chemical and very dangerous if not
properly handled. The gas form was used as a war gas in
World War I. In wastewater treatment, the gas is evaporated
off and dissolved in water, with the solution being fed into
the wastewater. The water solution is similar to household
bleach. Household bleach is a 5.25% sodium hypochlorite
solution that is available in plastic containers. Stronger in-
dustrial hypochlorite solutions are available for use at
smaller treatment plants. Chemical feed pumps are used to
meter the hypochlorite solution into the wastewater. Cal-
F IGURE 27.17 Plug-flow-aeration unit followed by hopper cium hypochlorite is available as a tablet or in granular
bottom clarifier. form. The tablet form is fed by means of the tablet chlori-
nator as shown in Figure 27.10. Figure 27.18 shows a typ- reacts with nitrogen compounds such as ammonia to create
ical tank-mounted chlorination feed system. Water flow a ‘‘combined form’’ of chlorine that has disinfection capa-
through the eductor is required to produce a vacuum at the bility. The first reaction forms a monochloramine.
feed controller mounted on the 150-lb chlorine cylinder for
NH2Cl ⫹ H2O
chlorine to be released from the cylinder. NH3 ⫹ HOCl ←→ (27.9)
When chlorine reacts with water, hypochlorous acid or Monochloramine
the hypochlorite ion is formed as shown below. All three There is sufficient ammonia in most wastewater to react
reactions produce the hypochlorite ion, which in the pres- with all the added chlorine. Therefore, only the combined
ence of water will be in equilibrium with the hypochlorous form of chlorine is normally found in wastewater. If enough
acid form. Chlorine gas tends to decrease the pH, whereas chlorine is added, dichloramines and trichloramines (a toxic
the hypochlorites tend to increase the pH of the water. gas) may be formed. This quantity of chlorine would not
However, sewage is normally fairly well-buffered, and the normally be added to sewage.
amount of chlorine added has little effect on the pH. The Disinfection with chlorine is a ‘‘time-concentration’’ pro-
equilibrium between the acid and the ion forms depends cess. Therefore, the chlorine solution must be well mixed
on the pH of the water, with the acid form predominating with the wastewater and a contact period must be provided.
at a pH below 6.3. The acid is the most active disinfecting The combined form is not as strong an oxidizing agent as
form, but no attempt is made to adjust the pH to optimize the free forms. This decrease in effectiveness is overcome
disinfection. by increasing the dosage of chlorine and/or by increasing
Chlorine gas reaction: (27.6) the contact time. Wastewater disinfection requirements are
H2O ⫹ Cl2 ←→ HOCl ⫹ H⫹ ⫹ Cl⫺ usually based on a 30-min contact time with a 3.0 mg/l
total chlorine residual at the end of the contact period. The
Sodium hypochlorite: (27.7) chlorine dosage for secondary wastewater is usually about
HOCl ←→ OCl⫺ ⫹ H⫹ 10 to 12 mg/l to provide the 3.0 mg/l residual. One
Hypochlorous Hypochlorite mg/l is equal to a dosage of 8.34 lbs per 1,000,000 gallons
Acid Ion of wastewater.
Ultraviolet Radiation Disinfection. Figure 27.19 shows a
NaOCl ←→ Na⫹ ⫹ OCl⫺ typical UV disinfection design. Whereas a chemical disin-
Calcium hypochlorite: (27.8) fectant dose is determined by residual concentrations times,
Ca(OCl)2 ←→ OCl⫺ ⫹ H⫹ a contact time (in minutes), UV dose is determined by UV
intensity times exposure time (in seconds). For typical wa-
Chlorine reacts with most any electron donor to form a ter quality, the equipment provides 8 seconds of contact
chloride. The oxidizing chemical reacts with organic matter time in the unit where the UV intensity is greater than 4000
in the wastewater, including bacteria and viruses. It also microwatts per cm2 to give a dose of 32,000 microwats-
F IGURE 27.18 Typical vacuum chlorine feed system.

F IGURE 27.19 UV unit-disinfection unit.
seconds per cm2. A quartz tube protects the UV lamps, with 䡲 Clarification with return sludge
the entire assembly being removable for cleaning.
䡲 Disinfection
Ultraviolet radiation with conventional UV technology is
an effective means of disinfection and is suitable for tertiary 䡲 Sludge wasting
and secondary-quality effluents. UV equipment is designed
to provide sufficient radiation to accomplish disinfection in The hydraulic components, such as all piping, pumping,
a flow-through reactor. This method of disinfection should channels or other flow-carrying items, are designed to pass
be considered the preferred means for use at small treat- two and a half times the plant design capacity. The hydrau-
ment plants. When UV disinfection is used, sampling for lic capacity may be higher if the plant is designed to handle
BOD and bacterial counts should be from the equipment large infiltration and inflow volumes or where the plant is
discharge. If samples are collected at the plant outfall, the subject to higher-than-normal peak flows associated with
effluent will have been reseeded from the film on the efflu- the service area. The aeration reactor is designed based on
ent conduit, and this can lead to very misleading test re- the average daily-design-flow. Clarifiers, contact tanks, etc.
sults. This is particularly true for effluents having an must be designed to treat the peak flows, so as to provide
ammonia residual, as the reseeding will likely include ni- the required loading and/or retention time. Figure 27.20
trifiers leading to nitrification in the BOD bottle. shows a generalized flow diagram for an activated-sludge
treatment plant.
Process Design Screening. The initial screen or comminutor (mechanical
General. While the geometric design, piping and operat- shredding equipment designed to chop up large solids) will
ing procedures may vary, the following unit operations and be similar to the screen section shown in Figure 11.22.
processes are common to all wastewater treatment plants. Screening is provided to remove large particles that are not
amenable to treatment along with the other constituents of
䡲 Screening and/or comminution the wastewater flow. If a comminutor is provided, a bypass
screen is included for use in case of mechanical failure of
䡲 Grit removal (not always practiced in small plants
the comminutor. Screening will remove 1 to 5% of the in-
except in some plants located near a coast where sand
coming BOD.
is a problem)
Flow Measurement. Flow-measurement location may de-
䡲 Flow measurement pend on local or state requirements. An effluent-flow mea-
surement, which is the flow being discharged, is generally
䡲 Lift station
required by the permit conditions, but some engineers and
䡲 Activated-sludge process operators also like to have a record of incoming flow. The
F IGURE 27.20 Typical activated-sludge flow diagram.
designer must use care to insure that no recirculated flow ation tank. The aeration is achieved by passing compressed
is returned back ahead of the influent-flow measuring air through diffusers located approximately 1 ft off the bot-
equipment. Ultrasonic meters that measure the depth tom of the tank. Normally, the diffusers are located across
through a control section are preferred. The flow- the tank bottom in rows transverse to the direction of was-
measurement data is transferred to a totalizer and a chart, tewater flow. This alignment reduces short-circuiting and
with the data being included in the daily records. Figure provides for good mixing of the contents. Table 27.10 pro-
27.21 shows a typical installation of an ultrasonic meter in vides a summary of design criteria for the activated-sludge
a manhole. The Palmer-Bowlus flume is grouted into the process treating domestic sewage.
manhole bench, forming the flow through channel. Aeration is required in order to provide mixing of the
Pumps. Sewage pumps are normally sized to pass two and tank contents, which keeps the biomass in contact with the
a half times the average design flow. Submersible pumps wastewater and allows for the transfer of oxygen to the flow.
are recommended, because at small plants there is generally Oxygen is transferred from the rising bubble surfaces as
only one operator present at the plant, and the design well as from the surface renewal that results from the
should not include any equipment that requires below- pumping action of the rising bubbles. The smaller the bub-
ground maintenance. Solid-state frequency controllers for bles, the greater the surface area of transfer (per unit volume
varying the pump rotational speed to match the pumping of air introduced). Fine or medium-bubble diffusers are rec-
rate to the incoming flow rate should always be considered. ommended because of the more efficient oxygen transfer
This modification will eliminate surging through the plant and because the mixing pattern is superior to that of coarse-
that is normally associated with pumps that cycle on and bubble diffusers. Manufacturers’ literature indicates that
off. Two pumps should always be provided, with each some of the fine-bubble diffusers have a transfer efficiency
pump having a pumping capacity equal to two and a half of 15 to 20%. The aeration equipment should be installed
times the plant design capacity. The pump design and se- in accordance with catalogue data.
lection should always provide the required peak-pumping Compressed air may be provided by either a centrifugal
rate to be available even with the largest pump out of ser- or positive-displacement blower. Small plants usually use
vice. Automatic alternation of the lead pump is needed to the positive-displacement blower because of cost. The pos-
insure that each pump is subject to daily operation. A typ- itive-displacement blower will give satisfactory service, but
ical pump installation is shown in Figure 25.19. the air-pressure vibrations associated with the operation re-
Activated-Sludge Process. The extended aeration process sults in a high noise factor. The noise is exacerbated at
is designed to provide 24 hr of aeration. At plants having higher rotational speed. The engineer should specify a ro-
a capacity of less than 40,000 gpd, one aeration chamber tational speed of not greater than 1160 rpm.
is usually provided. Where only one tank is provided, main- Where the design flow is greater than 40,000 gpd, dual
tenance of all components must be possible without de- aeration tanks should be provided with each having one-
watering the tank. This means that the diffusers must be half the plant design capacity. Conventional blowers will
mounted for removal and replacement from above the water provide air at up to about 8 psi pressure. This is equivalent
surface. Plug-flow tanks are generally long, rectangular to 18.5 ft of water pressure. Oxygen transfer is related to
chambers where there is little longitudinal mixing. The flow the travel distance and size of the air bubble. Aeration tanks
is injected at one end of the tank and moves through the should be about 16 ft deep to obtain the greatest efficiency
tank to the effluent end. The return sludge-flow is mixed from the air-compression operation. However, since most
with the incoming flow at or near the entrance to the aer- small plants are fabricated and painted before shipment to
F IGURE 27.21 Ultrasonic flow meter installation.
the site, highway restrictions limit the height and width of plants are often circular for capacities greater than 50,000
the tanks to 12 ft by 12 ft. This size of tank would have at gpd. The plants are shipped complete and ready for field-
least 1 ft of freeboard, making a 40,000-gallon tank 40 ft assembly. A concrete base is poured in place with the
long. The diffusers would be placed about 1 ft off the tank factory-supplied embedded-section installed. The tank
bottom, giving a 10-foot submergence depth. Plants pro- sections are erected by field-welding or bolting. The circular
viding capacities up to about 50,000 gpd are available as shape is selected for structural strength and to minimize
factory assembled and painted units. Two units will give a piping and pumping of the flow. The clarifier is located at
100,000-gpd design capacity. the center of the unit. The aeration basin, waste-sludge-
Plants having a capacity greater than 100,000 gpd are stabilization basin, and chlorine-contact basin are generally
usually field-erected. Package-fabricated and field-erected located in the annular area outside the clarifier. Air-lift
TABLE 27.10 Summary of Design Criteria for the Activated-Sludge Processes

EXTENDED CONTACT OXIDATION
PARAMETER CONVENTIONAL AERATION STABILIZATION DITCH
F/M (lb/day)/lb MLVSS 0.2–0.4 0.05–0.15 0.2–0.6 0.03–0.10

.....................................................................................................................
Sludge age 5–15 20–30 6–12 30⫹
.....................................................................................................................
MLSS in reactor 1500–3000 3000–5000 1200–3000 3000⫹
.....................................................................................................................
Sludge recycle ratio 0.25–1.0 0.75–1.5 0.25–1.0 0.25–1.5
.....................................................................................................................
Aeration time, hours 4–8, 6 normal 24–36 0.5 24⫹
.....................................................................................................................
Air, SCFM/lb BOD removed 500–1000 3000⫹ 800–1200 N/A
.....................................................................................................................
MLVSS/MLSS 0.6–0.8 0.6–0.7 0.6–0.8 0.6–0.7
Note: all the secondary processes should remove more than 88% of the applied BOD. Regulations require that the BOD of the effluent be less than 30 mg / l. Most
well-operated, secondary treatments routinely produce an effluent having a BOD5 between 10 and 15 mg / l.

pumps are used to transfer flow from one compartment to 27.12-b, must be designed to accommodate available
another. Figure 27.22 shows a typical layout. The design equipment. The sludge-collecting equipment, such as the
shown is a contact-stabilization process where a 30-min drive and access bridge, must be selected from a supplier’s
contact period is provided (aeration of mixed liquor). The catalog. The diameter is determined by the selected surface
mixed liquor is then piped to the clarifier. The clarifier un- loading. It is suggested that a surface loading of 500 to 600
derflow of concentrated sludge is air-lifted to the stabiliza- gpd/ft2 be used. The depth will normally be 7 to 8 ft. The
tion compartment, where it is aerated for 4 to 6 hr before selected equipment will determine the requirements for
being returned to the inlet of the aeration basin where it is installing the inlet piping, effluent weirs, and sludge-
mixed with the incoming flow. The time periods used are collecting equipment. The sludge recycling pumps and pip-
based on plant-design flow. All treatment processes are ing should have a capacity for returning from 25 to 150%
completed within the single unit except for disinfection. of the plant-design capacity. Scum from the clarifier should
Some designs also include a chlorine-contact tank. UV dis- be piped to the sludge-stabilization basin.
infection should always be considered for small plants. The Disinfection. As noted previously, UV radiation should al-
requirement for a contact tank and the need to store and ways be considered as a suitable disinfection means for
handle chlorine are eliminated when UV disinfection is small plants. This selection will eliminate the need for a
used. The sidewall-depth of field-erected tanks will gener- chlorine-contact tank, but more importantly, the need for
ally be about 15 ft. See section on the ‘‘Batch Reactor’’ de- storage and handling of chlorine will be eliminated. The
sign, as a common fabricated plant. potential hazards associated with handling chlorine are a
Clarifier Design. A clarifier having a surface area of less particular concern at the small plant, where only one op-
than about 200 ft2 can be a hopper bottom design, as erator may be present. Another concern with chlorine, at
shown in Figure 27.17. Larger clarifiers, as shown in Figure the small plant, is the need to adjust the chlorine feed rate
F IGURE 27.22 Typical layout for circular tank.

as the flow varies. The flow rate varies significantly at all oxygen requirements ⫽ 2 lb oxygen per lb VSS de-
plants during the 24-hr diurnal period, but the percentage stroyed
variation is greater for the small plant. Serious overdosing
Lb of solids destroyed per day ⫽ 292 per million gal-
of chlorine will occur if equipment is not provided to adjust
lons of sewage treated
the feed rate automatically as the flow rate varies.
There is a minor potential hazard from UV light expo- Lb oxygen to be transferred per day ⫽ (2)(292) ⫽ 584
sure to the eyes if precaution is not exercised, but a trained At 10% transfer efficiency—5840 lb oxygen to be sup-
operator should not subject himself to this hazard. The en- plied
gineer should select proven equipment that does not re-
quire major disassembly for cleaning. Grease and slime Air is 20% oxygen; therefore, air requirements ⫽
accumulate on the tubes covering the lamps, reducing the 5840/0.20 ⫽ 29,200 lb/day
UV light transmission. A strong phosphate detergent is re- One lb mole of air ⫽ 28.8 lb; air requirement is
quired for tube cleaning. 29,200/28.8 ⫽ 1014 moles
Waste-Sludge (Biosolids) Stabilization. Some local au-
thorities may permit sludge from an extended-aeration pro- One lb mole ⫽ 359 ft3, air volume ⫽ (1014)(359) ⫽
cess to be disposed on land without additional stabilization. 364,026 ft3 /day ⫽ 253 SCFM/million gallons of sew-
Normally, all waste-activated sludge is subjected to addi- age treated
tional stabilization by aerobic digestion. Stabilized sludge is Air requirement based on mixing ⫽ 25 SCFM/1000 ft3
a humus material that has a musty odor. It also may contain
pathogens. When applied to land, soil texture and mois- Digester volume ⫽ 20-day retention at 4068 gpd ⫽
ture-retaining capacity are improved. The sludge is also a 81,360 gal ⫽ 10,877 ft3
low-level source of nutrients. The primary operation cost of Air supply for mixing ⫽ (10,877/1000)(25) ⫽ 272
aerobic digestion is the power costs for aeration and mixing. SCFM per million gallons of sewage treated
Self-cleaning, medium-bubble diffusers are suitable for use
in aerobic digesters. The air requirement for mixing exceeds the oxygen-
Stabilization provides a reduction in the volatile sus- transfer needs; therefore, the mixing requirements should
pended solids (VSS) and improves sludge compactability. be supplied. It should be noted that some diffuser designs
The digester contents are consolidated by turning off the are more than 10% efficient.
air and allowing the sludge to settle for 1 to 1.5 hr, after Stabilized sludge (biosolids) is a valuable resource that
which the supernatant is decanted from the digester and should be recycled back to the land where possible. Hauling
returned to the aeration tank influent. The daily volume of and spreading of liquid sludge is the most convenient
sludge to be wasted from the clarifier return-sludge piping means of disposal where this option is available. Additional
will depend on the solids content of the sludge. At a sludge on-site storage volume may be needed at locations where
yield of 0.5 and a plant influent BOD of 200 mg/l, the there are periods when the spreading equipment can not
solids content of the waste sludge will be 834 lb/million go onto the land. When sludge is applied to land, BOD,
gallons of sewage flow. If the solids can be transferred from nitrogen, and phosphorus may be carried to surface streams
the bottom of the clarifier as 1.5% solids (1.5 lb solids per by runoff during and following rainfall.
100 lbs of sludge), the daily volume wasted to the digester When it is not feasible to spread the liquid sludge, on-
will be (834/0.015)/8.34 lb/gal ⫽ 6667 gallons. If 50% of site air-drying beds can be provided. Dried sludge is usually
the VSS are destroyed in the stabilization process, the solids taken to the local landfill for disposal. Sludge from domestic
sewage should not contain any constituents that would
destroyed per million gallons of sewage flow will be (834
make the sludge unsuitable for land application. The design
lb/day) (0.7 VSS) (0.5 destroyed) ⫽ 292 lb/day. The solids
parameters for aerobic digestion at domestic sewage treat-
remaining for disposal ⫽ 834 ⫺ 292 ⫽ 542 lb/day. The
ment plants are summarized in Table 27.11. Design para-
stabilized solids should consolidate to a 2 to 3% sludge. At
2.5% solids, the accumulation rate will be ⫽ (542 lb/
0.025)/8.34 lb/gal ⫽ 2599 gallons per day, for a 39% re-
duction in volume during the stabilization process ((6667 T A B L E 2 7 . 1 1 Design Parameter for
gal ⫺ 2599 gal)/6667 ⫽ 0.61 or 61% accumulation rate).
Aerobic Digestion
The supernatant return will be approximately 6667 gal ⫺
2599 gal ⫽ 4068 gal. The average sludge-accumulation rate Hydraulic retention period, days 15–20
will be (6667 ⫹ 2599)/2 ⫽ 4068 gal/day. The air supply .....................................................
must provide adequate mixing of the digester contents and Oxygen requirements, lb/lb VSS destroyed 2
.....................................................
transfer the oxygen needed for aerobic stabilization.
Air requirements for mixing, SCFM/1000 ft3 20–30
Air requirements based on oxygen transfer:

meters will vary, depending on local winter temperatures. Well-designed and operated secondary plants will rou-
The engineer should be familiar with local requirements. tinely produce effluents having a BOD and suspended solids
The engineer may design any size of plant to be con- less than 10 mg/l. However, small plants often do not re-
structed of reinforced concrete in place. The size where the ceive the level of process operation and facility maintenance
cast-in-place plant becomes economical or preferred will found at larger plants, and excursions even higher than 30
depend on local conditions. Some owners will prefer a mg/l may be common. Filtration should always be provided
‘‘constructed-in-place’’ plant for a 30,000-gpd capacity, where permit effluent limits for BOD and suspended solids
while others may prefer the lower first cost of a steel plant are less than 20 mg/l. This additional polishing operation
for even much larger treatment capacities. Either selection should be evaluated for plants having effluent limits be-
should give satisfactory service. However, the engineer is tween 20 and 30 mg/l. Quality design and operation are
able to incorporate a more tailored design into the cast-in- required to meet an effluent limit of 20 mg/l on a contin-
place plant. The ‘‘constructed-in-place’’ concrete plant is not uing basis with secondary treatment alone. Chemical co-
economical for installations having a capacity less than a agulation, flocculation and sedimentation followed by
few hundred thousand gallons per day. filtration should be considered where the plant effluent
The flow regime and the type of equipment included in BOD and suspended solids must be reduced to below a 7
the design is predetermined for the pre-engineered package to 10 mg/l range.
plant. However, the engineer has a variety of configurations Down-flow, granular-media filtration of the type em-
to choose from among the designs offered by the various ployed for potable-water filtration is the most common
suppliers. Generally, the package plant will not only cost technology used for wastewater polishing. This technology
less than the tailored design, but it can be erected in less is well-developed and will give reliable performance (the
time. Additionally, steel tanks have a shorter life and require engineer should be sure to specify a proven technology).
more maintenance than concrete tanks. Down-flow, granular-media filters are of two broad types:
Several options for the design of a secondary-treatment deep bed and shallow bed. Both types are classified as rapid
plant are presented herein. The batch reactor is one viable sand filters. Conventional deep-bed filters contain 2 to 4 ft
choice that is well-proven over years of use. Many other of filtering media supported by 1 to 1.5 ft of gravel for a
options are also available to the engineer, and more will total bed depth of between 3 and 5 ft. Some package units
certainly be developed. The National Small Flow Clearing-
employ an underdrain and backwash manifold that do not
house is a good source of current information (see Table
require the gravel support. The filtering media may be silica
27.7).
sand or a combination of silica sand and anthracite coal
TERTIARY TREATMENT (dual media), or a combination of sand, anthracite coal and
a more dense material such as garnet (tri media).
Three common forms of wastewater treatment beyond the
Important characteristics of the filtering media include
normal secondary level include: filtration to reduce the
the porosity of the bed and the size of the voids between
BOD and suspended solids concentration; nitrification to
the media particles. Therefore, to control the media particle
reduce the nitrogenous oxygen demand; and, nitrogen and/
size and the uniformity of the particles is desirable. The
or phosphorus removal to reduce the level of these nutri-
more uniform the particle size, the greater the bed porosity.
ents in the effluent. The batch reactor available from the
Sanitaire Corporation and shown in Figure 27.16 has been Since it is not possible to achieve a condition where every
modified to accomplish both nitrogen and phosphoric re- particle is the same size, it would be desirable to have the
moval. Other equipment suppliers also offer equipment larger particles at the top and the smaller particles at the
suitable for use in treating small flows. bottom of the filter bed. However, sand filters are cleaned
by backwashing, where water is distributed uniformly over
Filtration the filter bottom at a sufficient flow rate to expand the bed
The BOD of a secondary effluent is composed of both dis- and provide adequate agitation and scouring to remove the
solved and suspended matter. Direct filtration will reduce solids that were filtered out of the wastewater from the bed.
the suspended-matter concentration but will have little ef- When the bed is expanded, the filter media is suspended
fect on the dissolved BOD. The ratio of suspended solids by the upflowing water. This expansion and suspension re-
to BOD for a good-quality, secondary effluent will generally sult in a vertical stratification of particles based on particle
be between 1.5 and 2.0. Most of the BOD will be associated size where all the particles have the same specific gravity.
with the suspended solids. Normal granular media filtration The particles are pulled down by gravity and are carried up
will reduce the suspended solids to a 4 to 6 mg/l range by the rising water in relation to the surface area of the
and the BOD to between 5 and 8 mg/l. Chemical coagu- particle. The smaller particle has a greater surface area per
lation, flocculation and sedimentation followed by filtration unit volume. Thus, the backwashing of the filter stratifies
can reduce the suspended solids to about 2 mg/l and the the filter media according to particle size, with the smaller
BOD to a 3 to 5 mg/l range. at the top and the largest at the bottom. This is opposite

to what is desired because the larger voids are at the bottom scouring needed to remove the captured solids. Backwash
of the bed and not at the top. rates are between 15 and 20 gpm/ft2. If the backwash water
The dual-media bed partly overcomes the problem of is not applied uniformly over the filter bottom, the media
reverse stratification. By using two media materials having will be deposited in the areas where the flow is the lowest
different specific gravity and selecting the proper particle and the unexpanded areas will become compacted and in-
size, the media having the smaller specific gravity will strat- effective for filtration. Inadequate application of backwash
ify at the top of the bed, and the more dense media will flow has been found to be a shortcoming with some pack-
form the bottom layer. However, each of the two media will age filters. If the bed expansion is insufficient to provide
still be stratified in reverse to what is desired. Dual-media the necessary scour, the bed will not be cleaned and it will
beds are composed of anthracite coal, which has a specific become necessary to backwash the filter again in a short
gravity of about 1.5, and silica sand, which has a specific time. The turbulence created by the high upflow rate of the
gravity of 2.65. The anthracite can have a larger particle backwash water scours the organic solids from the more
size, providing larger pores, which increases the bed’s ca- dense silica sand and carries the organics from the filter.
pacity for removing solids. Tri-media beds include a third It is becoming more common to incorporate compressed
media such as garnet, which has a specific gravity of about air as a part of the backwash program. Air will provide
4.0. Characteristics of filter media are shown in Table greater agitation and scouring, improving the removal of
27.12. solids while reducing the water requirements and the back-
The dual-media, deep-bed filter is commonly used for wash period. Air should always be considered as a part of
direct filtration of wastewater. The anthracite, having a the backwash procedure. Air is applied prior to the start of
larger particle size and hence larger voids, will provide the water flow and continued through part of the period of
greater solids storage. The sand of smaller size forms a bar- water backwashing. However, the application of air is dis-
rier that retards breakthrough of solids with the filter efflu- continued before completion of the backwash cycle so the
ent. Filters are normally sized for a filtration rate of between bed will properly stratify with the water flow. Air is used
2 and 5 gpm/ft2. A filter sized to operate at 2.5 gpm/ft2 at both as a surface wash to break up the media surface and
average design flow should not exceed a 5.0 gpm /ft2 rate as a part of the flow to the bottom of the media.
during peak flow periods. A filter designed for an average Figure 27.23 shows an elevation-view of a deep-bed, tri-
filtering rate of 2.5 gpm/ft2 requires a surface area of 28 ft2 media filter of a type that is available as a package unit.
per 100,000 gpd capacity. Note that there is 5 ft of water over the media during the
During the filtering operation, solids are removed from filtering period and 27 in. from the top of the bed to the
the flow and stored within the filter bed. These solids are top of the backwash trough. This 27 in. is needed to allow
washed deeper into the bed as filtering continues and will for the bed expansion during backwash so as to prevent
eventually begin to appear in the filter effluent. Filters are media loss. Design provisions should be made for a mini-
mum of 15 min of backwash. A 28 ft2-filter washed at 20
backwashed to remove the collected solids when the head
gpm/ft2 for 15 min will require 8400 gallons of backwash
loss through the filter has reached a predetermined value
water (about 8–10% of the filtered water).
(normally 8 ft for a conventional filter) or when there is a
A conventional deep-bed filtration operation requires the
breakthrough of solids within the filter effluent. A run time
following:
between backwashing, when filtering a secondary effluent
having suspended solids of 20 mg/l, will normally be about 䡲 A source of previously-filtered backwash water is
one day. The most important design aspect of a filter is the needed. The chlorine-contact tank is a good source of
backwashing operation. It is necessary that the backwash backwash water because the chlorine residual in the
water be applied uniformly over the entire filter bottom at water will retard the growth of slimes on the filter me-
a rate that will produce the required bed expansion and dia. The design should also provide for adding chlo-
TABLE 27.12 Filter Media Characteristics

SPECIFIC EFFECTIVE UNIFORMITY
MEDIA GRAVITY SIZE COEFFICIENT
Silica sand 2.65 0.50–0.55 mm ⬍1.65

.....................................................................................................................
Anthracite coal 1.50 1.0–1.2 mm ⬍1.65
.....................................................................................................................
Garnet 4.0 0.2–0.3 mm ⬍1.65

moved from the filter being returned to the secondary clar-

ifier influent at a flow rate that will not overload the
operation.
At plants that are subject to frequent periods of poor
secondary effluents, a polymer can be added to the clarifier
influent to improve solids capture in the clarifier. A high
solids loading to the filter will shorten filter run time be-
tween backwashing. This period can be shortened to where
sufficient water cannot be filtered to supply the backwash
needs. The addition of a polymer to the clarifier influent
will not increase sludge volume while materially improving
solids capture. However, polymers should not be added on
a continuous basis, but only on the infrequent occasion
when needed because of a biological process upset. Polymer
addition to the filter influent will not be very effective be-
cause of the low solids concentration in the flow. The fil-
tration process will be improved by adding a flow
equalization basin between the secondary clarifier and the
filter. This additional basin should be sized to equalize the
diurnal flow variation that will provide a means of provid-
ing a constant filtration rate.
Another type of filter used in wastewater treatment is
the ‘‘traveling bridge filter.’’ This is a shallow-bed filter, hav-
ing a media depth of 12 to 15 in. and generally a single
filter media. The filter bed is divided into cells. A schematic
view of a traveling bridge filter is shown in Figure 27.24.
The traveling bridge carries a backwash pump and hood
along the filter. As the hood passes over a cell formed be-
tween two adjacent partition plates, the pump on the bridge
draws water from a plenum underdrain up through the
sand, where it is discharged into a trough located along a
wall on one side of the filter. The pump and hood are de-
signed to provide the proper upflow rate uniformly over
the area being backwashed. Since only a single cell is being
F IGURE 2 7 . 2 3 Section view of a tri-media filter. Reproduced
with permission from Wheelabrator Engineered Systems, Sturbridge, Mass. backwashed at a time, the backwash flow rate is relatively
low, and the flow can usually be returned directly to the
influent of the secondary clarifier. Since the water for back-
rine ahead of the filter as needed for this purpose. If a washing comes from the underflow plenum, the cells not
chlorine-contact tank supply is not available, a separate being backwashed supply the backwash water for the cell
chamber must be provided to store backwash water. being cleaned. The operation requirements of the traveling
The volume stored should be sufficient to wash at least bridge filter make it an option that should be considered
two filters. for a small plant. Filtration rates are similar to those for the
deep-bed filter. Bed-load capacity is less than that expected
䡲 A receiving tank for the backwash water is needed from the deep-bed filter because of the shallow depth and
because the high backwash flow rate cannot be piped
the use of a single media. Therefore, the frequency of cell
directly back to the secondary clarifier or other points
backwashing is shortened.
in the treatment train. The backwash water should
There are several purveyors of well-developed package
only need clarification before filtering and disinfection.
filters, both dual and tri-media deep beds and the traveling
It is not necessary to return this hydraulic load to the
bridge filter. The engineer is well advised to consider a
headworks of the plant.
package-unit design for small plants. The package units are
The backwash flow can be piped to a holding tank where generally piped and valved to provide automatic operation.
the solids will settle to the bottom of the tank, permitting Design and on-site construction of filter units is not eco-
the decanting of most of the flow directly back to the filter nomical for small plants. Catalog data for the selected unit
influent, with the tank underflow containing the solids re- should be used for incorporating the unit(s) into the overall

F IGURE 27.24 Sectional view of a travelling bridge filter. Reprinted with permission from Davis, Water & Waste Industries, Inc., Thomasville,
Ga.
design. Filters should be housed in a building at locations Nitrogen and Phosphorus Control
where freezing weather occurs in the winter months. As noted earlier in this chapter, nitrogen and phosphorus
A pilot study would normally be conducted at larger are generally the growth-limiting nutrients in aquatic en-
plants to obtain design data, but studies of this type are not vironments. Phosphorus is most often the growth-limiting
feasible for small plants. The engineer should be conser- element in fresh water and nitrogen in marine environ-
vative in a filter design for a small plant. When the effluent ments. Secondary effluents from plants treating domestic
limits are less than about 8 mg/l for BOD and suspended sewage will normally contain 20 to 40 mg/l of total nitro-
solids, chemical coagulation, flocculation and sedimenta- gen and 8 to 15 mg/l of total phosphorus. Normally, the
tion should preceed filtration. The process chain is the same total nitrogen will be primarily in the ammonia or nitrate
as used for water treatment, and package units providing form and the phosphorus will be present as phosphate.
the entire operation from chemical addition through filtra- These forms are readily available to aquatic flora and can
tion in a single unit are available and should be used at contribute to the eutrophication of lakes, ponds and estu-
small plants. A backwash water supply and receiving tank aries.
are needed to complete the operation. In addition, provi- Nitrogen Oxidation and Removal. Ammonia is an inter-
sions must be included in the design for handling the mediate compound, which results from the decomposition
sludge generated. of protein. Mammals, including man, eliminate most excess
Filtration is not a means of correcting for poor operation nitrogen from the body via the urinary pathway in the form
of secondary treatment. If poor-quality secondary effluent of urea. Urea is rapidly hydrolyzed after leaving the body,
is applied to a filter, the filtering system will fail. releasing ammonia. Ammonia is common to all domestic

wastewater. Ammonia is the reduced form of inorganic ni- acceptor. The nitrates are not reduced back to ammonia but
trogen in surface waters. Ammonia should be oxidized to to nitrogen gas, as shown by the following generalized re-
the nitrate form because in its reduced form it places an action.
oxygen demand on the receiving water. Additionally, am-
monia is toxic to many forms of aquatic life, even in low Organic Carbon Facultative Heterotrophs
NO3 ⫹ ————→ N (gas) (27.11)
concentrations. The activated-sludge biomass generally con- Food Source Anoxic Conditions 2
tains both heterotrophic and autotrophic bacteria. The ni- ⫹ CO2
trifying autotrophs absorb ammonia and oxidize it to
nitrates according to the following sequential reactions. There are several biological processes for accomplishing
the above reaction as a part of an activated-sludge process.
Ammonia ⫹ 1.5 Oxygen → Nitrite, Nitrite (27.10) The batch reactor is one example. Older designs use a sep-
⫹ 0.5 Oxygen → Nitrate NH4 arate operation for denitrification. An energy source is re-
⫹ 1.5 O2 ———→ NO2 quired for the bacteria. The organic carbon can be supplied
Nitrosomonas sp. by raw sewage. The contact vessel is mechanically stirred
⫹ 0.5 O2 ———→ NO3 to keep the biomass in suspension and in contact with the
Nitrobacter sp.
food source. The mixing releases the nitrogen gas to the
Two species of autotrophic bacteria are needed to com- atmosphere. When a separate operation is selected, the ad-
plete the oxidation process. Both species are more sensitive ditional piping and tankage requirements, together with ad-
to temperature and pH than the heterotrophic species. Ni- ditional operational requirements, may represent a major
trobacter is more sensitive to low temperature than nitro- burden for small treatment plants.
somonas. It is not uncommon during winter months to find Phosphorus Removal. Phosphorus can readily be re-
relatively high concentrations of nitrites in a secondary ef- moved from wastewater by chemical precipitation, using
fluent. Nitrites are subject to chemical oxidation and will alum, sodium aluminate, lime or iron salts. Alum is the
express a high chlorine demand when present in the efflu- most common physical-chemical process employed for
ent. When ammonia is expressed as nitrogen, 4.6 mg/l of phosphorus removal in wastewater treatment. When alu-
oxygen is required to oxidize 1 mg/l of ammonia (64/14). minum is used, phosphates are precipitated as aluminum
Thus, an ammonia concentration of 25 mg/l requires 115 phosphate according to the following reaction.
mg/l of oxygen to complete the oxidation. The engineer
Al2(SO4)⫺
3
14
H2O ⫹ 2PO4⫺3 → 2 AIPO4 (27.12)
must provide sufficient oxygen to meet the nitrogenous de-
mand. ⫹ 3SO⫺4
3
⫹ 14 H2O
Heterotrophic bacteria, which use carbon-based organic
It is generally necessary to add 15 to 20 pounds of alum
material for food and growth, have a high cell-yield and
per pound of phosphorus present. Actual chemical require-
undergo rapid growth when fed. In contrast, the auto-
ments should be determined by laboratory tests on the was-
trophic bacteria use inorganic substances for growth and,
tewater to be treated. Some package plants incorporate
therefore, have a much slower growth rate and cell-yield.
biological phosphorus removal capability (see section on
In conventional activated sludge, the autotrophs are main-
the batch reactor). At plants where an anoxic condition is
tained by carrying a long sludge age. Even under these con-
created for nitrate reduction, the phosphorus is precipitated
ditions, the autotrophs may be overgrown and unable to
as elemental phosphorus. Thus, the anoxic process is effec-
compete in the environment. The autotrophs prefer surfaces
tive in removing both nitrogen and phosphorus. Several
for growth, and nitrification can be improved by providing
equipment suppliers offer package units that can be oper-
surfaces for maintaining the population. The surfaces
ated to remove both phosphoric and nitrogen as a part of
should be located after the uptake phase for the hetero-
secondary treatment.
trophs has occurred. Plastic plates may be placed vertically
At plants employing primary treatment, alum or iron
near the effluent end of the aeration tank to provide growth
salts may be added ahead of the primary clarifier to remove
surface for the nitrifiers. Air must be supplied to the area
phosphorus as a part of the primary-sludge volume.
for mixing and to provide an oxygen supply. It may be
impossible to achieve nitrification in small plants during
winter months if the liquid temperature drops below 15⬚C. REFERENCES
It is not uncommon for the NPDES permit not to require Davis Water and Wastes Industry, Municipal and Industrial Water
nitrification during winter months for plants located in and Wastewater, Product Catalog, Davis Water and Wastes Indus-
northern latitudes. tries, 1828 Metcalf Avenue, Thomasville, Ga., 31792.
The most suitable means of nitrogen removal is a bio- Metcalf & Eddy, Inc., Wastewater Engineering, McGraw-Hill, New
logical process called denitrification. In an anoxic environ- York, 1972.
ment (absence of free oxygen, but not anaerobic where Multi-Flow Waste Treatment Systems, Engineering and Technical
reduction reactions occur), the facultative biomass will use Manual, Multi-Flo Waste Treatment Systems, Inc., 2324 East
oxygen from compounds such as nitrates as an electron River Road, Dayton, Ohio, 45439.

Prince William County, Sewer Standards and Design Manual, U.S. Environmental Protection Agency, Design Manual—On-Site
Prince William County Service Authority, P.O. Box 2266, Wood- Wastewater Treatment and Disposal Systems, U.S. Environmental
bridge, Va., 22193-0266. Protection Agency, Washington, D.C., 1980.
Sanitaire Water Pollution Corporation, Sewage Treatment Equip- U.S. Environmental Protection Agency, Innovative and Alternative
ment, Catalog, Sanitaire Water Pollution Control Corporation, Technology Assessment Manual, U.S. Environmental Protection
P.O. Box 744, Milwaukee, Wisc., 53201. Agency, Washington, D.C., 1980.
Sawyer, Clair N., and Perry L. McCarty, Chemistry For Sanitary
Viessman, Warren, Jr., and Mark J. Hammer, Water Supply and
Engineers, McGraw-Hill, New York, 1967.
Pollution Control, International Textbook Company, Scranton, Pa.,
Steel, Ernest W., Water Supply and Sewerage, McGraw-Hill, New
1971.
York, 1960.
Virginia Department of Health, Alternative Discharging Sewage
Trojan Technologies, UV Disinfection System, Catalog., Trojan
Technologies, Inc., 845 Consortium Court, London, Ontario, Treatment System Regulations for Individual Single-Family Dwellings,
Canada, N6E 2S8. Bureau of Sewage and Water Services, Virginia Department of
U.S. Environmental Protection Agency, Wastewater Treatment Fa- Health, Richmond, Va.
cilities For Sewered Small Communities, U.S. Environmental Pro- Worthington Group, Public Works Manual, McGraw-Edison Com-
tection Agency, Washington, D.C., 1977. pany, 5310 Taneytown Pike, Taneytown, M., 21787.

CHAPTER 28
WATER SUPPLY AND

TREATMENT
Gary L. Nickerson, P.E.
SOURCE AND TREATMENT CONSIDERATIONS DRINKING WATER REGULATIONS

The consulting engineer serving the private land developer A residential or commercial land development site can be
client often need only coordinate with an established water supplied drinking water from a public or private water util-
utility company to provide potable-water service for a po- ity, or from a supply system designed only for that partic-
tential land development project. In that instance, he is ular development. The water source can be surface water
required to design the distribution system for the (lake, river, or stream), ground water (wells, springs), or
development to the guidelines and standards of the utility. even ground water under the influence of surface water.
The previous chapter largely describes the planning and Note for the purposes of treatment, the regulatory agencies
design of water-distribution systems. This chapter focuses consider ground water under the influence of surface water
on those developments that are to be located where there to be surface water. In addition, all state agencies admin-
is no established potable-water system. The consultant must istering the Safe Drinking Water Act (SDWA) require dis-
then determine how to establish sufficient water sources, charge permits for wastestream decant returned to surface
implement required treatment facilities, and engineer the waters. These state agencies can provide detailed guidance
distribution system. The principles of water supply and on their requirements.
treatment, as discussed in this chapter, apply to large and
small systems. However, this discussion will be slanted The Safe Drinking Water Act
more toward small systems, as the majority of land devel- The Safe Drinking Water Act (SDWA) is the primary leg-
opment projects serve less than 3000 people or have fewer islation affecting public drinking-water utilities in the
than 1000 connections (the U.S. EPA definition of a small United States. It was passed into legislation in 1974 and
system). was re-authorized and modified by Congress in 1986 and
In evaluating available water-supply sources, the primary 1996. The regulations issued by the U.S. EPA in response
objective is to obtain a source (or sources) that has accept- to this legislation continually evolve to address public
able sustainable quantity, the best available quality, and that health and water-quality issues. The primary role of the
is conveniently and economically located near the antici- federal government under the SDWA is to develop national
pated point of use. Most small, independent water-supply drinking water regulations to protect public health. The
systems in the United States use ground water as their states have the responsibility of implementing and enforcing
source. Typically, ground-water sources are less difficult and regulations for the public water systems under their juris-
costly to develop and operate than surface-water sources. dictions. State and local regulatory agencies in some in-
However, discussion of surface-water sources is included in stances have water-quality standards that are more stringent
this chapter for those instances where suitable ground water than those of the SDWA. The private consultant must de-
is not available. velop water-supply designs that not only adhere to the
745
WATER SUPPLY AND TREATMENT
SDWA regulations but also those of the state and local ju- Enhanced Surface Water Treatment Rule (ESWTR). The
risdictions. ESWTR will set more rigorous standards for removal
A community public-water supply, as defined under the or inactivation of pathogens in drinking water, particu-
SDWA, is one that serves a year-round residential popula- larly Cryptosporidium. Continuous monitoring of filter
tion of 25 or more persons (or 15 residential units). This effluent, as well as lower turbidity levels, will probably
definition is important in that SDWA requirements are be required. This rule deals with severe short duration
geared toward community public-water supply systems that (acute) health risks, since the effects of pathogens are
serve a population of people that regularly drink the water immediate.
over an extended period. The SDWA requires that com-
Disinfectants/Disinfection Byproducts Rule
munity public water systems be periodically sampled and
(D/ DBPR). This rule is designed to protect the public
tested for maximum contaminate limits (MCL) and for bac-
against the long-term, or chronic, effects of exposure to
teriological, organic, and inorganic contaminates. disinfection by-products, especially those created by
the use of chlorine for disinfection. This rule will
SDWA Rules probably lower the allowable limits for trihalomethanes
The 1974 SDWA established interim drinking-water stan- and set limits for other disinfection by-products.
dards that have been revised and finalized. After the 1986 Ground Water Disinfection Rule. It is likely that this rule
re-authorization of the SDWA, revisions and additions have will require all public community ground water sys-
taken the form of rules. There are a number of rules that tems to be disinfected.
have been finalized and are now part of the requirements,
as follows: Arsenic Rule. If enacted, this rule will set a lower allow-
able limit for arsenic in community public water sup-
Total coliform. This rule revises the basic bacteriological ply systems. The existing MCL for this well-known
monitoring requirements by providing instructions on poison and carcinogen is 50 mg/l, originally estab-
provisions that must be taken after a positive test re- lished in 1975. The proposed MCL is 10 mg/l which
sult. It also gives instructions for determining when the will place many ground water and some surface water
bacteriological monitoring MCL is exceeded. systems in non-compliance without appropriate modifi-
cations.
Surface water treatment. This rule requires that water
from surface sources receive filtration treatment. Addi- Radionuclides and radon. The proposed radionuclides
tionally, it establishes disinfectant concentration time rule will revise the radium standards for drinking wa-
(CT) calculation requirements to ensure deactivation of ter and add a regulation addressing uranium. There is
Giardia, as well as other pathogens, through sufficient a proposed separate rule to address radon in water. Ra-
contact time. State regulatory primacy agencies (state don’s principal danger to water consumers is from in-
agencies regulating on behalf of the EPA) can provide halation when this radioactive becomes airborne (e.g.,
details of the requirements. in a bathroom shower). The primary danger of inhala-
tion of radon gas is the development of lung cancer,
Phase I, II, V chemical monitoring. Many organic and in- while ingestion of uranium and radium can lead to
organic chemicals are included on the list of required bone and digestive-tract cancer.
maximum contaminate limits (MCL) by these rules.
Many pesticides, herbicides, and volatile organic chem- GROUND WATER SUPPLY
icals are included in the MCL monitoring list. Within a development, it is not uncommon for the water
Lead and copper. This rule is meant to protect the water supply of an individual homeowner to come from a well,
consumer from corrosive water supplies that leach lead nor is it uncommon for a single well to serve many houses.
and copper from plumbing fixtures. A number of re- Using a ground water supply presents problems different
quired samples, based on population served, are taken from those of a conventional public system, the basic prob-
from residential fixtures that have been turned off for lems being whether sufficient water is available and whether
at least 6 hours. Action to reduce the corrosivity of the the ground water is of potable standards. Additionally, once
water is required if 10% of the samples have copper the ground water source is identified as usable, measures
and lead content of 1.3 mg/l and 15 micrograms per must be exercised to keep the source from becoming pol-
liter (␮g/l), respectively. luted.
While ground water is available nearly everywhere, the
difficulty for recovering ground water, because of the depth
Proposed SWDA Rules of the water table, may prove costly. In a development
The previously discussed SDWA rules have become part of where the same aquifer potentially will be used by numer-
the law, but there are other rules that are under study or ous households, assurances must exist that there is suffi-
in the process of being finalized, as follows: cient water yield for everyone tapped into it and that

28 䡲 WATER SUPPLY AND TREATMENT 747
natural replenishment of the aquifer is compatible with the the water table near the well. Gravity then causes ground
amount used. water to flow towards the well. Replenishment results from
the surface waters in the overlying area that infiltrate deep
Ground Water enough into the unsaturated zone and eventually end up in
Ground water exists in two major subsurface zones, the the aquifer through lateral movement.
boundary of which is the water table. Above the water table, Ground water in a confined aquifer is bounded between
the pore spaces of the aeration (or unsaturated) zone are two layers of impermeable material. Because of such con-
filled with air and water. The high fluctuation in moisture finement, the overburden and atmospheric pressure creates
content in this zone is affected by such things as tempera- a pressure head that causes water in a well, placed in that
ture, humidity, precipitation, vegetation, and the intrinsic aquifer, to rise above its upper boundary. Occasionally,
properties of the porous medium. Below the aeration zone when a well penetrates the confined aquifer, the pressure
(and the water table) lies the saturation zone. Here, the pore head is enough to cause the water to rise above the ground
spaces contain only water, which is available for consump- surface. This is known as an artesian well. It is important
tive use. Although the shape of the water table generally to note that the replenishment (recharge) area for a con-
follows the ground surface, its depth fluctuates seasonally fined aquifer is not the overlying surface, because of the
and is affected in part by climate and geologic conditions. impermeable upper layer. The rate of ground water move-
An aquifer is a water-bearing geologic formation capable ment is highly variable and can range from several feet per
of storing, transmitting, and providing fresh water in usable year to several feet per day, depending on the soil and rock
quantities. In order to do this, the geologic formation must characteristics. This movement results from the combined
have interconnecting pores and open spaces of sufficient effects of gravitational forces and the hydraulic gradient.
size to allow the movement of water. The open space within The hydraulic gradient is the head loss per unit length of
the aquifer, occupied by ground water, may only consist of flow path. Darcy’s equation states that the velocity of water
small interstices between loose grains or may include large through a porous medium is proportional to the hydraulic
geologic cavities. As shown in Figure 28.1, there are two gradient, or in equation form:
basic types of aquifers: an unconfined aquifer and a con-
fined aquifer. v ⫽ Ki (28.1)
The unconfined aquifer has the water table as its upper
boundary and an impermeable layer as the lower boundary. where v, the discharge velocity for laminar flow conditions,
Water pumped from a well in an unconfined aquifer lowers is the quantity of water flowing in unit time through a unit
F IGURE 28.1 Types of aquifers.

gross cross-sectional area of soil at right angles to the dition, and C is a dimensionless constant that is a function
rection of flow (fps). K is a proportionality constant (also if of grain size, sphericity, roundness, and the nature of the
fps) referred to as the hydraulic conductivity, and i is the grain.
hydraulic gradient in feet per foot (i ⫽ h/ L). Combining Table 28.1 and Table 28.2 identify values of hydraulic
Darcy’s equation with the continuity equation gives the flow conductivity and porosity, respectively, for various soil
rate through a porous medium: types. Conceivably, a soil can have a high porosity and yet
冉冊
have a low permeability rate.
h Although the total volume of the ground water is equiv-
Q ⫽ KA (28.2)
L alent to the volume of the voids in the saturated zone, the
actual amount of ground water available for use (i.e., spe-
where Q ⫽ flow (ft3 /sec). Figure 28.2 identifies the terms
cific yield) is less because of unavailable water that is semi-
used in Eq. (28.2) and shows the relationship of hydraulic
permanently attached to the surface of the soil and rock
gradient to hydraulic head using the concepts presented in
aggregates through surface retention. Specific yield is a
Eq. (26.15). Note: the direction of flow is controlled by the
function of particle size, shape and distribution of pore
hydraulic gradient (i.e., right to left) and not by what grav-
space, and degree of compaction of soil.
ity might indicate (left to right). The underlying assump-
tions for Darcy’s law are that inertial forces are negligible,
flow is laminar, steady, and nearly uniform. The first two Transmissivity and Cone of Depression
assumptions can be combined by the further restricting that Many problems with developments using wells are caused
the Reynolds number must be between 1 and 10. by the underestimation of available ground water for the
Porosity and hydraulic conductivity affect ground-water proposed number of dwelling units. If more wells are at-
movement rates. Porosity, the total volume of pore space tached to the same aquifer, and if the increased pumping
within a given volume, is a measure of the medium’s ability is beyond the natural recharge rate of the aquifer, draw-
to hold a volume of water. Hydraulic conductivity is the down of the water table will result. Furthermore, the draw-
relative ease with which water moves through the pores down affects the shape of the water table around the well.
under a hydraulic gradient. The hydraulic conductivity, K, Transmissivity is a measure of the entire aquifer’s ability
depends on the physical properties of the porous media and to transmit water. Transmissivity is the flow rate (in gpd)
the fluid. In terms of fluid and media characteristics, K is moving through the entire saturated thickness of an aquifer
expressed as having a unit width under a unit hydraulic gradient. Math-
ematically, transmissivity is expressed as:
Cd␳g
K⫽ (28.3)
␮ T ⫽ Kb for confined aquifiers (28.4)
where d ⫽ mean grain diameter, ␳ ⫽ fluid density, ␮ ⫽ T ⫽ KD for unconfined aquifiers

absolute viscosity of the fluid, g ⫽ gravitational accelera-
where T ⫽ transmissivity, K ⫽ hydraulic conductivity, b ⫽
saturated thickness in the confined aquifer, and D ⫽ av-
erage saturated thickness of the unconfined aquifer.
The shape of the water table surface changes as water is
pumped from the unconfined aquifer. In fact, the water
table surface converges at the well intake and tends to re-
sume the natural water table elevation as the distance away
from the well increases. The resulting shape, an inverted
cone, is referred to as the cone of depression (see Figure
28.3). The difference between the natural water table ele-
vation and the depressed water surface is the drawdown.
The shape of the cone depends on how far the well pene-
trates the aquifer, the length of the screen intake, the pump-
ing rate, transmissivity of the aquifer, and other factors. All
else being equal, the lower the transmissivity, the more pro-
nounced the cone of depression. Low transmissivity causes
a deep cone, with a small base and steep sides, whereas
high transmissivity in the aquifer creates a shallow cone,
with a large base and flat-sided slopes for the same pump-
ing rate.
The well discharge rate is affected by both the radius of
F IGURE 28.2 Darcy’s Law. the cone and the drawdown height at the well casing. The

TABLE 28.1 Range of Values of Hydraulic Conductivity
Courtesy of Freeze / Cherry, Groundwater 䉷. Reprinted by permission of Pearson Education, Inc., Upper Saddle River, NJ.
well discharge equations for equilibrium conditions are

T A B L E 2 8 . 2 Range in Porosity for
based on the following assumptions:
Selected Earth Materials
䡲 Aquifer material has uniform permeability within
MATERIAL POROSITY (%) the radius of influence of the well, and the aquifer is
Gravel, clean-uniform 20–50 not stratified.
.....................................................
Sand, clean-uniform 20–40 䡲 For an unconfined aquifer, the saturated thickness
..................................................... is constant, and for a confined aquifer, the aquifer
Sand and gravel mixed 10–30 thickness is constant before pumping commences.
.....................................................
Salt and clay 䡲 The water table or the piezometric surface is hori-
As deposited 40–70 zontal.
Compacted 0–40 䡲 The well extends to the bottom of the aquifer and
..................................................... the pumping efficiency is 100%.
Shale 1–20
..................................................... 䡲 Laminar flow exists within the radius of influence
Sandstone 5–30 of the well.
.....................................................
Limestone 1–20 䡲 Steady-state conditions exist, or in other words, the
shape of the cone of depression remains constant, in
Courtesy of Freeze / Cherry, Groundwater, 䉷 1979, p. 37. Reprinted by that both drawdown and radius of influence of the
permission of Prentice Hall, Englewood Cliffs, New Jersey.
well do not change with a constant pumping rate.
Courtesy of Freeze / Cherry, Groundwater, 䉷. Reprinted by permission of
Pearson Education, Inc., Upper Saddle River, NJ.

F IGURE 28.3 Radial flow to an aquifer; (a) unconfined flow; (b) confined flow.
From these assumptions, the following equations pro- Well Construction

vide well discharge for steady unconfined radial flow and Most wells are drilled or in some cases, driven. There are
confined radial flow, respectively, toward a well: two basic types of drilling methods used in well construc-
P(H 2w ⫺ h 2) tion: cable-tool and rotary. However, other methods are var-
Q⫽ (28.5) iations of these basic methods.
1055 log(R/r)
Driven Wells. Driven wells are constructed by driving a
Pm(HA ⫺ h) small-diameter pipe into shallow water-bearing sand, gravel,
Q⫽ (28.6) or other soft formations free from cobbles and boulders. A
528 log(R/r)
screened well point, attached at the bottom of the casing,
acts as the intake portion. There are different types of well
where Q ⫽ well yield or pumping rate in gpm, P ⫽ per- points to accommodate the various ground and aquifer con-
meability of water bearing sand in gpd/ft2; typically ditions. In this type of method, selection of the appropriate
determined from laboratory or field tests, Hw ⫽ saturated well point is important to the success of the well. Ground
thickness of the aquifer before pumping in feet, h ⫽ depth water enters through the screen section and is pumped up
of water in the well while pumping in feet, R ⫽ radius of through the casing. Although driven wells are simple and
cone of depression in feet, r ⫽ radius of the well, m ⫽ economical to construct, they are limited to depths of about
thickness of aquifer and HA ⫽ static head at the bottom of 50 ft.
the aquifer. The Cable Tool Method. Sometimes referred to as the per-
Equations (28.4) and (28.5) are for steady-state flow, that cussion method, this is the oldest method of well construc-
is, where discharge is constant with time. Because of the tion after hand digging. The method utilizes the action of
numerous factors affecting ground-water flow, a long time lifting and dropping heavy drilling tools onto the bottom
may have to elapse before steady-state conditions are estab- of the borehole in order to break and loosen the earth-rock
lished. Therefore, the actual size and shape of the cone of material. The type of cable-tool rig (see Figure 28.4) and
depression can only be obtained after sustained periods of the size of the tool weight needed for well construction
continuous pumping. Because of the variable composition depends on the ground conditions and the depth of the
of soils and climatic conditions, the actual time to steady- hole.
state flow is highly variable and may never exist. Addition- As the drill bit breaks through the ground, the fragments
ally, several other factors affect well discharge, including of earth and rock must be removed so that the excavation
proximity to other wells, presence of localized impermeable can continue. The material is removed with a bailer—a sec-
strata impeding flow to the well, anisotropic conditions tion of pipe with a valve at the bottom and a bail at the
leading to highly variable hydraulic conductivity, and large top. As the bail is alternately raised and lowered, the valve
bodies of surface water. is opened and closed allowing the cuttings and fluid to

F IGURE 28.4 Cable-tool rig. Courtesy of Handbook of Ground Water Development, Roscoe Moss Co. Reprinted by permission of John Wiley
& Sons, Inc.

enter the bailer. The bailer is hoisted to the surface once it r ⫽ effective well radius (ft)
becomes full and is then reinserted if additional cutting re- R ⫽ radius of influence (ft) (distance away the center
moval is necessary. Drilling operations resume after the bail- where drawdown is zero)
ing operation is complete. The well casing is then inserted
into the hole after the drilling operations are complete. All things being equal, doubling the diameter of the well
The Rotary-Drilling Method. This method bores the hole (r) results in ⬇10% increase in discharge. However, dou-
with a rapidly rotating bit. An external force, which is ap- bling the length of the screen intake directly results in a
plied to the bit as it is rotating, helps break the earth-rock twofold increase in the discharge. The type of screen se-
material. Fluid, which is pumped into the borehole through lected depends on the type of drilling, aquifer characteris-
the tool assembly, mixes with the cuttings and is pumped tics, and hydraulic characteristics. Various types of screens
back to the surface through the annulus between the tool are shown in Figure 28.7. In general, the screen length re-
assembly and the sides of the borehole. A typical rotary- quirements for domestic wells are much less than those for
drilling rig is shown in Figure 28.5. municipal, commercial, or agricultural wells.
Cable-tool drilling is less expensive than rotary drilling, The well pump must be able to deliver the required
lends itself to drilling in isolated areas, has more reliable pumping rate to meet the demand for the service area of
formation and water sampling, and the resulting well is sim- the well. Typical individual domestic wells require approx-
pler, more durable, and virtually maintenance-free. How- imately 5 to 20 gpm. Wells that serve a community of res-
ever, the limitations of this method, compared with the idences should provide a minimum of 0.5 gpm/dwelling,
rotary-drilling method, include shallower well depths, if storage is included in the design. If the aquifer is to serve
smaller well diameters, and a slower drilling time. The large areas, auxiliary pumps may be necessary to maintain
rotary-drilling method produces an open borehole, which minimum pressures throughout the system. After the well
allows for a wider variety of casing and screen designs. Each is operating, a series of tests should be performed to deter-
method has its merits, and the one selected likely will de- mine the performance of the pump and well. To ensure
pend on geologic conditions, site accessibility and availa- proper performance of the well, periodic tests are necessary.
bility of supplies. The data from these tests, when compared with the original
test data, can determine if the performance and efficiency
Well Components falls within acceptable standards.
Figure 28.6 illustrates the various elements of a well struc-
ture. Ground Water Contamination
The well casing is the structural portion of the hole that Before ground water can be used for consumptive purposes,
supports the sides of the borehole, provides protection of it must be tested and approved by health authorities. In
the aquifer against contamination, and allows access to the some locales, the developer needs such approval before any
aquifer. The casing must last for the life of the well, since construction permits are issued. After the project is com-
replacing the casing inevitably causes some damage to the pleted, state and local regulations may require periodic test-
well. ing to ensure potable-water-quality standards. Treatment of
Grout sealant is placed between the casing and the sides the ground water may be necessary to remove (or reduce)
of the borehole to control vertical water movement and to some types of pollutants. In the extreme case, the water
protect the casing against deterioration. supply may have to be abandoned. Site conditions may pro-
The well intake for drilled wells is the screen and for vide clues to potential ground-water contamination. Fol-
driven wells is a well point. It is important to note that the lowing is a list of contamination sources that may affect
length of the screen influences the capacity of the well far ground-water quality.
more than the diameter. This is demonstrated by Eq. (28.7),
a form of the steady-state equation for the drawdown of an 䡲 Wastewater effluent. The primary concern in semi-
aquifer. rural development projects is the relative location of
the well to any subsurface, wastewater disposal system.
Kbs
冉冊
Q⫽ (28.7) Typically, houses connected to wells also utilize a sub-
R surface septic system. Water percolating from the drain
528 log
r field into the water table is a serious health hazard. In
order to prevent this, the well should be located up-
where: slope and a minimum of 50 ft (horizontally) away
from the disposal system.
Q ⫽ discharge (gpm)
s ⫽ aquifier drawdown (ft) 䡲 Barnyard runoff. Wells constructed downslope of
b ⫽ saturated aquifier thickness (assumed equal to barnyards and farmhouses present similar bacteria
screen length) (ft) problems as those from household wastewater effluent.
K ⫽ hydraulic conductivity (gpd/ft2) Bacteria from animal waste can infiltrate to the aquifer.

F I G U R E 2 8 . 5 Direct hydraulic rotary system. Courtesy of Handbook of Ground Water Development, Roscoe Moss Co. Reprinted by permission
of John Wiley & Sons, Inc.

F IGURE 2 8 . 7 Types of screen intakes (a) vertical machine slot-

ted screen; (b) shutter screen; (c) bridge slot screen. Courtesy of Handbook
of Ground Water Development, Roscoe Moss Co. Reprinted by permission
F IGURE 2 8 . 6 Typical well installation. Courtesy of Handbook of John Wiley & Sons, Inc..
of Ground Water Development, Roscoe Moss Co. Reprinted by permission
of John Wiley & Sons, Inc.
䡲 Oil and gas fields. Oil and gas fields present two
䡲 Pesticides and fertilizers. Not only are farm fertilizers potential ground-water contamination hazards. The
and pesticides a contaminant hazard, but many home- first potential problem arises from the fact that a by-
owners use fertilizers and pesticides on their lawns and product of oil/gas development is saline water. Pres-
gardens. Historically, many farms dumped the pesticide ently, most states have regulations on methods for
and fertilizer containers in wooded areas and pits. Sim- disposal of this saline water to prevent it from contam-
ilarly, orchards and vegetable lands are potentially haz- inating ground water. In the older oil and gas fields,
ardous areas with high concentrations of pesticides and saline water is escaping from improperly sealed wells
fertilizers. Houses and wells may now stand in the vi- and contaminating the ground water. Additionally, oil
cinity of these disposal areas and crop lands. The de- and gas production is increased by injecting saline wa-
composition or neutralization of the synthetic ter into the geologic cavity. The increased pressure in
chemicals used in pesticides and fertilizers has not the cavity forces oil, gas and saline water outward, into
been fully determined. the ground water.
䡲 Landfill areas. Although present laws regulate the This list emphasizes the need to verify the previous land
type of material that can be disposed of in a landfill, uses on any proposed developments with existing well sys-
many closed landfills contain toxic chemicals that tems. The site analysis and inspection may provide clues to
could cause long-term damage to the ground water. potential contamination hazards. Additionally, subsurface

soil and water samples will verify suspicious areas. The var-
T A B L E 2 8 . 4 Distance from Sources of
ious types of contaminants associated with various land ac-
tivities are identified in Table 28.3. For water supplies Contamination to Private Water Supplies
already contaminated, the problem becomes one of pin- SOURCE DISTANCE (ft)
pointing the type and location of the contaminating source.
Table 28.5 summarizes some possible remedies for specific Subsurface pits 50–75
.....................................................
ground-water problems.
Septic tank 25–50
Table 28.4 provides recommendations for minimum dis- .....................................................
tances between contamination sources and wells. Because Subsurface disposal fields 50–75
of the many factors that influence ground-water movement, .....................................................
it must be recognized that there is no absolute safe distance Sewage line 25–50
.....................................................
between a well and a contaminant source. Even though
Seepage pits 50–100
health department and local regulations dictate minimum .....................................................
distances, the engineer should consult specialists when con- Pasture 50–100
ditions appear questionable. .....................................................
Barnyard 50–100
.....................................................
MTBE
Farm silo 25–50
Methyl Tertiary—Butyl Ether (MTBE) has been a highly ef- .....................................................
fective, clean-fuel additive for reducing air pollution from Petroleum or chemical
motor vehicles. Unfortunately, it has also contaminated Storage tank 50–100
community ground water supplies across the country.
MTBE was first used in the late 1970s as an automobile
fuel additive for premium-grade fuels to increase octave rat-
TABLE 28.3 Major Contaminants Associated with Waste-disposal Practices

SOURCE POSSIBLE MAJOR CONTAMINANTS
Landfills
Municipal Heavy metal, chlorides, sodium, calcium
Industrial Wide variety of inorganic and organic constituents
.....................................................................................................................
Hazardous waste disposal sites Wide variety of inorganic (particularly heavy metals) and organic compounds
(pesticides, priority pollutants, etc.)
.....................................................................................................................
Liquid waste storage ponds Heavy metals, solvents, inorganic compounds
(lagoons, leaching ponds,
recharge basins)
.....................................................................................................................
Subsurface sewage disposal Organic compounds (degreasers, solvents), nitrogen compounds sulfates, sodium,
systems microbiological contaminants
.....................................................................................................................
Deep well waste injection Variety of inorganic and/or organic compounds
.....................................................................................................................
Agricultural activities Fertilizers, herbicides, pesticides
.....................................................................................................................
Land application (sludge, Heavy metals, inorganic compounds, organic compounds
wastewater)
.....................................................................................................................
Urban runoff infiltration Inorganic compounds, heavy metals, petroleum products
.....................................................................................................................
Deicing activities Chlorides, sodium, calcium
.....................................................................................................................
Radioactive wastes Radioactivity and radionucleides
From Hess, A.F., and J.E. Dyksen, Utility Experiences Related to Existing and Proposed Drinking Water Regulations. Reprinted from Annual Conference Proceed-
ings, by permission. Copyright 䉷 1984, American Water Works Association.

TABLE 28.5 Groundwater Problems, Causes and Remedies

PROBLEM PROBABLE CAUSE REMEDY OR SOURCE OF HELP
Poor aquifier Install larger, deeper well; have well cleaned by well
Well screen or pump intake driller; deepen well; contact water resource agency
encrusted
Inadequate water yield Lower water level
.....................................................................................................................
Wet basement Seasonally high water table Add sump pump or drains; add sump pump or
Recovered water level drains; add roof gutter, reslope land; contact SCS
Drainage from roof or slope
.....................................................................................................................
Gas in water Methane from bedrock state Install vent on well head; aerate the water; install
water treatment; drill new well away from house;
contact geological survey
.....................................................................................................................
Salty water Road salting Install new well farther upslope; provide better road
Road-salt stockpile drainage; install new well away from drainage;
request correction by highway department; contact
health department
.....................................................................................................................
Fuel-oil contamination Leaky or spilled storage tank Install new well upslope; adjust to low pumping
rate
.....................................................................................................................
Oil/gasoline contamination Nearby service station Obtain new source of water; contact health
department
.....................................................................................................................
Bacteria contamination Septic effluent Chlorinate as first step; contact health dept.; install
new well upslope; install new leach field farther
away; deepen well in some cases; seek control on
neighboring system
.....................................................................................................................
Barnyard waste Redirect waste flow; install new well upslope; seek
control on neighbor’s activity; contact agricultural
agency
.....................................................................................................................
Organic chemical Former land use contamination Install new well farther away; deepen well in some
cases; contact health department
.....................................................................................................................
Current land application Create a buffer zone around recharge area; dispose
of wash water properly; seek control on neighbor’s
activity; contact health department
.....................................................................................................................
Land subsidence Excessive ground-water withdrawal Contact state regulatory agency; relocate house;
Rock solution contact state geological survey
.....................................................................................................................
Sinkhole development Rock solution Relocate house; contact state geological survey
Source: Walter, R. M., Groundwater and The Rural Homeowner, U.S. Geological Survey, 1988.
ings. It was added in higher concentrations, starting in the contaminate ground water than other components of gas-
1990s, as an oxygenate to enable more complete combus- oline due to its resistance to microbial decomposition and
tion, in order to reduce carbon monoxide and other toxic mobility in water. The U.S. Geological Survey has reported
air emissions It readily dissolves in water and permeates that approximately 3% of ground-water wells in areas of
rapidly through soils and aquifers. MTBE is more likely to the country where MTBE has been used as a fuel additive

have detection levels of 5 parts per billion (ppb) or above. 䡲 Adequate storage is available to allow sufficient
Based on carcinogenic effects observed in laboratory ani- supply during periods of drought.
mals, the action level for concern of potential cancer is 13
䡲 The intake design allows the highest-quality water
ppb. The best available technology for removal of MTBE is
available to be withdrawn for treatment.
adsorption with granular-activated carbon (GAC).
Several states, and the U.S. Congress, are considering 䡲 The stored water is treated to reduce the levels
legislation to eliminate MTBE as a gasoline additive. Ethanol of turbidity, disinfection by product precursors and
is the likely replacement for MTBE. It has proved to be micro-organisms, and then is adequately disinfected.
effective in reducing air emissions and does not have the
potential for ground-water contamination posed by MTBE. The ideal watershed to the impoundment should be: (1)
free of development and sewage systems, (2) large enough
SURFACE WATER SUPPLY to fill the reservoir during dry years, (3) protected against
Surface water sources are usually more difficult to develop erosion and drainage from livestock confinement areas, and
than ground-water sources for small community potable- (4) fenced for the exclusion of livestock.
water systems. Surface waters, which are open to contam- Development of a reservoir often involves the construc-
ination from pollution, debris, sediment, and waterborne tion of an embankment with an overflow spillway. The
pathogens, usually require more extensive treatment than services of qualified engineering and hydrogeological con-
ground-water sources. Legal rights to ground water are nor- sultants are necessary to design the facilities and oversee
mally riparian, meaning acquired with title of the land ov- their construction. Regulatory supervision and assistance is
erlying the water source. The rights to surface waters are available from the National Resources Conservation Service
more complicated and vary widely from state to state in the (NRCS) and state or county agricultural, geological, or soil
United States. No development of any water source should conservation agencies.
be initiated until the rights to the water have been success- The intake-facility design is vitally important to the suc-
fully concluded. cessful operation of the water supply. If the water is drawn
The advantages of surface water include the fact that it too close to the impoundment bottom, it may contain de-
can be more abundant (for large development projects) and caying organic matter or be too turbid, while water drawn
have less dissolved-mineral content than ground water. The from too near the water surface may contain algae, floating
permitting process, however, is long and arduous in most debris, or aquatic plants, resulting in taste and odor prob-
states for either withdrawal from free flowing streams or lems in the finished water. The depth of optimal intake
development of impoundments. varies with the configuration of the impoundment and the
season of the year. Intake structures should be designed to
Safe Yield provide flexibility for depth of withdrawal for optimal year-
Once it is determined how much water will be needed for round operations.
the planned development, potential sources can be evalu-
ated for adequate production. Existing or potential lakes Rivers and Streams
and reservoirs, rivers, and streams must be analyzed for safe
Dependable year-round water supply is provided by many
yield. Safe yield is the amount of water that can be reason-
rivers and streams. When the only feasible source for some
ably counted on for use by the community during drought
communities is a stream receiving runoff from a large, un-
conditions, assuming flowby requirements are met for
controlled watershed, the water may be difficult and ex-
maintaining downstream aquatic life and water-supported
pensive to treat because of rapidly varying bacteriological
activities. Safe-yield analyses are complex and require spe-
and physical qualities.
cialized expertise as well as assistance from public agencies
with meteorological and hydrological data. As with reservoirs, the intake facilities on rivers and
streams must also be designed carefully. First, they should
Reservoirs and Lakes be located upstream of any sources of contamination, such
as wastewater discharges. Additionally, the intakes should
In order to successfully use water supply from a reservoir
be designed to exclude sediment and debris, while allowing
or lake, the following features must exist:
efficient withdrawal at varying stream levels. Often, the in-
䡲 The upstream watershed physical characteristics al- take is designed with the features to protect it from high-
low provision of consistent water quality and quantity. water levels, floating debris, and ice formation. On wide
streams, it is often advantageous to locate the intake in the
䡲 The watershed is protected by ownership, agree-
middle of the stream rather than at the bank. This design
ments with landowners, or by state legislation.
technique avoids turbid water from an upstream tributary,
䡲 Adequate storage is available to allow settling of which typically flows along the bank of entry after a local
sediments and larger micro-organisms prior to treat- storm event. Figure 28.8 shows a typical prefabricated
ment. intake-screen device commonly used on stream intakes.

mostly eliminated in the U.S. by the 1930s. As a result, the

belief of the water utility and engineering community was,
until fairly late in the century, that microbiological contam-
ination in surface waters could be successfully addressed
with appropriate pretreatment and filtration to attain clarity
of 1.0 turbidity unit (ntu) or less, followed by chlorination.
During this time, ground water was considered to be
already filtered, requiring only the addition of chlorine to
maintain a suitable residual in the distribution system. Any
additional treatment perfomed was done solely to change
water characteristics unrelated to health, such as hardness,
taste, odor, and coloration from manganese and iron. Con-
sequently, the main challenge to water-supply engineering
in the 1960s and 1970s was to attain these simple treatment
goals at the lowest operation and maintenance cost. As a
result, new techniques were developed during that period
F IGURE 28.8 Prefabricated stream intake. (Courtesy of U.S. to clarify surface water more economically. These included
Filter, Warrendale, PA)
new sedimentation-basin designs, tube and plate settlers,
dissolved air flotation, high-rate filtration processes, and
This device has an air blowback feature used to clear the pre-engineered proprietary-package systems that integrated
screen of sediment and debris. several basic processes into a single-treatment unit.
To add all-season reliability to the water source, it may Potential chronic (long-term) health risks from trace or-
be necessary to implement an off-stream storage reservoir. ganic compounds in potable water became a public concern
In this manner, water can be stored in times of heavy runoff in the 1970s and 1980s. A new wave of regulations fol-
for use when demands may exceed available stream flow. lowed to set maximum containment levels (MCLs) for
The off-stream storage can also be used when the stream trihalomethanes (THMs), volatile organic compounds
source is of poor quality because of low flow or is contam- (VOCs), and pesticides. In response to this public concern,
inated because of a hazardous-material spill. which continues to the present day, water engineers have
The use of an infiltration-gallery-intake arrangement can developed successfully new treatment methods to remove
also be of great benefit, especially when the stream is sub- organic compounds from drinking water. These new ap-
ject to extreme changes in turbidity from storm events. The proaches, such as enhanced coagulation, air stripping, and
infiltration-gallery method of pretreatment is also referred activated carbon adsorption, were the main focus of water-
to as riverbank filtration. Infiltration galleries are shallow, treatment engineering though the mid-1990s.
horizontal beds of natural or constructed permeable soils, Microbiological contamination, however, has recently
with collector pipes embedded in them, that are situated emerged (again) as the primary focus of the water-treatment
adjacent to the water source. Additionally, they provide industry. The main causes of this development are: (1) doc-
some pretreatment because of the natural filtration provided umented cases of drinking water supplies contaminated by
by the soil, and this improves the source-water quality. Al- chlorine resistant cysts such as cryptosporidium and giardia
though they are more commonly used for river and stream
rather than bacteria; and (2) the promulgation by the U.S.
sources, they can be used to benefit reservoirs that are sub-
EPA of the Total Coliform Rule and the Surface Water Treat-
ject to events of heavy turbidity.
ment Rule in 1989 and subsequent enforcement and mon-
It should be noted that the use of an infiltration gallery
itoring actions. To address these new challenges, there is
to pre-filter the source water does not preclude the need
renewed emphasis on source-water protection, treatment-
for further filtration and disinfection treatment. Even the
plant optimization, management of plant recycle streams,
waters of crystal-clear mountain streams have been found
and implementation of newer technologies such as ozona-
to contain serious health-threatening organisms, such as
cryptosporidium and giardia. tion and membrane treatment.
Today’s treatment-system engineer not only must meet
WATER TREATMENT current drinking water standards but must anticipate future
The evolution of modern water treatment began in the early regulatory requirements. No more is the definition of ‘‘safe’’
20th century, when the practices of filtration and chlori- water a constant as it was in the 1950s, 60s, and 70s. The
nation disinfection became common. The main goal at that water industry will continue to struggle with the potential
time was to remove (or inactivate) pathogenic organisms to health effects of traces of an ever-increasing variety of or-
curtail the disastrous waterborne disease outbreaks that ganic compounds and infectious organisms. Now, more
routinely plagued the country during the 19th century. This than ever, a water-treatment system must provide flexibility
goal was achieved, as waterborne disease outbreaks were for modification in order to meet potential requirements.

A process schematic of a complete, conventional surface- ate for use in any single treatment plant for surface or
water-treatment system is shown in Figure 28.9. The ob- ground water. Disinfection is the one process that would be
jective of water treatment is to provide high-quality, safe, used in all treatment systems for a community public-water
finished-water for long-term use. The processes used by supply.
treatment facilities to achieve this depend on the character-
istics of the source water. As noted previously, surface water Pretreatment
is likely to contain pathogenic organisms, organic sub-
stances, and particulate matter, while ground water may Pretreatment refers to any process that conditions the water
have undesirable mineral content or contaminants such as prior to its entering the main treatment facility. For ground
volatile organic compounds. The following processes are water, pretreatment is accomplished by natural filtering
those normally used in water treatment and are listed more through aquifer sand and gravel layers, or through an
or less in sequential order of occurrence in a water plant: artificially-placed gravel pack at the well screen intake.
Chemical injection (usually hypochlorite) of ground water
Pretreatment Conventional filtration for pretreatment to control iron bacteria is sometimes nec-
essary, while pretreatment for surface water consists of
Aeration Membrane filtration
screening as a minimum. Presettling in an off-stream res-
Coagulation Adsorption ervoir, for example, can provide more consistent raw-water
turbidity, making treatment operations less variable and
Flocculation Disinfection
complex. Nuisance aquatic organisms such as algae, weeds,
Sedimentation Corrosion control and zebra mussels can interfere with treatment processes
Softening Fluoridation and cause unpleasant tastes and odors in the finished water.
Exclusion of sunlight from the intake structure and judi-
These processes overlap and would not all be appropri- cious application of copper sulfate to the impoundment
F IGURE 28.9 Typical surface water treatment plant schematic.

have been effective in controlling algae. Physical screening cationic, anionic, or non-ionic polymer, is added in the floc-
and cleaning are normally the most cost-effective means for culation process to achieve greater floc density. Baffles, low-
controlling aquatic weeds and animals. moving paddles, or gentle aeration, all of which provide
velocity gradients that promote particulate contact (without
Aeration (Air-Stripping) floc-shearing agitation), are used in conventional plants.
Uses of aeration as a means of treatment are:
Sedimentation
䡲 Removal of volatile organic compounds (VOCs) During sedimentation, suspended material begins to settle
䡲 Removal of radon gas out of the water because of gravity. Some water-plant set-
tling basins have mechanical collectors for solids removal
䡲 Removal of substances that may interfere with and disposal. When there are no solids collectors, multiple
downstream processes (e.g. removal of carbon dioxide basins must be provided so that each basin can periodically
from water prior to lime-softening) be taken out of service for solids removal. Detention time
䡲 Oxidation of iron and manganese so they can be is not usually an important design parameter for modern
removed by downstream processes sedimentation basins. It is rather more important that sed-
imentation basin inlets be baffled properly to prevent short-
䡲 Reduction of concentrations of substances causing circuiting (see Figure 28.10), and that they be designed for
undesirable tastes and odors, and for oxidation of or- proper surface-loading rates (see Table 28.6). The efficiency
ganic matter of modern sedimentation basins is often enhanced with ei-
ther tube settlers or lamella plates (see Figure 28.11). These
Aeration can be accomplished in any number of ways, devices allow sedimentation-basin space requirements to be
including: waterfall (i.e., cascade), diffused air, mechanical greatly decreased. Consequently, these devices are very pop-
aeration, and pressure aerators (adding air to water under ular for use in pre-engineered package-plant units, while
pressure). still remaining popular for use in large water plants.
Coagulation Softening
Coagulation is the process of adding chemicals to raw water Water softening is the process by which minerals, mainly
that cause an almost instantaneous reduction of the forces calcium and magnesium, are removed from water. Softening
that tend to keep particles separated. Coagulant chemicals also removes metals and other water constituents and is
routinely added to destabilize particles are alum, ferric salts, commonly used when hard-water scaling is a problem. The
lime, and cationic organic polymers. The coagulation pro- processes by which water is softened include lime-soda ash,
cess is also known as rapid mixing or flash mixing. The ion exchange, and membrane treatment. Note: both ion-
purpose of flash mixing is to provide uniform, instantane- exchange and lime-soda ash processes increase the sodium
ous dispersion of the coagulant chemical throughout the content of the finished water. This fact must be considered
influent raw water to condition it for subsequent removal for those customers on low-sodium diets. Lime and soda
of particles. Rapid mix is achieved by introducing the chem- ash react with the various calcium and magnesium salts
icals at a point of maximum agitation, such as at a static (bicarbonates) to form two insoluble precipitates—calcium
mixer. Enhanced coagulation is a term coined by the U.S. carbonate and magnesium hydroxide—which are removed
EPA in the Disinfectants and Disinfection By Products Rule. by sedimentation and filtration. If sodium hydroxide (caus-
This rule requires that the coagulation process of some wa- tic soda) is substituted for lime, less sludge is produced, a
ter supplies be operated in order to provide removal of a consideration when sludge-disposal costs are high. How-
specific percentage of organic material from raw water as ever, caustic soda is more expensive than lime and increases
measured by total organic carbon (TOC). This enhanced the total dissolved solids contents in the treated water. Ad-
removal of TOC is usually achieved by increasing the dos- ditionally, it is also a hazardous chemical that may not be
age of coagulant chemical or by adjusting the raw water pH appropriate for small systems employing part-time person-
during the coagulation reaction. nel. Lime and soda ash softening, with certain adjustments
at large plants, also provides removal of color and turbidity.
Flocculation A more appropriate process choice for water softening
Flocculation is the agglomeration of small particles and colin small systems is probably ion-exchange. Ion-exchange is
loids to form larger particles (flocs) that can be settled or used by small community systems with ground-water sup-
filtered. Incidental flocculation begins in the zone of decay- plies and in household softeners. Softening is provided by
ing mixing energy of the rapid-mixing step (that destabi- replacing (or exchanging) hardness ions in the water with
lized the forces that keep particles separated). In some sodium ions, and this is accomplished by flowing hard wa-
instances, this incidental flocculation may be adequate. ter through a vessel containing polystyrene resins (see Fig-
However, a separate flocculation process is usually included ure 28.12). The calcium and magnesium ions, within the
in the process flow train to build floc to optimum size, water, attach to the resin, which releases sodium ions. The
density, and strength. Sometimes a separate aid, such as a resins must be periodically regenerated by adding a salt-
F IGURE 28.10 Typical inlet baffle across rectangular clarifier in section. (Reprinted from Water Treatment Plant Design, 3rd Ed., 1990,
McGraw-Hill, New York.)
water sodium chloride solution to the vessel; to replenish Potassium chloride, as a substitute for sodium chloride
the sodium ions, a small wastewater stream requiring disin water softeners, is becoming more popular due to envi-
posal is created. Ion-exchange has also become popular in ronmental considerations. A small amount of potassium in
recent years for small community water systems, since it drinking water can be beneficial to users, while sodium can
also is useful in removing nitrate from ground water sup- be harmful for users on salt-sensitive diets. There is also
plies. some concern that sodium damages septic tank drain fields
and deteriorates the quality of ground water after recharge.
The only disadvantage of potassium chloride is that it pres-
ently costs nearly twice as much as sodium chloride.
T A B L E 2 8 . 6 Typical Sedimentation
Surface-loading Raters Using Conventional Filtration
Alum Coagulation Conventional filtration, as applied to water treatment, is the
passing of water through a porous medium to remove sus-
APPLICATION gpd/ft2
pended solids. Filtration remains one of the fundamental
Turbidity removal 800 to 1200 processes of water treatment, with recorded use as early as
..................................................... 4000 B.C. The effectiveness of filtration is determined by
Color and taste removal 600 to 1000 measuring the turbidity of the filtered water. Turbidity is a
.....................................................
light-scattering property of suspended particles in water
High algae content 500 to 800
measured in turbidity units, ntu. Since most of the turbidity
Reprinted from Water Treatment Plant Design, 3rd Ed., 1990, McGraw- within highly turbid surface-source water is removed by
Hill, New York. processes preceding filtration, the solids load on the filters
F IGURE 28.11 Plate settlers.
is reduced, making them more cost-effective to operate. Fil- needed so some may be cleaned while others remain
ters must produce a high-quality effluent to ensure that disin service. The use of this method has become less
infection of the finished water is effective. Filtration greatly common as more mechanical-intensive means have be-
improves water quality but is only one of several major come more reliable.
barriers against contamination in finished potable water.
䡲 Rapid-sand (high-rate) filters. This method is pres-
Ground water that is low in iron and manganese and not
ently the most commonly used means of filtration for
contaminated by surface influence may not require filtra-
tion; however, all surface waters must receive filtration as both large and small water plants in the U.S. Filtration
required by the SDWA Surface Water Treatment Rule.The beds of sand or sand and anthracite coal, usually sup-
types of filters that may be used are slow-sand, rapid-sand, ported on beds of gravel, are loaded at rates of 2 to 10
diatomaceous-earth, bag, and cartridge. All must be fol- gpm/ft2. The filters are cleaned by backwashing fin-
lowed by effective disinfection. ished water in the reverse direction through the filters
after filter runs of 12 hr to 15 days. Note: if using this
䡲 Slow-sand filters. For slow-sand filtration, water is technique with a surface-water source, the surface wa-
passed through beds of fine sand at light loading rates ter must receive coagulation, flocculation, and clarifica-
averaging 0.05 gpm/ft2. Although much more filter- tion before high-rate filtration.
bed area is needed for slow-sand filtration than for High-rate filters can either be gravity units or pres-
other methods, this may not be that significant for sure units. For pressure units, the water is pumped
small plants. Since the sand is not backwashed in through an enclosed pressure-vessel that contains the
place, the top 1 in. of its surface is periodically re- filter medium. This type of unit is often used by small
moved and replaced with clean sand. The removed utilities with ground-water sources.
sand is usually discarded, but it can be washed and
stockpiled for replacement later. Slow-sand filtration 䡲 Diatomaceous earth (DE) filters. DE filters can either
does not require extensive pretreatment with chemicals be in pressure or vacuum-vessels. The filter media is
but works best in waters that are not excessively turbid diatomaceous earth, the skeletal remains of small sin-
or have highly variable turbidity. It is normally pre- gle-cell organisms in sea water called diatoms. DE fil-
ceded with presettling in an impoundment, as a mini- ters are backwashed every several hours, but the
mum. Slow-sand filters periodically slough biological backwash process removes the medium along with the
material, as they are biological processes. The time- accumulated solids. The filters must then be precoated
period between removals of the top layer of sand de- with new DE prior to the next filter run. During a fil-
pends on the turbidity of the water. Multiple beds are ter run, DE medium, is continually added to the influ-

F IGURE 28.12 Schematics of (a) basic ion exchange unit; (b) ion exchange treatment system. (Courtesy of National Drinking Water Clear-
inghouse, Morgantown, WV.)

ent water to maintain the filtering surface in optimal from water possible with membrane technologies. The 1996
condition. DE filters, which were used extensively for Safe Drinking Water Act (SDWA) Amendments encouraged
small systems from the 1970s to early 1990s, are wan- the use of membrane treatment alone or in combination
ing in popularity because of the development of less with conventional liquid-solid separation to meet the more
complex package plants and membrane processes. stringent requirements. Membrane processes used in water
treatment are electrodialysis, reverse osmosis, microfiltra-
䡲 Bag and cartridge filters. Bag and cartridge filters tion, ultrafiltration, and nanofiltration.
have been used for years in industrial water-treatment
applications but are now becoming more practical for 䡲 Electrodialysis. This process has been widely used
use in small municipal systems. For bag filtration, dis- for desalinization of brackish water. Unlike other
posal bags made from materials of a specific pore size membrane processes that use high pressure to force
are supported in a housing as water flows through water through a membrane, electrodialysis uses elec-
them for removal of particulate matter. Typically, bags trodes to pull positive and negative ions from the wa-
are used in stages from larger to smaller pore size and ter through selective membranes. Since only charged
are replaced and discarded once maximum operating ions are removed, the range of constituents removed is
pressures are reached from solids accumulation in the much more narrow than, for example, reverse osmosis.
bags. Electrodialysis is effective in removal of fluoride and
The arrangement and operation of cartridge filters is nitrate and can also be used to remove selenium, bar-
similar to bag filters in that they are housed in canis- ium, and cadmium. Its wastestream, however, is 20 to
ters in multiple stages of porosity and are disposable 90% of influent flow, and it has a relatively high capi-
once excessive operating pressures are reached. The tal and operating cost, since it requires a high level of
cartridges are of rigid construction, usually made of pretreatment. For these reasons it is not appropriate
ceramics or cotton fibers. for consideration for most small community systems,
except for special applications, such as for brackish
water.
Membrane Technology
A semi-permeable membrane is a thin layer of material that 䡲 Reverse osmosis. Pressure, as high as 300 psi de-
has the capability of separating substances when a driving pending on the application, is used to force water
force is applied across it. Membrane technology was once through a semi-permeable membrane in the reverse os-
considered viable only for desalinization. However, ad- mosis (RO) process. Nearly all (96%) inorganic con-
vances in membrane production and module design have taminants are left on the high-pressure side as water
greatly contributed to the decline in capital and operating passes through the molecular structure of the
costs of such facilities for water treatment. These installa- membrane. RO is also effective for removal of natural
tions are being increasingly employed for removal of bac- organic substances, pesticides, radium, and microbio-
teria, other micro-organisms, and particulate and natural logical contaminants. Is used in series, RO can achieve
organic matter (which causes taste and odors and reacts contamination concentrations of nearly zero. To pre-
with disinfectants to form undesirable organic by-products). vent membrane fouling, filtration pretreatment is usu-
The capital cost of membrane treatment (on a dollar per ally required as a minimum, while sometimes chemical
volume treatment-capacity basis) does not rapidly increase additives, softening, or both are needed. Note: compact
as treatment capacity decreases, as it does with conventional commercial-package RO units are available that include
water treatment. This allows membrane technology to be all the pretreatment equipment. These units only re-
cost-effective for small systems. quire minimal labor and are simple to operate, making
Indeed, the National Research Council, in a 1997 report, them suitable for small systems, especially when there
concluded that membranes will be used with accelerating are extremes in seasonal water demand.
frequency in small systems as the complexity of conven- 䡲 Nanofiltration, ultrafiltration and microfiltration.
tional treatment processes increases to meet new regulatory These pressure-driven membrane technologies differ
requirements. As an example, for ground-water sources not only in the pore size of the membranes and can be
needing pretreatment, membrane-treatment facilities consist used alone or in combination, depending on the water
of little else than holding tanks, membrane modules, and quality goals. These processes are sometimes referred
feed and cleaning pumps. However, wastestreams for to collectively as membrane filtration. Microfiltration
membrane technologies are 15% or more of inflow, while uses the largest pore size of the three for removal of
conventional treatment wastestreams are 5 to 10%. This is particulate matter and microbes in the 0.05 to 10 ␮m
a significant consideration where wastestream disposal is a size range. It is not, however, able to remove soluble
difficult problem. constituents. Ultrafiltration is also used for liquid-solids
Traditional water treatment has focused on liquid-solid separation, but can also remove ionic organic material
separation, rather than removal of dissolved contaminants (based on molecular weight) and viruses since its size

operating range is 0.001 to 0.05 ␮m. Both ultrafiltra- dium oocycsts. The best-available treatment method for this
tion and microfiltration operating pressures are from pathogen is still physical removal.
10 to 100 psi. Nanofiltration, which uses operating
pressures from 75 to 150 psi, removes particles as 䡲 Chlorination. Chlorination is most commonly pro-
small as 1 nanometer. Nanofiltration is very effective in vided by gaseous chlorine, sodium hypochlorite or cal-
removal of color and disinfection by-product precur- cium hypochlorite. Chlorine is effective against almost
sors, and it can remove ions contributing to hardness all microbial pathogens and is appropriate as both the
(such as calcium and magnesium). primary and secondary disinfectant. Figure 28.13
shows a typical arrangement for a cylinder-mounted
Table 28.7 compares the membrane technologies for use chlorinator for a 150-lb chlorine gas cylinder typically
in compliance to the Surface Water Treatment Rule. used in small water plants. At least two of these ar-
rangements with automatic switchover apparati (for
Adsorption when one cylinder becomes empty) are usually pro-
vided. Since chlorine gas is lethal even at small con-
Adsorption (in water treatment) refers to a process by which centrations in air, special housing, monitoring, safety
the water is brought in contact with a material that attracts equipment, and trained personnel are necessary.
certain specific molecules and to which they adhere. The Calcium hypochloride is a white solid, available in
adsorptive material most suitable for organic containment tablet, granular or powder form, which dissolves easily
removal, including taste and odor causing compounds, is in water. The tablets are designed for use in commer-
granular-activated carbon (GAC). The EPA has designated cially available feeding apparati that add tablets to
GAC as the best available technology for synthetic organic- plant flow based on flow rate or time. The powder and
chemical removal (e.g., volatile organic compounds). Car- granular forms are commonly used to make a stock so-
bon is available in two forms: powdered-activated carbon lution that is then metered into the plant flow at de-
(PAC) and granular-activated carbon (GAC). sired application points. Since calcium hypochlorite is
Powdered-activated carbon can be fed, dry or in a slurry, highly corrosive, it must be kept awaty from organic
early in the treatment process and later removed in down- materials such as wood or cloth, as contact may cause
stream processes. Typically PAC is used in treatment plants a heated reaction and fire. This chemical readily ab-
occasionally to address taste and odor problems. GAC is sorbs moisture, releasing chlorine gas. Shipping con-
used when continuous treatment is necessary. GAC is com- tainers should be emptied completely and carefully
monly used as a filter medium, either as a top-layer sup- resealed.
plement to the filter bed or as a repolacement for filter Another chemical commonly used for chlorination
media in a normal filter bed or special contactor tank. The disinfection for small water systems is sodium hypo-
contactors can either by gravity or pressure units, similar chlorite. Although highly corrosive, sodium hypochlo-
to those used in conventional filtration. The GAC must be
rite solution is less difficult to handle than either
periodically removed and replaced with new or regenerated
calcium hypochlorite or gaseous chlorine. Sodium hy-
carbon when its absorptive capacity is expended.
pochlorite is available in solution form in concentra-
tions of 5 to 15% chlorine. Since sodium hypochlorite
Disinfection solutions deteriorate, they should not be stored more
The SDWA Surface Water Treatment Rule (SWTR) requires than 1 month even in an ideal cool, dry, and dark
disinfection of finished water for public systems with place. This chemical is more expensive than gaseous
surface-water sources or ground-water sources under the chlorine, although the cost is significantly reduced if
influence of surface water. Disinfection is arguably the most bulk deliveries by tanker truck can be made to an on-
important step in making sure that water is safe to drink. site storage tank. This may not be practical for small
Primary means of disinfection are chlorination, ultraviolet systems due to the relatively short shelf-life of the so-
light, and ozone. lution.
Disinfection (in the water utility industry) is referred to Chloramine forms when ammonia is added to chlo-
as primary and secondary. Primary disinfection is achieved rinated water, or when water containing ammonia is
as part of the treatment process, and secondary disinfection chlorinated. It is a weak disinfection for use against vi-
is done to ensure that the distribution system is protected ruses and protozoa as compared to free chlorine, but
against microbial contamination or regrowth. Chlorine and chloramination produces less disinfection byproducts.
compounds of chlorine are by far the most popular means This makes chloramine appropriate for use as a sec-
of disinfection, since they provide both primary and secondary disinfectant to prevent bacterial regrowth in the
ondary residual disinfection. Using ultraviolet light is not water distribution system. Chloramine is commonly
as effective as chlorine (or ozone) at inactivating crypto- developed and applied by injecting ammonia gas (or
sporidium and giardia, and no chemical disinfectant has ammonia hydroxide solution) into the flow stream just
been able to be totally reliable in inactivating cryptospori- downstream of where chlorine is applied.

TABLE 28.7 Surface-water Treatment-compliance Technology; Membrane Filtration
766
RAW WATER, PRETREATMENT COMPLEXITY: EASE OF
REMOVAL: LOG GIARDIA & AND OTHER WATER QUALITY OPERATION (OPERATOR SKILL SECONDARY WASTE OTHER LIMITATIONS /
UNIT TECHNOLOGIES LOG VIRUS ISSUES LEVEL) GENERATION DRAWBACKS
Microfiltration Very effective giardia, ⬎5– High quality or pretreat- Basic: increases with pre/ Low-volume waste may in- Disinfection required for
(MF) 6 log; Partial removal of ment required. Same note post-treatment and clude sand, silt, clay, cysts viral inactivation
viruses (disinfect for virus regarding TOC. membrane clearing needs and algae
credit).
............................................................................................................................................................................
Ultrafiltration Very effective giardia, ⬎5– High quality or pretreat- Basic: increases with pre/ Concentrated waste: 5 to Disinfection required for
(UF) 6 log; partial removal of ment required (e.g., MF). post-treatment and 20% volume. Waste may viral inactivation.
viruses (disinfect for virus TOC rejection generally membrane cleaning needs. include sand, silt, clays,
credit). low, so if DBP precursors crysts, algae, viruses and
are a concern, NF may be humic material.
preferable.
............................................................................................................................................................................
Nanofiltration Very effective, absolute Very high quality or pre- Intermediate: increases Concentrated waste: 5 to Disinfection required under
(NF) barrier (crysts and viruses) treatment required (e.g., with pre/post-treatment 20% volume. regulation and recom-
MF or UF to reduce and membrane cleaning mended as a safety mea-
fouling/extend cleaning in- needs. sure and residual
tervals). See also RO pre- protection.
treatments.
............................................................................................................................................................................
Reverse Osmosis Very effective, absolute May require conventional Intermediate: increases Briney waste. High volume, Bypassing of water (to
(RO) barrier (crysts and viruses) or other pretreatment for with pre/post-treatment e.g., 25 to 50%. May be provide blended/stabilized
surface water to protect and membrane cleaning toxic to some species. distributed water) cannot
membrane surfaces: may needs. be practiced at risk of in-

include turbidity or FE/MN creasing microbial concen-
removal; stabilization to trations in finished water.
prevent scaling; reduction Post-disinfection required
of dissolved solids or under regulation, is recom-

hardness; pH adjustment. mended as a safety mea-
sure and for residual
maintenance. Other post-
treatments may include de-
gassing of CO2 or H2S,
and pH adjustment.
Courtesy of National Drinking Water Clearinghouse, Morgantown, WV.
F IGURE 28.13 Cylinder mounted chlorinator. (Courtesy of National Drinking Water Clearinghouse, Morgantown, WV.)
The chemical reactions of water treatment through The SWTR requires certain minimum CT values,
chlorination are somewhat complex. A discussion of where the residual concentration ‘‘C’’ of a disinfectant
some of the associated terminology follows for clarifi- in mg/l is multipled by the contact time ‘‘T’’ in
cation. ‘‘Chlorine dosage’’ or feed rate is the amount of minutes. State agencies with authority to enforce the
the disinfectant fed into the treatment flow stream ex- SWDA rules can provide particular details and require-
pressed in mg/l, or parts per million (PPM), which are ments for CT calculations. These calculations often re-
equivalent. The water being treated has impurities that quire that additional finished-water storage tankage be
combine with some of the chlorine. These impurities, installed, or that existing tankage be baffled to prevent
such as organic matter or ferrous iron, exert a ‘‘chlo- short-circuiting. This is to insure that the disinfectant
rine demand’’ that necessitates increased dosage to has adequate contact time before the first customer
both satisfy this demand plus provide chlorine for dis- uses the water.
infection. Chlorine left over for disinfection is referred
䡲 Ultraviolet light (UV). Ultraviolet light radiation is
to as ‘‘available.’’
produced by a special lamp arranged so that it irradi-
‘‘Combined available chlorine residual’’ refers to
ates water as it flows by (see Figure 28.14). It provides
compounds of chlorine that have some disinfectant
disinfection by penetrating the cell wall of an organism
properties that are formed when chlorine reacts with
to disrupt the genetic material such that it is no longer
ammonia or other nitrogen compounds. Chloramine,
able to reproduce. UV is very effective in destroying vi-
previously discussed, is an example. The most effective
ruses and bacteria in water, and can be used as a pri-
disinfectant form of chlorine is ‘‘free available chlorine
mary means of disinfection. However, it provides no
residual.’’ This is the uncombined chlorine that re-
residual effect, and a secondary disinfectant must be
mains in the water after any combined residual has
used in conjunction with UV to prevent micro-
formed. ‘‘Total available chlorine residual’’ is the total
organism regrowth in distribution systems. UV disin-
concentration of chlorine compound available to act as
fection produces no known toxic residual and requires
a disinfectant, including both combined and free-
only a brief contact time. It is not, however, suitable
chlorine residuals.
for water with elevated turbidity, suspended-solids con-
‘‘Chlorine contact time’’ is the period of time from
tent, color, or soluble organic matter that can interfere
when chlorine is first applied and when the chlori-
with the passage of light. UV radiation is not reliably
nated water is used. The contact period required to
effective against giardia or cryptosporidium cysts, so
ensure effective disinfection depends on chlorine dos-
they must be removed physically from the flow by up-
age, type of chlorine residual, temperature, and pH of
stream processes.
the water. The SDWA SWTR requires that chlorine
dosage be adequate to fulfill chlorine demand and pro- 䡲 Ozonation. Like UV, ozonation provides no residual,
vide free available chlorine residual after chlorine con- and a secondary disinfectant (such as chlorine) must
tact time has been satisfied, before the water reaches a be used with it to protect against pathogens in the dis-
consumer. tributions system. However, ozone is a powerful pri-

F IGURE 28.14 Ultraviolet water purifier. (Courtesy of National Drinking Water Clearinghouse, Morgantown, WV.)
mary disinfectant that requires a shorter contact time it is needed. Corrosiveness can be reduced by changing the
and lower dosage than chlorine. characteristics of the water. Common methods are alkalinity
Ozone is generated by passing dry air through high- and pH adjustment and lime softening. Chemical handling
voltage electrodes to form a powerful disinfecting and and feeding facilities need to be included in treatment fa-
oxidizing agent. It is unstable and, therefore, must be cilities with adverse water characteristics.
generated on site. It has a low solubility in water and
must have an efficient contact arrangement. Even so, Fluoridation
an excess-ozone destruction unit is necessary to pre- Fluoridation of water to reduce tooth decay in children is
vent this toxic gas from being released from the con- a common practice in the United States. The three chemi-
tractor near operations personnel. cals used for this purpose are sodium fluoride, fluorosilic
Figure 28.15 shows a schematic diagram of typical acid, and sodium fluorosilicate. Fluorosilic acid is available
ozone treatment for a small water system. Ozone- as a corrosive liquid, while the other two are available in
package units are available for small water plants, but crystalline or granular form. These chemicals can be fed by
power consumption is high and operation and mainte- solution or dry feeders, and the dosages must be carefully
nance is fairly complicated and costly. Ozonation can controlled. Too much fluoride can cause teeth to become
produce some undesirable halogenated organic materi- pitted and mottled, while too little has no effect.
als, but much less than disinfection by chlorination.
Package Plants
Corrosion Control Package plants offer many advantages over conventional in-
Corrosive water attacks the structural integrity of the dis- ground, custom-treatment plants for small systems. The
tribution system, causing leaks and adverse effects on the main difference between custom and package plants are
finished-water aesthetics. It also causes trace quantities of that package units are factory-assembled and mounted on
hazardous metals, mostly lead and copper, to be leached skids for transport to the site, while custom plants, as the
from both the distribution system and household fixtures name implies, are constructed at the site. Not only are the
into the consumable water, potentially affecting the health package units more economical to construct, but they are
of consumers. The lead and copper rule of the SDWA re- specifically designed to minimize operation attention. This
quires a testing program, based on population, and actions makes them ideal for application at small systems where
to reduce corrosiveness of the water when testing indicates full-time, trained operators are not usually available.

F IGURE 2 8 . 1 5 Schematic of a system that provides primary disinfection with ozone, filtration, secondary disinfection and excess ozone gas
destruction. (Courtesy of National Drinking Water Clearinghouse, Morgantown, WV.)
Package plants are appropriate in plant sizes from Residuals Disposal

25,000 gpd to 6,000,000 gpd. They can be used to treat Water-treatment plants generate residual wastestreams re-
ground water for contaminants, such as iron and manga- quiring handling and disposal facilities that must be
nese, or surface water with a wide range of characteristics. planned during the design of the facilities. Some treatment
The influent-water quality is the most important consider- processes result in residuals that are not particularly difficult
ation when selecting a package unit. However, package to handle. For example, debris separated by initial raw-
units are designed to treat water in a certain range of par- water screening, such as leaves and limbs, can be taken to
ameters, and it is important to select the appropriate unit conventional solid-waste landfills. Residual sludges formed
for the range of influent characteristics of the water to be when suspended solids in the source water are coagulated
treated. and settled can be disposed of in a variety of ways. They
The SWTR has greatly increased interest in package units can be discharged to a sanitary sewer, if available, de-
for small communities. Construction and maintenance of watered by a mechanical device (i.e., a sludge press or cen-
conventional custom plants that meet the new regulations trifuge), or discharged to a lagoon. However, decant from
poses financial challenges that can be somewhat relieved by sludge lagoons discharged to surface water must have a Na-
use of package plants instead. tional Pollution Discharge Elimination System (NPDES)
Package units, which are able to compactly incorporate permit. The solids that are held in lagoons must eventually
conventional processes, are widely used in small systems to receive final disposal. They can either be hauled in liquid
treat surface and ground water sources. However, many of form to be applied on land or be processed at a wastewater
the advanced processes are also available in package units, treatment plant. Lagooned solids that have been held long
which can be used in combination with conventional pro- enough will become de-watered sufficiently so that they can
cesses to provide comprehensive water treatment. be excavated and hauled to landfills or permitted land-
The consulting engineer responsible for designing the application sites.
water-treatment facilities for land development projects As drinking-water quality becomes more stringently reg-
would do well to strongly consider package units for best ulated, it is reasonable to expect that contaminant-removal
economy and results. levels will increase. This will result in the use of more com-

plicated treatment processes and more complex and pos- Roscoe Moss Company, Handbook of Ground Water Development,
sible hazardous residuals. For example, brines resulting New York: John Wiley & Sons, 1990.
from ion-exchange media regeneration and solids from Virginia Department of Health, Waterworks Regulations, Com-
plants treating water with radionuclide content may require monwealth of Virginia, Richmond, VA., 1993.
special permits and handling methods for disposal. U.S. Environmental Protection Agency, Drinking Water Treatment
for Small Communities, EPA/625/5-90/025, 1990.
REFERENCES National Small Flows Clearinghouse, Pipeline, Winter 2001, Vol.
American Water Works Association, Design and Construction of 12, No. 1. West Virginia University, Morgantown, WV.
Small Water Systems, 2nd Ed., Denver, Colo: American Water National Drinking Water Clearinghouse, Ion Exchange and Demi-
Works Association, 1999. neralization, Tech Brief Four, West Virginia University, Morgan-
Babbitt, H. E., J. J. Doland, J. L. Cleasby, Water Supply Engineer- town, WV., 1997.
ing, 6th Ed., New York: McGraw Hill, 1962. National Drinking Water Clearinghouse, Membrane Filtration.
Cooley, R. L., J. F. Harsh, and D. C. Lewis, Hydrologic Engineering Tech Brief Ten, West Virginia University, Morgantown, WV.,
Methods for Water Resources Development, Vol. 10, Principles of 1999.
Ground Water Hydrology, Davis, Calif.: Hydrologic Engineering National Drinking Water Clearinghouse, Disinfection, Tech Brief
Center, 1972. One, West Virginia University, Morgantown, WV., 1996.

CHAPTER 29
EROSION AND SEDIMENT

CONTROL
John Matusik, P.E. / Edited/Updated: Timothy C. Culleiton, P.E.
INTRODUCTION sive erosion and sedimentation. Erosion controls limit the

Erosion is the detachment and transport of sediment paramount of eroded soil, and sediment controls prevent the
ticles caused by the forces of wind, rain, ice and gravity. release of the eroded sediment from the site into the natural
Sediment, the by-product of the erosion process, is the solid environment.
material composed of organic and mineral particles that is A distinction should be made between the terms ‘‘silt’’
in suspension or transport or has been relocated from its and ‘‘sediment.’’ The two words frequently are used inter-
origin. Deposition of these particles is sedimentation. changeably, although this is incorrect. In the classification
Natural erosion is a slow, uniform process essential for of soils, silt is the combination of microscopic soil particles
maintaining a balance between plant and animal life and is that consist of fine quartz grains and micaceous minerals.
responsible for the creation and evolution of natural land- Unlike silt, which is a classification of particle size, sedi-
forms. Land-disturbing activities, such as logging, mining, ment is a relative term. In large rivers with high energies,
farming, and construction, greatly accelerate the natural the particles transported may range from several inches in
erosion process. Such activities denude large areas of veg- diameter down to several microns. In small, weak streams,
etation, loosen and disturb the soil, increase the length and the size of the particles transported may be on the order of
gradient of land slopes and alter the natural surface-runoff 200 microns and smaller. Despite the significant difference
patterns. Such extreme and rapid changes in the natural in size, all of the transported particles are considered sed-
landforms can increase the erosion rate from two to several iment.
tens of thousands times the natural rate existing before the Most of the research for cause, effects and mitigation of
activity began. soil erosion focuses on erosion caused by water. However,
Short-term effects of erosion and sedimentation are rec- in dry climates and during the dry season in other climates,
ognizable near a denuded site immediately after a storm in soil erosion from wind can be significant and should not
the form of muddy runoff and sediment deposits on pave- be ignored. The scope of this chapter focuses on the cause,
ment. The long-term effects, such as reduced hydraulic ca- effects, and mitigation of soil erosion as it relates to land
pacity of streams and degraded water quality, take years development construction sites.
before they are recognized. Additionally, the long-term ef-
fects of a denuded site extend downstream to the lower CONSEQUENCES OF EXCESSIVE EROSION
reaches of the drainage shed. These effects take the form of Various types of nutrients and toxicants become attached
reduced hydraulic capacity in streams and culverts due to to the surface of soil particles and, if carried into streams
sedimentation, which creates higher flood elevations. Re- and lakes, their effect can be detrimental to aquatic ecosys-
duced water quality affects aquatic life and recreational ac- tems. Other residual effects of sediment include reduced
tivities. hydraulic capacity of streams resulting in higher flood ele-
Specific types of controls can be incorporated as part of vations, loss of storage volume in lakes, increased turbidity,
any land-disturbing activity or operation to reduce exces- and smothering of ecosystems residing on the bottom of
771
EROSION AND SEDIMENT CONTROL
the channels and lakes. On an even more local scale, ex- Hydraulic Capacity and Storage
cessive and uncontrolled erosion causes damage to adjacent Alluvial channels are those watercourses that contain clays,
properties such as lawns and landscaped areas, trees, side- silts, and sands in the bed and bank linings. This includes
walks, and walkways, and this in turn creates a bad rela- most natural streams. The silt and sand lining is in constant
tionship between residents and the developer or contractor. motion. The stream lifts and carries the particles for short
distances, less than 1 ft, or for considerably longer dis-
Water Quality
tances, depending on the transport energy. The distance de-
The highest concentration of natural soil nutrients, such as pends on the size, shape, and density of the particles
phosphorus, nitrogen, and their compounds, reside in the relative to the transport energy of the stream. The transport
upper layers of soils. Clearing and grading operations ex- energy of the stream is, in part, associated with the channel’s
pose much of these surface soils so that surface runoff car- discharge, velocity and geometric configuration.
ries the nutrient-laden sediment into the streams and Despite the constant motion of the lining, many reaches
ponds. The adverse effects of excessive sediments and ad- of natural streams are in a state of equilibrium over a given
sorbed compounds can extend to the ecosystems at the wa- period. That is, the channel is considered stable with no
ter’s surface, which rely on the water as part of their life objectionable silting, scouring or sedimentation within the
support. The injection of excessive sediments and colloids reach. When the water/sediment discharge balance is dis-
into the watercourse increases the turbidity, which reduces turbed, the stream compensates for the imbalance by ag-
the amount of sunlight dispersed throughout the water. grading or degrading the bed and banks. If the imbalance
Since most aquatic vegetation and organisms require nom- causes the stream section to carry less sediment than nat-
inal amounts of sunlight for energy and growth, the change urally supplied, the bed and banks begin to erode (degra-
in turbidity affects the type and amount of plants and or- dation) to make up for the deficit. Conversely, injecting the
ganisms that can survive. This, in turn, affects other crea- stream with more sediment than it can carry causes depo-
tures higher in the food chain. sition of the sediments (aggradation). In each case, the
Additionally, decreased sunlight in the water creates fluc- channel’s hydraulic characteristics change, and this affects
tuations in the dissolved oxygen content and creates ther- the floodplain and hydraulic structures along the water-
mal stratification in the water. Aquatic life thrives within course.
small variations of thermal conditions and requires specific Aggrading sections tend to raise water-surface elevations,
amounts of dissolved oxygen. Their existence depends on the consequences of which are most damaging during
a stable environment. Increased turbidity reduces the tem- floods. As the sediments deposit and fill in the stream sec-
perature of the water near the surface. The cooler, denser tion, the normal water-surface levels are forced to rise to
water sinks to the lower levels displacing the less dense, higher flood levels to obtain the required conveyance. The
warmer layer of water. The lower layer of water carries nu- higher water elevations then, in turn, erode the unstable
trient materials and light sediments with it as it moves to upper portions of the banks. This compounds the environ-
the surface. The increased concentration of mineral and or- mental problem by adding more sediment to the stream and
ganic nutrients in the water coupled with the wide fluctu- drastically altering the section. Subsequently, the same vol-
ation of dissolved oxygen produces an aquatic environment ume of water from the more frequent storms begins to over-
conducive to plants rather than aquatic animals. The trans- flow the banks and expand the limits of the floodplain; the
formation of the water from low concentrations of vital nu- resulting effects from the localized aggradation and degra-
trients, with stable, wide variations of life forms, to water dation are relayed upstream and downstream. Additional
with increased nutrient concentrations and fluctuation of sediments transported downstream tend to block stream
dissolved oxygen, substantially reduces the types of life crossings and reduce the capacity of the stream itself. Up-
forms that can exist in such conditions, the consequences stream, increases in water surface because of the backwater
of which are a notable reduction in water quality. effects from the floodwaters can occur.
Nitrogen, phosphorus and other biostimulants added to Many land development projects incorporate lakes and
natural waters promote algae and bacteria growth. A chain- ponds into the design to control post development runoff.
reaction begins with the proliferation of algae due to the Proper operation of these ponds depends on adequate stor-
abundance of phosphorus. The algae propagate, die off, and age volume to accommodate the excess runoff. The excess
fall to the bottom of the pond. On the bottom, bacteria sediment accumulation displaces the water to higher levels
decompose this material consuming dissolved-oxygen in and affects flood stage as well as the water quality. If these
the process. Because of the reduction in dissolved-oxygen small ponds are not designed to accommodate excessive
levels, aquatic organisms are either driven away or die off sediment loads, maintenance costs for dredging remediation
as the excessive suspended sediments settle out of the water are significantly increased.
and the bottom vegetation becomes buried. The adverse
effects on fish include clogging of their gills and the suffer- SOIL EROSION AND SEDIMENTATION PROCESS
ing of abrasions, both of which severely reduce their ability The natural soil erosion and sedimentation process is an
to subsist in this environment. important factor in the formation of the surface features of

29. 䡲 EROSION AND SEDIMENT CONTROL 773
the earth. Features such as the Grand Canyon, badlands of storm intensity. Raindrops increase in size as storm inten-
the Dakotas, escarpments on mountains, fertile soils and sities increase from low to moderate intensities. However,
delta areas along rivers are the result of erosion. The erosion for higher-intensity storms, raindrop sizes decrease.
process contributes to a variety of vegetation growth, which, The transport process begins with entrainment of the soil
in turn, supports the various animal species. These surface particle. That is, the soil particle is ‘‘captured’’ and pulled
features, plant growth, and animal habitats are the natural along by the combined effects of turbulence and momen-
result of a slow, uniform process occurring over geologic tum of the fluid. Heavier-sediment particles near the bottom
time. Because of the long length of time for this change to of the flow mass move by bouncing, sliding or rolling. Flow
occur, the ecosystems are able to adapt gradually to the turbulence lifts the lighter sediment particles and transports
changes. Uncontrolled accelerated erosion has damaging ef- them in suspension. Whether the particle moves in suspen-
fects on the environment and compromises aesthetic values sion or along the bottom of the flow mass depends on the
important to development. velocity and turbulence of the water and the physical char-
The National Pollution Discharge Elimination System acteristics of the particles themselves.
(NPDES) discharge permit requirements that evolved from Rainfall not only acts as a detaching agent at impact, but
the Clean Water Act require a sediment and erosion control also as the transporting agent as runoff in the erosion pro-
plan as part of the design process. Design of a soil erosion cess. The common factor in detachment and transport is
and sedimentation plan for a development project requires the energy of the agent. At impact, the kinetic energy of the
a fundamental knowledge of the process itself. With a basic raindrop depends on its velocity and size. These parameters
understanding of the principles of soil erosion and sedi- are interrelated with the volume and intensity of the storm.
mentation mechanics, the engineer can then plan and de- The following summarizes the relationship between rain-
sign efficient methods for erosion and sediment control. drop diameter, rainfall intensity, and velocity:
Soil erosion and sedimentation is a three-step process.
First, the soil particles must be detached from the soil mass. 䡲 As raindrop diameter increases, rainfall volume
Water (or wind) must then contain sufficient energy for increases.
entraining and transporting the particles. Finally, deposition 䡲 As rainfall intensity increases, the average raindrop
occurs when the energy of the water (wind) is less than the diameter increases for lower-intensity storms and de-
fluid shear resistance and gravitational forces acting on the creases for higher-intensity storms.
sediment particles. The key to erosion and sediment control
is to prevent detachment and reduce the velocity of the 䡲 As raindrop diameter increases, the terminal veloc-
runoff. ity increases up to the limiting diameter of 6 mm.
Detachment and Transport Sheet Flow

Detachment of soil particles from the soil mass often begins After the soil has been fully saturated, the rain accumulates
when the energy of a raindrop hitting the ground is suffi- into small depressions. These depressions are on the order
cient to break down the soil aggregates and project them of only several raindrop diameters deep. As the depression
into the air. Upon impact, these ejected particles then con- capacity is exceeded, the first phase of runoff, referred to
tribute to the detachment of even more soil particles. Soil as sheet flow, begins. On a macroscopic scale, sheet flow
particles can be ejected 2 ft into the air and may be disappears as a very shallow uniform depth flowing over the
placed 5 ft in the horizontal direction. The detachment rate area. On a scale of a raindrop, it is a series of braided wa-
of the soil particles is a function of both the kinetic energy tercourses flowing in very small, unapparent channels. The
of the raindrop and the force holding the soil particle in depth of flow is slightly larger than several raindrop di-
place. Detachment occurs when the kinetic energy of the ameters. This type of flow usually lasts no more than several
raindrop is greater than the total energy that holds the par- feet and only during the early part of the rainstorm. Typical
ticle in place. The basic components of the particle energy velocity for this sheet flow is around 1 fps.
are the intragranular-frictional-resistance, gravity, and
chemical bonding. The most easily detached particles are Rill Flow
the medium and coarse non-cohesive particles. Cohesive Water transforms from sheet flow into rill flow as it moves
clay particles have the highest resistance to detachment be- down-slope. As sheet flow depth increases beyond several
cause of the strong, intraparticle ionic bonds. The raindrop raindrop diameters, the runoff begins flowing in more de-
must carry enough kinetic energy to overcome this intra- fined watercourses several inches deep. This concentration
particle bond for detachment to occur. of flow carries more momentum than sheet flow. Conse-
Raindrops vary in size, with the largest diameters on the quently, the erosive power and turbulence of rill flow is
order of 3⁄16-in. (5 mm). The velocity of the raindrop de- much higher than sheet flow. The relationship between ve-
pends on its size. As the diameter increases, the terminal locity, erosive power and transport capacity of flowing water
velocity increases up to a maximum of 30-mph (9 m/s) for is such that when the velocity doubles, the water breaks
the larger raindrop sizes. Velocity and size are related to the loose four times more soil and transports 32 times more

soil. Much of the soil erosion and transport of sediments Soil erosion and the transporting of soil particles is a
begins during the rill flow. progressive yet discontinuous process. The soil particles are
transported a fixed distance based on the energy of the
Gullies flowing water. Eventually, the particles will again be en-
The next phase in the erosion process is the formation of trained and transported further downstream when higher
gullies. Gullies are significantly larger than rills. These erosive velocities recur.
steep-sided watercourses with near vertical scarps at the The following statements summarize the relationship of
head may be several feet to 15 ft (and larger) deep and soil erosion with rainfall characteristics:
twice as wide. They may be hundreds of feet long. Gully 䡲 Average soil loss per rain event increases with the
formation comes about from the merging of many smaller intensity of the storm.
depressions. Overland flow and rain splash and soak the
soil to the point where the sides of these depressions erode 䡲 Most erosion occurs from moderate-storm events
away and slough to the bottom of the depression. As the producing 1 to 21⁄2 in. of rain.
sides of adjacent depressions wear away, the depressions 䡲 The erosive power of water is related to the vol-
combine as a larger one. The gully enlarges as the up-slope ume and velocity created by the storm. Any storm that
water flows through the gully and further deepens it. Flows effectively causes an increase of either of these two
entering the head of the gully have very high erosive en- parameters will pose a high erodibility risk. Erodibility
ergies. Erosion in this part of the gully causes the movement is the susceptibility of a soil to erosive forces.
of the gully to progress further up-slope. Figure 29.1 shows
the relative velocity during the various stages of the erosion FACTORS INFLUENCING SOIL EROSION
process. A soil’s propensity to erode not only depends on its char-
In land development projects, continuous grading and acteristics but also on the type of vegetation, topography,
construction operations prevent gully erosion, that is, un- and hydrologic conditions in a soil’s region. The variability
less the site sits unprotected and remains unvegetated for and non-deterministic nature of these factors adds to the
very long. Typically, this is not the case if judicious land difficulty in quantifying soil erosion to a high degree of
planning management is exercised during construction. certainty.
Most eroded soil at construction sites occurs from sheet and
rill erosion. Studies have shown that construction sites can Soil Characteristics
produce 1 yd3 of sediment per 100 ft2 of cleared areas dur- Rainfall and flowing water erode the soil only if the energy
ing a moderate-storm event. Estimates of soil erosion rates is high enough to dislodge and entrain the soil particles.
for a highway construction project in Fairfax County, Vir- The energies that hold the soil particles in place depend, in
ginia range from 126 to 151 tons/acre/year. This compares part, on the soil texture and soil structure. Soil structure is
to estimates of a natural erosion rate of 0.18 tons/acre/year the geometric arrangement of soil particles with respect to
in forestland, and estimates of agricultural erosion rates each other, that is, how the soil particles interlock with each
range from 0.3 to 6 tons/acre/year. other. Factors that affect the soil structure are the size,
shape, mineralogical composition and moisture content of
the particles. Soil texture, in the engineering sense, is a
measure of the particle size and gradation. It is the pro-
portion of the sand, silt and clay content within the soil.
Different organizations have developed different methods to
classify soils and particle sizes. Soil grain sizes as per vari-
ous organizations are shown in Table 39.12.
Energy from rainfall impact and runoff must overcome
the frictional resistance and any chemical bonding between
the particles. Once this threshold energy is reached, the
minimum energy to keep the particle in suspension or mov-
ing is considerably less. For those particles that move
through rolling-bouncing-sliding motions, the more round
the particle the less energy required. The minimum thresh-
old energy required to start a particle in motion depends
on the physical and chemical characteristics of the particle,
and these are directly related to the soil structure and tex-
ture. Non-cohesive granular soil particles (e.g., sand) re-
quire the least energy for incipient motion. Clays and silts
F IGURE 29.1 Relationship between runoff velocity and stages are platy and have strong chemical bonds. Thus, they have
of the erosion process. a higher threshold energy. Although clays have the highest

threshold energy for incipient motion, their size (2 microns) energy and close enough to the ground such that the sub-
makes them easily transportable once they are in motion. sequent kinetic energy of the collected secondary droplets
Two other factors that directly affect the erodibility of the is minimal.
soil are infiltration and permeability rate. Generally, those At the ground surface, the organic litter and other plant
soils that have high infiltration capacities and permeability debris reduce erosion in two distinct ways: they act as an
rates are less erodible. Since these soils have high infiltra- additional energy-absorbing barrier, and the layer and the
tion and permeability rates, the amount of runoff is re- shade from the foliage canopy reduce soil moisture evapo-
duced, as is the available energy to the surface soil particles. ration. Moderate amounts of soil moisture enhance the sta-
However, storms of sufficient duration will eventually ex- bility of the soil aggregates.
ceed the soil’s infiltration capacity. Once this happens, the Below the ground surface, a root system acts as a deter-
soil becomes saturated and the erosion-resistance of the rent for erosion. Nearly 75% of a root system is located in
high infiltration and permeable soil is temporarily lost. the upper 12 in. of the soil. A root system, along with
The following statements summarize the relationship be- surface debris, roughens the ground surface. These ground
tween erodibility and soil texture: surface irregularities reduce flow velocity and dissipate flow
energy, the consequences of which are a decrease in erosiv-
䡲 Soils containing high percentages of silts and sands ity, and the deposition of entrained particles. The increase
are the most erodible. Their erodibility is magnified in depression storage from the irregularities reduces runoff
when these soils appear on steep slopes. volume, and this reduces erosion potential.
䡲 Clean, well-drained, well-graded gravels are the
Soil Erosion on Slopes
least erodible. These soils have a high resistance to ero-
sion because of their combination of cohesive and in- Soil erosion rates are higher on slopes, with the highest
tergranular strength. erosion intensities occurring on convex slopes. Factors such
as slope length, gradient, and geometric configuration all
䡲 Higher-clay-content soils are less erodible except affect a slope’s erosion potential. Because of the slope, rain
the unstable clays, such as illite and montmorillonite, splash dispenses more soil particles down-slope than up-
which have low infiltration capacities and are highly slope. The amount dispensed down-slope increases with
susceptible to erosion. slope gradient. For slopes with a uniform gradient, the vol-
䡲 Soils with high organics are more permeable, ume and velocity of the runoff increase as slope-gradient
which allows for infiltration of higher amounts of rain and slope-length increase. The tangential stress of the flow-
water, and are more resistant to detachment. ing water combined with the gravity component of the
weight of the water in the direction of flow greatly increases
erosion potential.
Vegetation
Vegetation is perhaps the most important factor in reducing Soil Erosion from Snowmelt
soil erosion. Leaves, branches, and stems reduce the kinetic Although the impact of falling snow does not contribute to
energy of the raindrop and thus reduce detachment. Some the detachment of soil particles, the contribution to erosion
forms of vegetation are more effective at dampening the results from the snowmelt and the freeze-thaw cycles at
kinetic energy than others. The structure of the vegetation certain times of the year. As snow melts, it saturates the
must be sturdy enough to absorb the kinetic energy of the surface layer of the soil. If the immediate sublayers of the
raindrop. soil are nearly frozen, permeability and infiltration capaci-
Not all vegetation is beneficial in reducing soil detach- ties are significantly reduced. During a thaw, the top layer
ment. Droplets of rain falling from saturated foliage also of the soil becomes heavily saturated from the snow melt,
contribute to detachment. Although the foliage intercepts and the highly saturated soil slurry easily washes down-
the initial kinetic energy from the precipitation, the subse- slope with the snowmelt. At the next freeze–thaw cycle, the
quent kinetic energy of the droplets from the foliage often process repeats itself with the next available soil layer.
times is larger. Normally, raindrops falling from saturated
foliage are larger than the initial raindrops due to cumula- FACTORS INFLUENCING COASTAL EROSION
tive effects of the water collecting on the foliage. Hence, the Nature’s ability to shape the landscape is most apparent on
kinetic energy of these drops could be larger than the initial the coastline. The forces of waves, tides, and currents are
raindrops, assuming terminal velocity is attained in both constantly and sometimes dramatically altering the shore-
cases. Raindrops falling from heights of about 20 ft attain line. Variables that influence the erosion process include the
terminal velocity. Therefore, any vegetation that initially ab- frequency and intensity of storms, the geologic condition of
sorbs the kinetic energy of the raindrop and then imparts the coast, and the characteristics of the near-shore sea bot-
the same kinetic energy to a raindrop is not very effective tom. Coastal erosion, like soil erosion and the sedimenta-
in reducing detachment. Ideally, the most effective vegetation process, is a natural process that shapes the features of
tion would be strong enough to absorb the initial kinetic the earth. As discussed previously, land development can

accelerate the process of soil erosion, and this can lead to This raises the seafloor and flattens the overall profile of the
a degradation in water quality, an increase in flood hazards, beach. Waves then shoal and break further offshore, mini-
and a reduction in hydraulic capacity and storage. Likewise, mizing their erosive effects. Over time, after the storm, nor-
development can accelerate the coastal erosion process by mal wave action reshapes the beach, re-building the dunes
increasing flood hazards and the potential for property (see Figure 29.2).
damage. Despite the complex dynamics of the erosion pro-
cess along the coastline and the development hazards it Tides
creates, the demand for view and waterfront property cre- The gravitational effects of the sun and the moon in relation
ates strong pressure for development. to the earth cause tides. The ebb and flow of tides produces
The United States’ 30 coastal states contain approxi- regular changes in the level of the sea along the coast and
mately 85% of the country’s population, and over 50% of generates tidal currents. The influence of tides on beaches
the population reside within 50 miles of the coast. Accord- depends on tide range, which determines the zone over
ing to a study published by the Federal Emergency Man- which wave action can operate.
agement Agency in June, 2000, approximately 25% of
homes and other structures within 500 ft of the U.S. coast- Currents
line and the shores of the Great Lakes will fall victim to Currents, the movement of the oceans because of specific
erosion in the next 60 years. Property owners within the forces acting on the water, can carry large amounts of sed-
first few hundred feet of the nation’s coasts face as large a imentary material. Currents may or may not play a part in
risk of damage from erosion as they do from flooding. beach erosion, depending on the type of current and its
Development in several high-risk coastal areas studied location. Tidal and wave currents provide the greatest im-
has increased 60% over the last 20 years. This population pacts; however, coastal currents when close to shore may
explosion has resulted in development of property once contribute to beach erosion. Currents close to shore are
considered to be swampland, or too costly to develop, while
the type of development has evolved from rustic beachfront
cottages to multi-story, million dollar residences.
Coastal environments typically undergo continual natu- Dunes North beach profile
ral change, and coastlines routinely move back and forth as
a result of natural processes. If erosion is not balanced by Beach
accretion, the shore will be washed away. Coastal lands may
experience long-term erosion under some conditions. Ris-
ing sea levels cause a beach to migrate landward or the
beach will drown. This causes the land behind the beach
to erode. If the amount of sand from the seaward side is
reduced, a beach will erode the land behind it to maintain
a constant supply of sand. Many scientists believe global Adjustment for large waves
warming is causing sea-level to rise. While these projections
are uncertain, a rapid rise in sea level would result in sub- Dunes
stantial increases in coastal erosion. and beach
release sand
Waves
Sand moves
Wave motion is the most important force in the natural offshore
process of accretion and erosion of a shoreline. Waves form
as a result of deep ocean currents, winds and the rotation Recovery
New dunes
of the earth. Waves carry their energy to the shore where
they break and release their energy at the interface of land
and water. The characteristics of a wave depend on the
speed of the wind, its duration, and the unobstructed water Coastal dunes and
distance (or ‘‘fetch’’) it blows over. As waves break, run up beach store sand until
next large wave event
the shore and return, they carry sedimentary material, or
littoral drift, on-shore and off-shore. Most waves arrive at
an angle to the shore and setup a longshore current, moving
littoral drift in a series of zigzags as successive waves ad- Large waves, which tend to occur seasonally
vance and retreat. in Hawaii, cause a beach to temporarily
High waves, caused by storms, will cause a beach to change its profile.
change its shape. To absorb the additional energy of the
high waves, beaches and dunes will give up sand to the F I G U R E 2 9 . 2 Seasonal beach profile adjustments. (Source:
waves, which carry it seaward and drop it on the bottom. State of Hawaii, Department of Land and Natural Resources’ Website)
critical to beach drift, which is the lateral transport of beach detail involved in the design and construction of the device.
sediments. The type of control selected to serve a function is com-
mensurate with the type of construction and the physical
Human-induced Factors characteristics of the site.
Erosion can be accelerated by human alterations to the
coastline. Hardening a coastline can interfere with the nec- Site-Management Measures
essary beach profile adjustments because the dune can no Site management pertains to the general planning and
longer share its sand with the beach. As a retreating beach scheduling of construction operations and sequencing land
encounters a seawall or revetment it can no longer draw disturbance areas to reduce the site’s erosion potential for
upon the landward sand supply and it begins to erode. the entire term of the project. Site management also in-
Often, attempts to reduce erosion and build up one area of cludes identifying specific times for stabilizing areas and
the shoreline will result in reduced accretion elsewhere, re- maintenance of the controls. Typically, this aspect is done
ducing another shoreline. Human-induced impacts to the in note form on one of the erosion and sediment control-
natural vegetation on a dune system reduces the roots and plan sheets.
stems of the vegetation to trap fine soil and sand particles The following are typical topics addressed in site-
and decreases the stability of the dune. management measures.
Plan site development to avoid highly erodible areas and
EROSION-CONTROL BEST MANAGEMENT PRACTICES1 to preserve natural drainage features and environmentally
Erosion-control best management practices limit the sensitive site features.
amount of soil eroded from a site and indirectly control the
sedimentation process as well. The objective is to enhance 䡲 Recommend a limit to the amount of land area to
the site in ways to control the energy, velocity, and volume be denuded at any one time.
of runoff. 䡲 Recommend the specific sequencing of disturbed
Erosion control best management practices fall into three areas. (This is typically applicable to larger projects.)
general categories:
䡲 Recommend a phasing of construction operations
1. Site management measures limit the amount of ero- incorporating the previous two recommendations.
sion by controlling the construction activities through
judicious site planning and phasing of construction op- 䡲 Cite specific areas that should be immediately sta-
erations. bilized because of high erosion potential or off-site
damage potential. For example: steep slopes; long,
2. Soil stabilization measures, either vegetative or non- moderately steep slopes; areas near streams and areas
vegetative, decrease the erosion potential of the soil. near the perimeter of the property.
3. Structural measures, which take on various forms of 䡲 Specify a maintenance schedule for the inspection
devices, intercept and divert the runoff to stabilized of devices and clean out of sediment traps and basins.
collection areas or dissipate runoff energy.
Site Planning. During site development, measures can be
Each of the above measures can be divided into tem- implemented to reduce the erosion potential of a site both
porary and permanent measures. Temporary measures
during and after construction. However, the first and by far
function for durations no longer than the construction pe-
the most effective measure is reducing the erosion potential
riod. Some erosion-control best management practices are
of a site. Careful site planning can eliminate many potential
specifically designed to function for periods less than the
erosion and sedimentation problems by preventing them
entire duration of the project. Their purpose is to control
from occurring in the first place. Erosion rates can be con-
erosion only until the immediate area is stabilized before
trolled by limiting impacts to steep slopes (slopes greater
they are removed. Although these temporary measures usu-
than 15%) and highly erodible soils. Consider the use of
ally have low initial costs for installation, they have high retaining walls to reduce the development footprint and to
maintenance costs due to the non-durable materials used. avoid impacts to these areas. Preserve natural drainage fea-
Permanent measures, which have higher initial costs for tures and environmentally sensitive areas, thus preserving
construction, are justified on the basis of reduced mainte-
natural vegetation and other areas that filter runoff and re-
nance costs and the longevity of the structure. The higher
duce erosion potential. Create and retain buffer zones to
costs are attributable to the more durable materials and the
the environmentally sensitive areas to protect these areas
from the adverse impacts of development; prohibit clearing
and grading within post-development buffer zones.
1
Some localities refer to best management practices when describing measures taken Clustering of units in a smaller land area is a planning
to remove soluable chemicals from stormwater runoff. In a broader sense, many
other localities and the Environmental Protection Agency refer to all measures de-
tool that allows for the implementation of more effective
signed to improve water quality as best management practices, including those with perimeter-erosion and sediment controls during construc-
the primary purpose of removing suspended sediment from stormwater runoff. tion, preservation of natural drainage features and environ-
mentally sensitive areas, and the reduction of impervious Builders set their construction schedules based on a log-
area with reduced road lengths and parking areas. Reduc- ical sequence of events; for instance, street pavement is not
tions in the amount of impervious area protect the site’s placed until the utilities are in and subbase prepared, and
natural ability to filter and convey storm runoff. The use of the walls of a building cannot go up until the foundation
porous paving materials and the reduction of building set- is ready. The schedule is subject to weather conditions and
backs, which reduces access road lengths, are additional availability of materials and subcontractors. Most design en-
measures of controlling impervious area and reducing im- gineers are not truly versed in the intricacies of this aspect
pacts. The objective is to disturb the smallest area possible of construction. Subsequently, it is unwise for such an en-
in developing the site to reduce erosion and off-site trans- gineer to try to tell the builder specifically how to perform
port of sediment. the work. For this reason, the engineer should only rec-
Limiting Denuded Area. Staged construction avoids area- ommend construction phasing/sequencing on the erosion
wide clearance of a construction site by planning land- and sediment control plans or meet with the builder/de-
disturbing activities so that only the area under veloper (and/or the contractor) to establish construction
construction is exposed. The amount of disturbed land, to phasing/sequencing. For complex situations, the engineer
a limited extent, depends on how much land the builder may decide to meet with the developer before specifying
needs to disturb to perform his task. An upper limit may construction staging or land phasing. During this meeting,
be set by local design criteria. On one extreme, it is im- the engineer can acquaint himself with the builder’s or de-
practical for a builder to denude a 100-acre parcel if he can veloper’s approach for staging and phasing of the particular
work effectively in only 5 to 10-acre sections at a time. The project. He can then incorporate the approach into the site-
other extreme is witnessed when the amount of disturbed management measures, if and when practical or possible.
land is limited such that the builder is restricted so much However, this may not always be possible if the developer
that the ability to perform the task substantially increases is not familiar with the construction techniques or if the
construction cost. The amount of land that is workable on builder has not been selected.
a steady basis by the builder varies from project to project The erosion and sediment-control plan is subject to a
and from builder to builder. Limiting the amount of de- public agency review-and-approval process. Once the plan
nuded area at one time is practical for projects that have is approved, it is costly to revise it. Revisions to approved
sufficient area to allow for such phasing. plans must repeat the review-and-approval process. The
Consider the 5-acre commercial project where the build- public agency expects the erosion and sediment-control
ing and parking occupy most of the site. From the devel- plans to be carried through as shown on the plan. There-
oper’s perspective, the sooner the site is complete, the fore, it is advantageous for the engineer and builder/devel-
sooner the returns on investment begin. If the developer oper to design an effective, workable site-management
has to build the site in small phases, the additional devel- procedure at the outset.
opment cost reduces the return on the investment. It is
difficult to recommend a rule-of-thumb to use for the max- Soil-Stabilization Measures
imum amount of area allowed to be denuded. Most local- Soil stabilization measures prevent erosion by absorbing
ities have a set limit, by ordinance, on the amount of area rainfall energy, reducing overland flow velocity, increasing
that may be denuded at any one time. Other localities limit infiltration, and helping to retain soil moisture. Such mea-
the extent of time during which a disturbed area can sit sures are even used to bind the soil particles together to
unworked without stabilizers such as mulch or temporary stabilize the soil.
vegetation. This limit is often set at 14 days, with reduced Ground Covers. Ground covers include various vegetative
time limits (7 days) in critical areas, such as steep slopes. covers such as grass, vines, straw, wood chips and shredded
In those instances where there is no local criteria or where bark. Nets and mats are also a form of ground cover. Nets
the criteria do not apply, the engineer must rely on expe- are a heavy, uniformly woven cloth, most notably jute yarn.
rience and judgment. The engineer must be sensitive to Mats are porous, degradable material that roll out onto the
both the environmental consequences and the cost- surface. To be effective, nets and mats should be in contact
effectiveness of construction. with the soil surface and anchored securely.
Sequencing of Disturbed Areas. On large or complex The most favored form of vegetative ground cover, where
projects, an effective erosion and sediment-control plan may sufficient rainfall is available, is grass. It is the easiest and
require a specific sequence for disturbed areas, in addition fastest to install, and, relative to other forms of vegetative
to limiting the amount of land to be disturbed. This recovers, it has low maintenance costs. Although the easiest
quires the engineer to be familiar with the developer’s pro- way to generate grass is seeding, sprigging and sodding are
gram in order to coordinate the land-disturbing sequence other methods used to establish grass cover.
with the program. In such cases, the engineer must be care- Of primary importance when installing the grass seed is
ful to detail a sequence that is most cost-effective with the the need to keep the seed from washing or blowing away.
client/builder’s program. Typically, the sequence is such that This can be ensured by proper soil preparation with fertil-
an area is stabilized or other control measures are imple- izers and roughening the soil surface to promote germina-
mented before the next phase is begun. tion. Mulches are then added, as a temporary cover, to
protect the grass seed while it is germinating. Additionally, recommended for steep slopes or other special conditions.
mulches provide temporary surface-soil stabilization until Local design manuals, soil conservation district offices, and
the grass can grow and stabilize the area. The most com- the extension service of a local university provide planting
monly used mulches are hay and straw. For maximum ef- information. In areas where vegetation is not practical,
fectiveness, these mulches must be tacked, usually with mulches can be used as a substitute.
hydromulch, to prevent the wind from blowing them away. Soil Binders. Soil binders are chemicals and synthetic ma-
Grasses can be permanent or temporary. When used as terials sprayed onto the soil surface in order to bind the
permanent control measures, maintenance must be consid- soil particles together or to protect seeding and sprigs from
ered. Maintenance equipment (mowers, tractors) is difficult washing away. These are emulsions or dispersions of vinyl
to operate on slopes steeper than 4H:1V. Although steep compounds, rubber or other substances that are mixed with
slopes optimize land use they also make maintenance dif- water and applied to the soil. Soil binders are most effective
ficult. In general, the steeper the slopes, the less frequent when sprayed over an organic mulch to keep it from
maintenance operations should be expected. Installing a blowing away. Alone, soil binders do not have the capability
2H:1V slope instead of a 5H:1V slope may result in more to insulate or retain moisture and are easily damaged by
usable land. (The steeper slope requires less distance to tie- traffic. The soil binders decay within 60 to 90 days of ap-
out the proposed grade to the existing grade, thereby per- plication. Table 29.1 lists selected mulches and the rec-
mitting a larger portion of the site to be a flatter grade for ommended rates of application.
use as buildable or usable land). In areas of high land val- Soil Bioengineering. Historically, methods of controlling
ues, this may generate a substantial sum of money for the streamflow and wave-induced erosion have included struc-
developer. On long, steep slopes other forms of vegetative tural practices like riprap, sheet piles, and retaining walls.
practice should be considered. These traditional approaches are often not effective in en-
Grass-seed mixtures are regionally developed to suit cli- vironmentally sensitive areas when the objective is to limit
mate and soil conditions. Some species of grass are not disturbance and preserve the aesthetic quality of the natural
TABLE 29.1 Organic Mulch Materials and Application Rates

RATES
MULCHES PER ACRE PER 1000 SQ FT NOTES
Straw or hay 11⁄2 –2 tons 70–90 lbFree from weeds and coarse
(Minimum 2 tons matter. Must be anchored.
for winter cover) Spread with mulch blower or by
hand.
.....................................................................................................................
Fiber mulch Minimum 1500 lb 35 lb Do not use as mulch for winter
cover or during hot, dry
periods.* Apply as slurry.
.....................................................................................................................
Corn stalks 4–6 tons 185–275 lbs Cut or shredded in 4–6 in.
lengths. Air-dried. Do not use
in fine turf areas. Apply with
mulch blower or by hand.
.....................................................................................................................
Wood chips 4–6 tons 185–275 lbs Free of coarse matter. Air-dried.
Treat with 12 lb nitrogen per
ton. Do not use in fine turf
areas. Apply with mulch blower,
chip handler, or by hand.
.....................................................................................................................
Bark chips or 50–70 cu yds 1–2 yd3 Free of coarse matter. Air-dried.
shredded bark Do not use in fine turf areas.
Apply with mulch blower, chip
handler, or by hand.
* When fiber mulch is the only available mulch during periods when straw should be used, apply at a minimum arate of 2000 lbs / ac or 45 lbs / 1000 sq ft

setting. Soil bioengineering techniques use combinations of structural retaining systems alone. There are several limi-
live vegetation, with and without common structural prac- tations to bioengineering, as follows: the fact that the in-
tices, to produce erosion protection. The advantages of stallation season is often limited to the plant-dormant
these bioengineering solutions include: the environmental season, when site access may be limited; the availability of
benefits of wildlife habitat, water-quality improvement, and locally adopted plants may be limited; the availability of
aesthetics; improved strength and stability over time as veg- adequate sunlight because of existing tree canopy may be
etation becomes established; reduced construction-access limited; experienced labor may not be available; installers
requirements; and limited maintenance costs. Soil bioengi- may not be familiar with bioengineering principles and de-
neering is a diverse, multi-disciplinary, and rapidly growing signs and may require training; alternative practices may be
field requiring the knowledge of engineers, botanists, hor- more acceptable to property owners and contractors.
ticulturalists, hydrologists, soil scientists, and construction
contractors. Soil bioengineering yields the following advan- Structural-Control Measures
tages: temporary and permanent vegetation to reduce ero- There are practical and economical limits to the effective-
sion; off-site sedimentation; runoff; and velocities; increased ness of the erosion-control measures incorporated into a
consumption of internal soil moisture; and increased infil- site. Usually, soil-stabilization and site-management-erosion
tration. controls supplement structural controls. Structural controls
Examples of soil bioengineering techniques (Figure 29.3) intercept runoff before it flows over denuded areas or divert
include contour wattling, brush layering, brush mattressing, it to a control area after it flows over the denuded area.
and coir fascines. Other types of structural devices obstruct the runoff to re-
duce the velocity or detain it to allow sediments to settle
䡲 Contour wattling is used to break long slopes into out.
shorter slopes by planting bundles of branch cuttings Diversion Berms. Compacted earthen berms (Figure
(called wattles or fascines) in shallow trenches at regu- 29.4), stabilized with vegetation or mulch, divert or inter-
lar contour intervals along the slope. After staking the cept runoff. These berms are placed on natural grade
wattles in place, only the top is exposed. When in- around the perimeter of the denuded area. On the high side
stalled properly and cut from native plants, they will of the denuded area (up-slope), the berms (sometimes re-
root and immediately begin to stabilize the slope. ferred to as perimeter dikes) divert runoff around the de-
䡲 Brush layering is a method of restoring slopes by nuded area to limit the amount of runoff flowing over it
constructing a fill slope of alternating layers of live (see Figure 29.5). Runoff from rain, falling directly on the
branches and soil, creating a series of reinforced denuded area, is heavily laden with sediment. Berms lo-
benches. cated along the perimeter on the low side of the denuded
area direct the sediment-laden runoff to a sediment trapping
䡲 Brush mattressing is used to protect streambanks area, which filters out the sediments or allows the eroded
from erosion by placing a mattress-like layer of sediments to settle out before runoff is released into natural
branches over the bank to protect its soil and slow- watercourses.
water velocity. The usually dead branches are secured All berms are compacted to increase their resistance to
with stakes or live branches to collect sediment and erosion and for stability purposes. The compaction typically
enable the establishment of vegetation on the banks. is done by driving the earth-moving equipment along the
䡲 Coir fascines are wattles made from coconut fiber sides and ridge of the berm. Depending on the soil used
and are used to restore streambanks and wetlands for the berm and the height of the berm, the compaction
where a natural look is desired. The coir accumulates operation may have to be performed in approximately 1-ft
sediment and biodegrades as plant roots develop, thus lifts. Berms intended to function for extended periods (⬎30
becoming a stabilizing system. days) should also be stabilized with vegetation to ensure
their durability.
Riprap is often used to protect streambanks and lake- Berms are intended to collect and redirect sheet flows.
shores. Live cuttings can be interplanted in riprap to pro- They do not have the structural strength to withstand the
vide additional slope stability. Root growth below the riprap momentum of concentrated flow. Accordingly, they should
will improve the soil strength and hide the rocks, presenting not be installed across swales or ditches that convey appre-
a more natural look. Similarly, the use of live, woody cut- ciable amounts of concentrated flows. The longitudinal
tings in combination with porous, inert structural materials grade (i.e., parallel to the berm) on the side of the flow
help create live crib walls, vegetative rock gabions, and joint should be sufficient to ensure positive drainage to the out-
plantings that stabilize slopes and improve erosion control. let. Minimum grades of 1% suffice in most cases. Construc-
Soil bioengineering measures are not appropriate for all tion of grades less than 1% in bare soil is difficult and may
slope failure and slope erosion problems. In some cases, not be cost-effective. Steep, longitudinal slopes will result
grass seeding and hydomulching may be satisfactory and in excessive velocities and may erode the toe of the berm.
less costly. In other cases, it may be more effective to use Longitudinal slopes should keep velocities less than 3 fps.

Soil-bioengineering techniques.
29.3
F IGURE
781
(Continued) Soil-bioengineering techniques.

29.3
F IGURE
782

29.3
F IGURE
783

29.3
F IGURE
784
section and the side slopes less than the angle of repose of
the saturated bank soil. Angles of repose vary from less than
15⬚ for soft clays to over 40⬚ for large, angular non-cohesive
gravels. For normal design practice, maximum side slopes
of 2H:1V function adequately over the range of these angles
of repose.
Tables 29.2 and 29.3 identify various linings and the
recommended velocities for grass and earth-lined channels.
Use Manning’s equation to check the velocities in the chan-
nel and compare to the velocities given in Table 29.2 or
Table 29.3. When selecting the lining, consider whether the
channel will be temporary or permanent. Installation costs
should be kept to a minimum for temporary channels.
Slope Drains. If the flow behind a diversion berm gen-
erates highly erosive velocities, another method for convey-
ing the water over the slope should be used. As shown in
Figure 29.6, temporary slope drains or other types of
flumes can convey the flow over the face of a slope without
causing erosive damage.
Temporary slope drains consist of plastic pipe (flexible
or rigid) or geotextile fabric. The drains are installed on the
face of the slope and anchored securely. At the entrance of
the slope drain, a berm diverts the up-slope-runoff into the
slope drain and keeps the flow from sheeting over the ex-
posed face of the unstable slope. The force of the water
F I G U R E 2 9 . 4 Typical diversion berms. Adapted from ULI,
ASCE, and NAHB; Residential Erosion and Sediment Control, 1978. (Re-
produced by permission of ASCE.)
T A B L E 2 9 . 2 Permissible Velocities for
Earth-Lined Channels
If velocities approach 5 fps, special precautionary construc-
tion measures (e.g., special soils or armoring) should be SOIL TYPES PERMISSIBLE
used to reinforce the berm. VELOCITIES
Channel Conveyance. A shallow ditch ensures positive
Fine sand (noncolloidal) 2.5 fps
drainage for small quantities of concentrated flow. As the .....................................................
flows increase, a more refined ditch design is necessary. A Sandy loam (noncolloidal) 2.5 fps
ditch of prismatic cross section (e.g., trapezoidal, parabolic, .....................................................
rectangular) where the design velocity coincides with the Silt loam (noncolloidal) 3.0 fps
.....................................................
type of lining in the channel is required. Channels exca-
Ordinary firm loam 3.5 fps
vated in earth are most effective with a trapezoidal cross .....................................................
Fine gravel 5.0 fps
.....................................................
Stiff clay (very colloidal) 5.0 fps
.....................................................
Graded, loam to cobbles (noncolloidal) 5.0 fps
.....................................................
Graded, silt to cobbles (colloidal) 5.5 fps
.....................................................
Alluvial silts (noncolloidal) 5.0 fps
.....................................................
Alluvial silts (colloidal) 5.0 fps
.....................................................
Coarse gravel (noncolloidal) 6.0 fps
.....................................................
Cobbles and shingles 5.5 fps
.....................................................
F IGURE 2 9 . 5 Diverting runoff around the construction site. Shales and hard pans 6.0 fps
(From Goldman S, et al: Erosion and Sediment Control Handbook, 1986.
Reproduced with permission of McGraw-Hill.) (Source: Virginia Erosion and Sediment Control Handbook, 1992.)

TABLE 29.3 Permissible Velocities for Grass-Lined Channels

CHANNEL SLOPE LINING PERMISSIBLE VELOCITY
0%–5% Bermuda grass 6 fps

Reed canarygrass, tall fescue
Kentucky bluegrass 5 fps
Grass-legume mix 4 fps
Red fescue, redtop, sericea
lespedeza, annual lespedeza, 2.5 fps
small grains (temporary)
.....................................................................................................................
5%–10% Bermuda grass 5 fps
Reed canarygrass, tall fescue,
Grass-legume mix 3 fps
.....................................................................................................................
⬎10% Bermuda grass 4 fps
Reed kanarygrass, tall fescue,
.....................................................................................................................
(For highly erodible soilds, decrease the above velocities by 25%)
(Source: Virginia Erosion and Sediment Control Handbook, 1992.)
F IGURE 29.6 Slope drains. (Source: USDA, Soil Conservation Service.)

flowing through the slope drain, along with the vertical length of service precludes the use of other linings. Check
component of gravity acting on the drain itself, puts tension dams are typically stone structures placed across the flow
at the drain’s section joints. If the joints are not connected path in channels and ditches—not live streams. Check
and anchored securely, they separate. Extensive erosive dams act as energy dissipators, creating more resistance in
damage to the slope occurs when the slope drain fails in the watercourse, thereby reducing the water’s erosivity. Al-
this manner, resulting in costly repairs. though some sediment removal is expected through filter-
Outlet Protection. Outlet protection is used at the dis- ing, the use of check dams solely as filtering devices is not
charge end of a slope drain, paved flume, and at outlets of recommended. Their use is limited to channels that convey
pipes and channels. It consists of a structurally-lined apron runoff from 10 acres or less.
or other type of device, which reduces the erosion potential Check dams can be constructed of stone aggregate 3⁄4 to
1
downstream by dissipating the flow energy and allowing 2 ⁄2 in. in diameter for smaller drainage areas, with 6 to 12-
flow to transition back to the natural channel. In addition, in. stone riprap on the downstream side of the check dam
it prevents scouring at the base of the slope and underneath for larger drainage areas. The material is placed across the
the discharge end of the outlet pipe. channel from top-of-bank to top-of-bank, with the center
Depending on the flow energy and available materials, of the dam 6 in. lower than the top of bank. The upstream
the apron may consist of riprap, grouted riprap, gabion bas- and downstream faces of the stone check dams have slope
kets, concrete, or another type of structurally-sound mate- gradients of 2H:1V. Spacing of the check dams is such that
rial adequate for the hydraulic conditions. Paved channel the toe of the preceding upstream dam is at the same ele-
outlets and vegetal linings are other alternatives for apron vation as the top of the subsequent downstream dam. Fig-
material. Figure 29.7 shows two methods for pipe outlet ure 29.10 shows the typical layout of check dams.
protection depending on whether the structure discharges During high flows, water can pond behind the check
into a well-defined channel or a flat area. Figures 29.8 and dam and flow around it over the banks of the channel. This
29.9 provide the recommended apron length and stone size causes erosion of the banks at each end of the check dam.
for a given pipe diameter flowing full. Figure 29.8 is used After heavy rainstorms, the channel should be inspected for
to size riprap outlet protection stone when the prevailing any erosive damage, either in the vicinity of the check dams
tailwater depth at the discharge end is less than one-half or in the channel itself.
the diameter of the pipe. Figure 29.9 is used when the Level Spreader. The level spreader is a device that dissi-
tailwater depth is greater than or equal to one-half the pipe pates the energy of the concentrated flow by converting it
diameter. into sheet flow. The level spreader is an excavated depres-
sion with a level grade across the face of a stabilized slope.
E X A M P L E 1 : Given a pipe diameter (d) of 24 Concentated flow enters the level spreader, and when the
in., full-flow conditions with Q ⫽ 50 cfs and TW ⬍ capacity of the depression is exceeded, the flow uniformly
0.5*d, find length and width of outlet protection spills over the lip and down the slope as sheet flow.
apron. From Figure 29.8 for Q ⫽ 50 cfs and d ⫽ 24, The effectiveness of the level spreader depends on strict
read d50 ⫽ 1 ft. On the upper pipe diameter scale, adherence to construction specifications. The minimum
read La ⫽ 28 ft for d ⫽ 24. Then W ⫽ 2 ⫹ 28 ⫽ depth of the level spreader is 6 in. and is uniform across
30 ft. its length. Limiting the maximum velocity of the water en-
tering the level spreader to 3 fps prevents scouring within
The length of protection can be judged based on the the spreader. The grade across the spreader is flat and
magnitude of the exit velocity compared with the natural- should remain flat during its term of operation. The slope
channel velocity. The greater the difference, the longer the of the ground below the level spreader should be 2H:1V or
length of riprap-outlet protection. When outlet protection flatter to keep the sheet flow velocities from becoming too
lengths are not economical, or the length of placement is erosive. Steep slopes below the level spreader promote ero-
limited because of property constraints, other methods of sion as the sheet flow accelerates down-slope. The spreader
dissipating the energy should be considered. The Hydraulic length will be determined by estimating the flow expected
Design of Energy Dissipators for Culverts and Channels, Hy- from the design storm and selecting the appropriate length
draulic Engineering Circular No. 14, published by the U.S. from Figure 29.11.
Department of Transportation, Federal Highway Adminis- Production of uniform sheet flow requires uniform dis-
tration, provides design information for various type of en- charge over the lip. Any trash, debris, or sediment accu-
ergy dissipators. mulation within the level spreader will disturb the
production of uniform flow. Frequent inspection and clean-
Check Dams out is necessary for the level spreader to operate effectively
Check dams are used in conveyance channels where per- (see Table 29.4).
manent linings, such as sod, riprap, asphalt, or concrete,
are not cost-effective as a temporary measure to reduce ero- Coastal-Erosion-Control Measures
sion potential while vegetation is germinating. Check dams Losses due to erosion are anticipated to grow over the next
are also used in temporary channels and ditches where the few decades as coastal areas continue to erode into areas of
F IGURE 29.7 Pipe outlet conditions. (Source: Virginia Erosion and Sediment Control Handbook, 1992.)
788
F IGURE 29.8 Design of outlet protection for round pipe flowing full (Tw ⬍ 0.5*d). (Source: Virginia Erosion and Sediment Control Handbook,
1992.)
denser development. Site management and planning devel- from erosion and coastal flooding and require ongoing
opment to avoid sensitive coastal land are the most effective maintenance or repair. Methods of protecting beaches and
coastal-erosion-control measures. Many states regulate land shorelines from erosion have depended upon efforts to
use along the coast through setbacks, control zones, or a overcome the natural forces at work near the shoreline.
combination of the two. Setback requirements limit build- Structures such as seawalls, bulkheads, breakwaters, revet-
ing within a specified distance of the shoreline. Control ments, and groins have been created as barriers against the
zones regulate a range of activities, including construction natural effects of waves, tides, and currents. These struc-
or repair of shoreline stabilization structures, public access, tures inhibit the natural-functioning beach/dune system. In
and the use or alteration of a dune and other shore-line doing so, they interfere with the on-shore—off-shore move-
habitat areas. Acquisition of privately owned lands by the ment of sand and cause increased erosion on adjacent
government or non-profit groups is another means by shores by modifying sediment supply or changing wave-
which to control development in erosion-prone areas. Ac- refraction patterns. Today, traditional structural measures
quisition can also be used to achieve important community are generally limited to the protection of existing non-
goals like environmental protection and public-beach ac- conforming structures and include the following.
cess. However, acquisition has not been widely used due to Seawalls and Bulkheads. Seawalls and bulkheads have
the high costs of coastal property. been used traditionally to protect development from storm
In an attempt to protect property from erosion, a variety surges and further recession of an eroding shoreline. Sea-
of structural and non-structural measures has been utilized. walls are used primarily to resist wave action. Bulkheads
Many of these measures provide only temporary protection act as retaining walls, keeping the earth behind them stable.

F IGURE 29.9 Design of outlet protection for round pipe flowing full (Tw ⱖ 0.5*d). (Source: Virginia Erosion and Sediment Control Handbook,
1992.)
While these can prevent the recession of a shoreline, they wave-carried debris, both in front of the wall and behind
cannot prevent the erosion of beach areas. Hardening of a it. Water flowing around the wall can cause excessive ero-
shoreline can interfere with the necessary profile adjust- sion, so the flanks of the wall need to be protected.
ments of a beach. A dune can no longer share its sand with Breakwaters. Breakwaters provide an off-shore impedi-
a beach. As a retreating beach encounters a seawall or bulk- ment to the high-energy waves that are responsible for a
head it can no longer draw upon the landward sand supply large part of the erosion of beach areas. Breakwaters create
a physical barrier to the beach and shore in order to disrupt
and it begins to erode.
the scouring of the waves. While breakwaters can reduce
Seawalls and bulkheads can be built in three basic types: the erosive impact of waves, they can cause localized ac-
interlocking sheetpiles driven into the ground; individual cretion in the lee of the breakwater interfering with long-
piles used to support an above-ground structure; or a mas- shore currents. Longshore currents are valuable for clearing
sive gravity-construction resting on the shore-bottom sup- debris from beaches. Breakwaters, including a number of
ported by its own weight. Bulkheads and seawalls must be patented breakwater-systems, can be constructed from
of sufficient strength to withstand the forces of waves and many different materials.

of steep revetments are prone to erosion. In some locales,

bank sloping in combination with soil-bioengineering tech-
niques is favored over structural revetments.
Groins. Groins are used to manage long-shore transport
of littoral drift to control erosion. Groins are structures that
extend perpendicularly from the coastline and are con-
structed in groups called fields. They are most effective
where the longshore transport is predominantly in one di-
rection, or where their construction will not cause unac-
ceptable erosion of the downdrift shore. Groin fields must
be designed carefully with respect to height, spacing, ex-
tension, and porosity. Groins must extend far enough in the
water to retain adequate amounts of sand, but not so long
that rip currents develop along them. Rip currents carry
sand off-shore into deep water where waves cannot return
it to the beach.
Non-structural measures to protect coastal property from
erosion include vegetation and replenishment. Natural, salt-
resistant vegetation provides good protection for the dune
system, inhibits both wind and sand erosion and allows the
system to adjust to natural stresses. Removal of existing salt-
resistant vegetation from dunes usually is discouraged or
prohibited. Adding fill to beach, either to replace the lost
beach materials or to increase the size of an existing beach,
can be economical and effective. The beach-replenishment
material should resemble the original beach material and be
placed to match the natural slope as closely as possible.
THE UNIVERSAL SOIL LOSS EQUATION

One of the most widely used and accepted equations for
estimating soil erosion is the Universal Soil Loss Equation
(USLE), an empirical equation developed by the U.S. De-
partment of Agriculture. It was initially developed for ag-
ricultural purposes and since has been adapted to apply to
construction sites. The USLE estimates the annual tonnage
of soil eroded from the site attributable only to sheet and
rill erosion. This easily converts into a volume, assuming a
unit weight of soil.
Three common terms used in context with quantifying
erosion are ‘‘soil erosion,’’ ‘‘soil loss,’’ and ‘‘sediment yield.’’
F I G U R E 2 9 . 1 0 Construction details for check dams. (Source: Soil erosion is the amount of soil moved by natural forces.
Virginia Erosion and Sediment Control Handbook, 1992.) Soil loss is the amount of soil moved off a particular area.
Sediment yield is the soil loss delivered to a specific point.
Sediment yield and soil loss are not necessarily equivalent.
The amount of soil loss from a slope will be less than the
Revetments. Revetments are structures placed on the
sediment yield farther down slope because of deposition
banks or bluffs in such a way as to absorb the energy of
that occurs between the point in question and the base of
incoming waves. They are usually built to preserve the ex-
the slope. Not all eroded soil qualifies as soil loss either.
isting uses of the shoreline and to protect the slope. Where
Eroded soil may be redeposited before it leaves the slope
available, rubble or quarry stone makes the most reliable
and, therefore, does not factor into soil-loss quantity. The
and economical revetments. Other alternatives include bags
USLE is
filled with a wet sand—cement mixture, concrete blocks or
slabs, and gabions. Most revetments do not significantly A ⫽ R ⫻ K ⫻ (LS ) ⫻ C ⫻ P (29.1)
interfere with littoral drift. They do not redirect wave energy
to vulnerable unprotected areas, although beaches in front where A is the average annual soil loss from sheet and rill

F IGURE 29.11 Level spreader. (Source: Virginia Erosion and Sediment Control Handbook, 1992.)
erosion measured in tons/acre. The remaining terms of the K values can be obtained from local Soil Conservation Ser-
equation are discussed next. vice offices. Table 29.5 lists approximate values for gener-
alized soils. Generally, those soils with K ⬍ .23 are
Rainfall-Erosion Index (R) low-erodibility soils and soils with K ⬎ .41 are considered
The rainfall-erosion index is the product of the total rain- highly erodible.
drop energy, E, of the storm and the maximum 30-min
intensity, I. I-values for a geographic location are obtained
Length-Slope Factor (LS)
by summing the I-values for significant storms from a max-
imum 22-yr record to obtain an average annual index value. The effects of slope-length and steepness are quite signifi-
Figure 29.12 provides annual average values of R. Recog- cant to soil erosion. The combined topographic effects of
nize that R is based on statistical and probabilistic analyses length and steepness are accounted for in the LS factor. The
of rainfall records and, because of this, is not a precise fac- values for LS range from less than 1 for short, flat slopes
tor for a given locality. Methods exist for computing more to nearly 50 for long, steep slopes, as demonstrated by Eq.
precise values of R from local storm data. (29.2).
Soil-Erodibility Factor (K)

A soil’s susceptibility to erosion depends on its physical and
LS ⫽ 冉冊冉
L
72.6
m
6.574 冊
430x 2 ⫹ 30x ⫹ 0.43
(29.2)
chemical characteristics. The K factor is an empirical value

representing the erodibility per rainfall-erosion-unit. Named where L ⫽ slope length in feet, m ⫽ 0.5 for slopes ⱖ5%,
soils (i.e., soil series) for a region and their corresponding m ⫽ 0.4 for slopes between 3.5% and 4.5%, m ⫽ 0.3 for
slopes ⱕ3%, X ⫽ sin ␪ where ␪ is the slope ⱔ in degrees.
The slope-length L is the average distance, in feet, from
the point of origin of overland flow to either the point
T A B L E 2 9 . 4 Level Spreader Length for where slope decreases to the extent that deposition begins,
Design Flows or the point where runoff enters well-defined channels,
DESIGN FLOW MINIMUM LENGTH whichever occurs first. This empirical equation is based on
(cfs) (ft) data collected for slope-lengths between 10 and 400 ft and
gradients between 3 and 20%. Any use of this equation
0–10 10 beyond this data range is an extrapolation of the data and
.....................................................
may need to be adjusted on the basis of judgment and
10–20 20
experience.

Average annual values of the R factor. (Source: USDA, SCS 1977.)

29.12
F IGURE
793
TABLE 29.5 K Values for Generalized Soils

K VALUE FOR TOPSOIL
TEXTURE OF SURFACE LAYER ESTIMATED K VALUE
Clay, clay loam, loam, silty clay .32

.....................................................................................................................
Fine sandy loam, loamy very fine sand, sandy loam .24
.....................................................................................................................
Loamy fine sand, loamy sand .17
.....................................................................................................................
Sand .15
.....................................................................................................................
Silt loam, silty clay loam, very fine sand loam .37
K VALUES FOR SUBSOIL
GENERALIZED SOIL CATEGORY ESTIMATED K VALUE OF
(TEXTURE OR MATERIALS) EXPOSED SUBSOIL MATERIAL
A.
Outwash soils
Sand .17
Loamy sand .24
Sandy loam .43
Gravel, fine to mod. fine subsoil .24
Gravel, med. to mod. coarse subsoil .49
.....................................................................................................................
B. Lacustrine soils
Silt loam and very fine sandy loam .37
Silty clay loam .28
Clay and silty clay .28
.....................................................................................................................
C. Glacial till
Loam, fine to mod. fine subsoil .32
Loam, med. subsoil .37
Clay loam .32
Clay and silty clay .28
.....................................................................................................................
D. Loess .37
.....................................................................................................................
E. Residual
Sandstone .49
Siltstone, nonchannery .43
Siltstone, channery .32
Acid clay shale .28
Calcereous clay shale or limestone residuum .24
Source: Soil Conservation Service, Water Management and Sediment Control for Urbanizing Areas, Columbus, Ohio, 1978, p. 79.
On slopes with non-uniform gradients, such as complex 2. An irregular slope can be divided into several
or convex slopes, the value for the LS factor is adjusted to equal-length segments where each segment has a uni-
account for non-uniform gradients. The adjustment is pred- form gradient for its length.
icated on the following two assumptions:
The effective LS value, LSe, is computed by dividing the
1. A change in the gradient is not sufficient to cause irregular slope into equal-length segments, each with its
up-slope deposition. own average gradient, which must be greater than 5%. Us-

ing the total length of the slope and the gradient for each cover and the condition of the soil over the area. Specifi-
segment, an (LS )⬘ is found for each segment using Eq. cally, it is a ratio of the soil loss from a specific cover con-
(29.2). This value is multiplied by the weighing factor dition to the soil loss from a clean-tilled fallow condition
found in Table 29.6. The products are summed and divided for the same soil, slope, and rainfall conditions. For de-
by the number of segments to obtain the effective LS value. nuded construction sites, a C-factor of 1 is appropriate. This
In equation form, condition is similar to the agricultural definition of contin-
uous fallow, tilled up and down-slope, where C ⫽ 1. Table
冘 (LS )⬘f
n
29.7 shows typical C-values for undisturbed land. Table
i
i⫽1 29.8 shows C-values for various types of soil covers.
(LS )e ⫽ (29.3)
n
Erosion-Control-Practice Factor (P)
where fi is the weighing factor for the i-th segment and n
is the number of equal-length segments. The erosion-control-practice factor accounts for ground-
surface conditions that affect the velocity of the runoff. Spe-
E X A M P L E 2 : Find the effective LS factor for a cifically, P is defined as the ratio of the soil loss with a given
concave slope divided into four segments of 200 ft, surface condition to the soil loss with up-and-down-hill
with slopes (top to bottom) of 12, 10, 8 and 5%. plowing. Such conditions would be contouring, terracing,
roughening the soil, sediment basins, and control struc-
S O L U T I O N : Find the (LS)⬘ value for each seg-
tures. Table 29.9 shows estimated values of P that apply to
ment using L ⫽ 600 ft and s1 ⫽ 12%, s2 ⫽ 10%,
construction areas.
s3 ⫽ 8%, and s4 ⫽ 5% using Eq. (29.3). For example,
a 12% slope is equivalent to 6.8⬚ (sin 6.8⬚ ⫽ 0.119).
Limitations of USLE
(LS )⬘12% ⫽ 冉冊冉600
72.6
0.5
430(.119)2 ⫹ 30(.119) ⫹ 0.43
6.574 冊 The USLE is an empirical equation that initially was devel-
oped for agricultural applications. The USLE applies to rel-
atively large, homogeneous soil areas and is based on
⫽ 4.4 (29.4)
long-term averages of rainfall and soil losses from runoff
Similarly, (LS)10% ⫽ 3.5, (LS)8% ⫽ 2.4 and (LS )5% ⫽ 1.4. directly on the slope. It does not estimate deposition, nor
From Table 29.6, the weighing factors are 0.50, 0.91, 1.18, does it estimate sediment yield at a downstream location.
and 1.40 and the effective LS is Morphological features of agricultural land are different
from urbanized developing land. Agricultural land typically
4.4(.50) ⫹ 3.5(0.91) ⫹ 2.4(1.18) ⫹ 1.4(1.40) is characterized by relatively long, regular, gentle slopes,
(LS )e ⫽
4 whereas construction sites may have discontinuous and ir-
⫽ 2.5 (29.5) regular land patterns. The land patterns of a construction
site are a combination of steep slopes, sharp breaks, exca-
Cover Factor (C) vation holes and mounded piles of excavation soil. Since
The cover factor is the vegetative cover or the cropping- the USLE measures average annual soil loss, the erosion
management factor. It is an index of the type of ground from the relatively short-term denuding-stabilization se-
TABLE 29.6 Factors to Adjust LS Values for Successive Segments of a Slope where the Slope
Length Exponent, m, Equals 0.5
NUMBER EQUAL-LENGTH SEGMENTS
SEGMENT NO. INTO WHICH THE SLOPE IS DIVIDED
(TOP TO BOTTOM) FOR EVALUATION OF LS
2 3 4 5
1 0.71 0.58 0.50 0.45
.....................................................................................................................
2 1.29 1.06 0.91 0.82
.....................................................................................................................
3 1.37 1.18 1.06
.....................................................................................................................
4 1.40 1.25
.....................................................................................................................
5 1.42
Source: Soil Conservation Service, Water Management and Sediment Control for Urbanizing Areas, Columbus, Ohio, 1978, p. 83.

TABLE 29.7-a C Factors for Undisturbed Land1

COVER THAT CONTACTS THE SOIL SURFACE
VEGETATIVE CANOPY
PERCENT GROUND COVER
TYPE AND PERCENT
HEIGHT2 COVER2 TYPE4 0 20 40 60 80 95ⴙ
No appreciable canopy G .45 .20 .10 .042 .013 .003

W .45 .24 .15 .091 .043 .011
.....................................................................................................................
Tall grass, weeds, or short brush 25 G .36 .17 .09 .038 .013 .003
with average drop fall height of 20 W .36 .20 .13 .083 .041 .011
in or less
50 G .26 .13 .07 .035 .012 .003
W .26 .16 .11 .076 .039 .011
G 75 .17 .10 .06 .032 .011 .003

W .17 .12 .09 .068 .038 .011
.....................................................................................................................
Appreciable brush or bushes, with 25 G .40 .18 .09 .040 .013 .003
1
average drop fall height of 6 ⁄2 ft W .40 .22 .14 .087 .042 .011
50 G .34 .16 .08 .038 .012 .003

W .34 .19 .13 .082 .041 .011
G 75 .28 .14 .08 .036 .012 .003

W .28 .17 .12 .078 .040 .011
.....................................................................................................................
Trees, but no appreciable low brush. 25 G .42 .19 .10 .041 .013 .003
Average drop fall height of 13 ft W .42 .23 .14 .089 .042 .011
50 G .39 .18 .09 .040 .013 .003

W .39 .21 .14 .087 .042 .011
75 G .36 .17 .09 .039 .012 .003

W .36 .20 .13 .084 .041 .011
1
The listed C values require that the vegetation and mulch are randomly distributed over the entire area. For grazed forest land multiply these values by 0.7.
2
Canopy height is measured as the average fall height of water drops falling from the canopy to the ground. Canopy effect is inversely proportional to drop fall
height and is negligible if fall height exceeds 33 ft.
3
Portion of total-area surface that would be hidden from view by canopy in a vertical projection (a bird’s-eye view).
4
G: cover at surface is grass, grasslike plants, decaying compacted duff, or litter. W: cover at surface is mostly broadleaf herbaceous plants (as weeds with little
lateral-root network near the surface) or undecayed residues or both.
(Source: USDA, SCS 1977.)
quence, typical of a construction site, may not be indicative The use of the USLE provides an estimate of the erosion
of the value obtained from the USLE. Runoff from an area potential of a site. Using the USLE to compare different
above a disturbed slope was not a factor in establishing the practices at a construction site is appropriate; however, us-
USLE, yet runoff from up-slope areas does occur on con- ing the USLE to compare one construction site to another
struction sites. Therefore, use of the USLE, especially for is not recommended. Furthermore, the equation is unable
construction sites, requires the site area to be broken down to account for the deposition that occurs in the non-
into homogeneous areas. The USLE should be applied to homogeneous irregular land forms typical of land devel-
each individual area, with the sum being more representa- opment projects. Not all sediment eroded from a site can
tive of the soil-erosion estimate. be classified as soil loss relative to the boundaries of the

TABLE 29.7-b C Factors for Mechanically-prepared Woodland Sites

SOIL CONDITION2 AND WEED COVER3
EXCELLENT GOOD FAIR POOR
MULCH
SITE PREPARATION COVER1 NC WC NC WC NC WC NC WC
Percent
Disked, raked, or bedded None
4
0.52 0.20 0.72 0.27 0.85 0.32 0.94 0.36
10 .33 .15 .46 .20 .54 .24 .60 .26
20 .24 .12 .34 .17 .40 .20 .44 .22
40 .17 .11 .23 .14 .27 .17 .30 .19
60 .11 .08 .15 .11 .18 .14 .20 .15
80 .05 .04 .07 .06 .09 .08 .10 .09
.....................................................................................................................
Burned5 None .25 .10 .26 .10 .31 .12 .45 .17
10 .23 .10 .24 .10 .26 .11 .36 .16
20 .19 .10 .19 .10 .21 .11 .27 .14
40 .14 .09 .14 .09 .15 .09 .17 .11
60 .08 .06 .09 .07 .10 .08 .11 .08
80 .04 .04 .05 .04 .05 .04 .06 .05
.....................................................................................................................
Drum chapped5 None .16 .07 .17 .07 .20 .08 .29 .11
10 .15 .07 .16 .07 .17 .08 .23 .10
20 .12 .06 .12 .06 .14 .07 .18 .09
40 .09 .06 .09 .06 .10 .06 .11 .07
60 .06 .05 .06 .05 .07 .05 .07 .05
80 .03 .03 .03 .03 .03 .03 .04 .04
1
Percentage of surface covered by residue in contact with the soil.
2
Excellent soil contition—Highly stable soil aggregates in topsoil with fine tree roots and litter mixed in. Good—Moderately stable soil aggregates in topsoil or
highly stable aggregates in subsoil (topsoil removed during rading), only traces of litter mixed in. Fair—Highly unstable soil aggregates in topsoil or moderately
stable aggregates in subsoil, no litter mixed in. Poor—No topsoil, highly erodible soil aggregates in subsoil, no litter mixed in.
3
NC—No live vegetation. WC—75-percent cover of grass and weeds having an average drop fall height of 20 in. For intermediate percentages of cover, interpo-
late between columns.
4
Modify the listed C values as follows to account for effects of surface roughness and aging. First year after treatment: multiply listed C values by 0.40 for rough
suface (depresions ⬎6 in.); by 0.65 for moderately rough; and by 0.90 for smooth depressions ⬍2 in.) For 1 to 4 years after reatment: multiply listed factors by
0.7. For 4⫹ to 8 years: use table 3–2. More than 8 years: use table 3–3.
5
For first 3 years: use C values as listed. For 3⫹ to 8 years after treatment: use table 3–2. More than 8 years after treatment: use table 3–3.
(Source: USDA, SCS 1977.)
site, since some soil is redeposited on site from natural dep- Water Erosion Prediction Project (WEPP)
osition. The WEPP soil-erosion model was developed by an inter-
agency group consisting of the USDA—Natural Resources
The Revised Universal Soil Loss Equation (RUSLE) Conservation Service, USDA—Forest Service, USDI—
The RUSLE is a widely used computer program developed Bureau of Land Management and others involved in soil
by the USDA—Agricultural Research Service to estimate and water conservation and environmental land planning
rates of soil erosion caused by rainfall and associated over- and assessment. WEPP was completed to replace the USLE
land flow. The RUSLE, while still using the same terms, and its subsequent updates (RUSLE). The USLE is appli-
incorporates data and additional theory for describing hy- cable for predicting sheet and rill erosion. The WEPP
drologic and erosion processes not included in the original model’s overland-flow-profile simulations are applicable to
USLE. The new data and additional theory have allowed for sheet and rill erosion, while its watershed simulations are
additional refinement of the evaluating terms to suit con- applicable to field situations with multiple profiles, gullies
ditions that are more specific. or grassed waterways, and impoundments. The current ver-

T A B L E 2 9 . 8 C Factors for Various T A B L E 2 9 . 9 Erosion-control Practice

Types of Soil Covers Factor, P, for Construction Sites
MULCH ADEQUATELY CRIMPED INTO SOIL C FACTOR
(Ports, 1973)
Bare Area 1.00 Surface Condition With No Cover Factor P

1
⁄4 ton straw mulch per acre .52 1. Compact, smooth, scraped with bull- 1.30
1
⁄2 ton straw mulch per acre .35 dozer or scraper up and down hill
.....................................................
3
⁄4 ton straw mulch per acre .24 2. Same as above, except raked with 1.20
1 ton straw mulch per acre .18 bulldozer root, raked up and down hill
11⁄2 ton straw mulch per acre .10 .....................................................
2 ton straw mulch per acre .06 3. Compact, smooth, scraped with bull- 1.20
3 ton straw mulch per acre .03 dozer root, raked across the slope
.....................................................
4 ton straw mulch per acre .02 4. Same as above, except raked with 0.90
bulldozer root, raked across the slope
(Source: Soil Conservation Services, Universal Soil-Loss Equation, Agron- .....................................................
omy Note #50, Colorado SCS, 1977.)
5. Loose, as in a disked plow layer 1.00
.....................................................
6. Rough irregular surface, equipment 0.90
sion of the model for use on personal computers is available tracks in all directions
over the Internet at topsoil.nserl.purdue.edu.
.....................................................
7. Loose with rough surface greater than 0.80
SEDIMENT CONTROL BEST MANAGEMENT PRACTICES 12-in depth
.....................................................
Sediment-laden runoff is controlled on construction sites by
8. Loose with smooth surface greater 0.90
retaining the eroded sediments on site through filtering or
impoundment in trapping facilities. Sediment barriers like than 12-in depth
filter fabric and inlet protection are used to filter sediment Structures
from runoff. Trapping facilities typically are either sediment
1. Small sediment basins:
traps or sediment basins; the distinction depends on the
acreage draining to the facility, the volume of sediment, and 0.04 basin/acre 0.50
whether they are temporary or permanent. Facilities with 0.06 basin/acre 0.30
.....................................................
drainage areas less than about 3 acres are sediment traps.
2. Downstream sediment basins with
Larger trapping facilities—sediment basins—are frequently
designed as permanent facilities. The location and design of chemical flocculants without chemical 0.10
permanent sediment basins are such that they can easily be flocculants 0.20
.....................................................
converted into retention or detention ponds after the pro-
3. Erosion control structures normal rate
ject area is stabilized.
usage high rate usage 0.50
Sediment Barriers 0.40
.....................................................
Filtering controls (sediment barriers) intercept and filter
4. Strip building 0.75
both sheet-flow runoff as well as small volumes of concen-
trated flow. They can be used as stand-alone controls or (Source: SWMM Users Manual which references Use of the Universal Soil
with sediment traps to enhance their effectiveness. Stone, Loss Equation as a Design Standard, ASCE Water Resources Engineering
straw bales, and synthetic filter fabric are typical filtering Meetings, Washington, D.C. 1973. Reprinted with permission from ASCE.)
devices.
Filter-fabric fence (Figure 29.13) is placed along a con-
tour (i.e., perpendicular to the sheet-flow direction) to in- the fabric. For added stability, the filter fence can be at-
tercept the sheet-flow runoff according to the upland slope. tached to wire support fence allowing a reduction in the
The distance limitations for the use of filter-fabric fence are tensile strength of the fabric. To maintain its effectiveness,
shown in Table 29.10. Filter-fabric fence should not be used filter-fabric fence should be inspected after each rainfall
in situations where it will intercept concentrated flows or event and accumulated sediment removed when it reaches
act as a velocity check in ditches or swales. Filter-fabric approximately one-half of the height of the barrier.
cloth is made of synthetic fabric (polymer) that has a spec- Where the length of flow contributing to conventional
ified flow rate and tensile strength. The filter-fabric cloth is filter-fabric fence is too great, many permitting agencies rec-
attached to vertical posts and embedded in a 4-in. ⫻ 4-in. ognize the use of filter-fabric cloth supported by chainlink
trench at the bottom to keep the runoff from undermining fence, or super-silt fence (Figure 29.14) as an acceptable
F IGURE 29.13 Construction details for filter-fabric fence. (Source: Virginia Erosion and Sediment Control Handbook, 1992.)
alternative. The distance limitation for using chainlink fence block-and-gravel device consists of concrete blocks lain
in support of the filter fabric is reflected in Table 29.11. around the opening of the inlet. Wire mesh is placed over
Because of its cost of installation, the use of super-silt fence the blocks and 1-in. to 2-in.-diameter stone is placed
should be limited to areas where other conventional meth- against the wire mesh. This filtering method can be used
ods of trapping sediments would destroy environmentally- both at curb and grate inlet openings, where an overflow
sensitive land. capacity is necessary. Typically, this method of storm-inlet
Staked, straw-bale dikes have long been used as a barrier protection is used only as a secondary sediment-control de-
to trap sediment. The bales are placed in a 4-in.-deep vice. The filtering efficiency of the gravel is limited, and this
trench on the contour and staked to the ground with requires the primary treatment of sediment-laden runoff to
wooden stakes or reinforcing bars. The ends are tightly occur below the discharge point of the inlet to capture the
butted against one another to prevent gaps where runoff smaller silt and clay particles. Filter barriers can be used
can seep through. Typically, this filtering system is placed between the wire mesh and stone to increase the efficiency;
at the toe of relatively short slopes. The use of straw-bale however, the resultant ponding at the inlet is often unde-
dikes is not recommended as a primary sediment-control sirable.
device. Straw-bale dikes clog and deteriorate rapidly and Care should be taken with the use of a gravel and wire-
require frequent maintenance. In addition, filter-fabric fence mesh filter when protecting curb inlets that have been in-
has more efficient filtering capabilities and has a signifi- stalled on a grade. Since the gravel filter reduces the ability
cantly reduced flow-through rate. The filtering efficiency of of the inlet to intercept the stormwater runoff, more flow
straw is ⬇67%, while filter fabric has an efficiency of will by-pass the inlet and continue to the bottom of the
⬇97%. The flow rate for straw is 5.6 gal/ft2 /min compared grade. Then, the inlet located at the sump may be over-
to filter fabric, which is about 10% of that value. whelmed with the resultant increase in flow, causing flood-
ing or deposition of sediment. For inlets on grade, a more
Inlet Protection effective approach may be to install a temporary berm be-
The filtering devices employed for higher flows and veloc- low the inlet to direct flow to the inlet, or place small curb
ities typically use stone to filter the sediments. Around sediment traps above the inlet, allowing the full intercep-
drainage inlets a block-and-gravel device is used. The tion-capacity of an inlet to be utilized. Other types of inlet
F IGURE 29.13 (Continued) Construction details for filter-fabric fence. (Source: Virginia Erosion and Sediment Control Handbook, 1992.)
protection include an excavated-drop-inlet sediment trap to suspended particles are given an opportunity to settle out
capture the sediment through settling or filter-fabric fence by gravity. A sediment basin consists of a strategically
for non-concentrated flows. Figure 29.15 shows variations placed embankment that takes advantage of the natural ter-
of inlet protection. rain to create an impounding area. The basin contains an
outlet structure that releases the collected runoff at a slow
Sediment Basins rate. In some cases, the sediment basin contains an emer-
Sediment basins are designed to reduce the velocities and gency spillway to allow the larger storms to pass through
turbulence of the runoff to levels where the majority of the the pond unimpeded.
TABLE 29.10 Filter-Fabric Fence Design Constraints

(MAXIMUM) (MAXIMUM)
SLOPE STEEPNESS SLOPE LENGTH SILT FENCE LENGTH
Flatter than 50:1 (2%) Unlimited Unlimited

.....................................................................................................................
50:1 to 10:1 (2–10%) 125 ft 1000 ft
.....................................................................................................................
10:1 to 5:1 (10–20%) 100 ft 750 ft
.....................................................................................................................
5:1 to 3:1 (20–33%) 60 ft 500 ft
.....................................................................................................................
3:1 to 2:1 (33–50%) 40 ft 250 ft
.....................................................................................................................
⬎2:1 (⬎50%) 20 ft 125 ft

F I G U R E 2 9 . 1 4 Construction details for a super-silt fence. (Source: U.S. Department of Agriculture Soil Conservation Service, Maryland
Department of Environmental Water Management Administration.)

TABLE 29.11 Super-Silt-Fence Design Criteria

(MAXIMUM) (MAXIMUM)
SLOPE STEEPNESS SLOPE LENGTH FENCE LENGTH
0 to 10:1 (0–10%) Unlimited Unlimited

.....................................................................................................................
10:1 to 5:1 (10–20%) 200 ft 1500 ft
.....................................................................................................................
5:1 to 3:1 (20–33%) 100 ft 1000 ft
.....................................................................................................................
3:1 to 2:1 (33–50%) 100 ft 500 ft
.....................................................................................................................
⬎2:1 (⬎50%) 50 ft 250 ft
F IGURE 29.15 Inlet protection.

F IGURE 29.15 (Continued) Inlet protection.
Typically, the outlet structure is composed of a vertical cy of required storage-volume per drainage acre). This de-
pipe with several small-diameter holes near the bottom. sign parameter approximates an upper limit for the amount
This pipe is open at the top to allow for excess overflow of of sediment expected to be delivered to the facility for the
intermediate storms. The size and elevation of the holes design storm. The assumption here is that the design storm
control the release rate of the impounded water. The vertical erodes a constant amount of sediment. This blanket value
pipe is the most common type of outlet structure because does not consider the soils or topographical features that
of its availability and the ease with which it can be installed vary from site to site nor the daily variations of the site
and dismantled. Outlet structures other than the perforated conditions. In other cases, sizing the basin requires a de-
vertical pipes are used for sediment basins intended to be tailed analysis of the on-site soils and their particle-size dis-
converted to permanent facilities. Such facilities tend to tribution. This information is used with the USLE or
have an outlet structure more elaborate and aesthetically discrete-particle-settling theory to set the sediment basin
pleasing, such as a multi-stage weir. size.
The size of a sediment basin is measured by its storage
volume. The required storage volume is a function of the Discrete-Particle-Settling Theory
amount of eroded sediment and the volume of runoff en- A discrete particle is one that does not change in size, shape
tering the facility. Rainfall-runoff volumes and soil types are or weight as it settles. The discrete-particle-settling theory
highly regionalized. Sizing a sediment basin depends on describes the settling behavior of particles in an ideal basin
local municipalities’ design standards, which are developed in quiescent water. Particle settling, in such ideal condi-
according to the regional conditions. In some cases, deter- tions, depends on the properties of the fluid and the par-
mining the volume of the basin may be as uncomplicated ticles’ characteristics. Any interaction between the particles
as applying a single constant to the drainage area (e.g., 100 within the fluid is assumed to be negligible.

F IGURE 29.15 (Continued) Inlet protection.
A particle settling in a quiescent fluid accelerates under vsdp ␳w

NR ⫽ (29.8)
the influence of gravity until the driving force of gravity is ␮
balanced by the resisting drag force. At this point, the par-
ticle has achieved a terminal velocity and, as such, remains with ␮ ⫽ the absolute viscosity of water. Note that when
constant during the remainder of the falling distance. The NR is less than one, the settling velocity for a sphere reduces
terminal settling velocity, vs, for a spherical particle is to Eq. (29.9),
g(␳p ⫺ ␳w)dp2
冪4g(␳p ⫺ ␳w)dp vs ⫽ (29.9)
vs ⫽ (29.6) 18 ␮
3CD ␳w
where ␳p ⫽ density of the spherical particle, ␳w ⫽ density which is Stoke’s Law for the settling velocity of a sphere in
of water, g ⫽ acceleration due to gravity, Cd ⫽ coefficient laminar flow. This can be reduced to
of drag for the particle and dp ⫽ diameer of the particle.
vs ⫽ 2.8dp2 (29.10)
The drag coefficient, CD, is approximated by
24 where vs is in feet per second and dp is in mm, assuming

CD ⫽ for NR ⬍ 1 the specific gravity of the particle ⫽ 2.75 and a water tem-
NR (29.7) perature of 70⬚F.
24 3 An idealized, rectangular settling basin (Figure 29.16)
CD ⫽ ⫹ ⫹ 0.34 for NR ⱖ 1 consists of four zones: the inlet zone, the removal zone, the
NR NR
outlet zone and the settling zone. The length L is the dis-
where NR, the dimensionless Reynolds number, is tance between the inlet and outlet zones, H is the depth of

and greater) entering the tank with the given discharge (Qi),
the basin efficiency is determined by the surface area As
relative to the discharge for steady-state conditions.
To summarize, the basic assumptions for discrete-
particle-settling theory are:
1. Rectangular basin configuration

2. Constant inflow at one end
3. The horizontal and vertical velocities of particles
are constant
4. The concentration of suspended particles, of each
size, is the same at all points in the vertical cross sec-
tion at the inlet
F IGURE 29.16 Idealized rectangular setting basin. 5. Particle settlement is unhindered by other particles
6. A particle is permanently removed from suspen-
sion when it reaches the bottom of the settling zone.
the settling zone and W is the width of the basin. Under
such idealized conditions, the incoming flow, Qi, is steady
Trap Efficiency
and constant for the width of the basin. Particles within the
incoming flow move horizontally through the basin with a Trap efficiency is the ratio of the amount (by weight) of
horizontal velocity vh ⫽ Qi /(WH ). The vertical-velocity sediment retained in a trapping facility to the total amount
component is the settling velocity, vs. of sediment entering the facility. This efficiency is a function
The design of an effective settling basin relies on the fact of the incoming sediment characteristics and the rate of
that an incoming particle travels the vertical height H and flow through the facility. The rate of flow through the fa-
settles out before it travels the horizontal length L and is cility depends on the amount of inflow, available storage,
discharged. At or below the height H the particle is in the and outflow rate. In turn, outflow rate depends on the con-
settling zone and is considered removed from suspension. figuration and the location of the outlet.
The time, TL, for the particle to travel the horizontal length, Settling behavior of particles depends on the size, shape,
L, of the basin is given as and density of the particle. The wide spatial variation of soil
characteristics in a given region, coupled with the mixing
L
TL ⫽ (29.11) of soil layers during land-disturbing activities, produces
Qi /(W ⫻ H) a varied distribution of particle sizes entering a trapping
facility. Additionally, rainfall intensity and antecedent-
The time to travel the height, H, is given as:
moisture conditions affect the type and amount of sediment
H eroded. Hence, trap efficiency can fluctuate because of the
TH ⫽ (29.12) variation of particle size, shape, and density distribution.
Vs
Trap efficiency, as determined through discrete-particle-
Therefore, the minimum time needed for the particle to settling theory, is based on the particle-size distribution of
settle out of suspension occurs when the vertical time is the sediment entering the facility. In theory, the basin is
equal to the horizontal time for the given particle. Equating sized to remove all particles with settling velocities equal to
Eq. (29.11) to Eq. (29.12) shows that vs is or greater than the design particle size. A particle-size dis-
tribution curve of the incoming sediment provides an es-
L H
⫽ (29.13) timate of the trap efficiency. For example, if the design
Qi /WH vs particle size is 200 microns and the particle-size distribu-
Qi Q tion curve indicates that 60% of the sediment entering the
vs ⫽ ⫽ i facility is equal to or larger than 200 microns, the trap ef-
LW As
ficiency is approximately 60%. Note that this method of
Alternatively, the optimal surface area of the tank needed determining trap efficiency assumes that all particles enter-
to capture particles with a settling velocity of vs and greater ing the facility have the same density and behave as spher-
occurs when As ⱖ Qi /vs, where As is the surface area of the ical particles during settling. Because of this assumption,
settling zone. Hence, for ideal conditions, the design para- this concept slightly underestimates the trap efficiency since
meters of an effective settling basin do not include depth some particles with a settling velocity greater than the de-
and volume. For all particles (with settling velocities of vs sign particle size will be retained.

An empirical curve for trap efficiency, proposed by 2. Gully erosion is prevented by on-site control mea-
Brune, is based on a study of 44 reservoirs throughout the sures and, therefore, is assumed to be zero.
United States. The curve (Figure 29.17) relates trap effi-
3. Sediment deposition before reaching the trapping
ciency as the ratio of reservoir capacity to annual inflow.
facility is assumed to be zero.
Because of the easily obtainable parameters of reservoir ca-
pacity and annual inflow, it is perhaps the model most 4. Brune’s curve for trap efficiency is applicable.
widely used in practical design.
Sizing a trapping facility for a predetermined efficiency If the USLE (Eq. (29.1)) predicts the on-site eroded sed-
iment yield and (TE) is trap efficiency, then
depends on the design philosophy that one is willing to
accept. An alternative to using discrete-particle-settling con- Sediment trapped ⫽ (R ⫻ K
cepts to size a settling basin is a method proposed by S.M. ⫻ (LS ) ⫻ C ⫻ P) * (TE)
Boysen (1974). Boysen’s method uses Brune’s curve and the (29.15)
universal-soil-loss equation for development of the ‘‘urban-
sediment-yield equation.’’ and the off-site (i.e., beyond the sediment basin) sediment
Boysen’s urban-sediment-yield equation expresses off-site yield can be written as,
sediment yield caused by urban construction as
(R ⫻ K ⫻ (LS ) ⫻ C ⫻ P) * (1 ⫺ TE) (29.16)
Sheet and rill erosion ⫹ gully erosion (29.14) ⫽ Off-site Sediment Yield
⫺ sediment deposition ⫺ sediment trapped
⫽ off-site sediment yield (in tons) Assume that a prescribed maximum value limits the sed-
iment yield allowed at a site. If the site erosion is below
The basic assumptions for the development of this this value, no erosion controls will be necessary. If the site
method are: erosion, as determined by the USLE, exceeds this prescribed
upper limit, then on-site erosion-control measures are nec-
1. The USLE is applicable to predict sheet and rill essary. The objective in the design of the on-site control
erosion. measures is to set the trap efficiency at the difference be-
F IGURE 29.17 Trap efficiency of reservoirs. (Source: Brune, 1953.)

tween the actual eroded sediment and the allowable sedi-

ment-yield limit.
Limiting off-site sediment yield to some maximum al-
lowable value is expressed by rewriting Eq. (29.15) as
(R ⫻ K ⫻ (LS ) ⫻ C ⫻ P) 1
⫽ (29.17)
Allowable Sediment Yield (1 ⫺ TE)
where the left side of the equation is shown as the ordinate

on Figure 29.18.
The abscissa of the graph is the values of capacity-inflow
ratio from Brune’s curve converted to cubic yards of capac-
ity per 1 in. of runoff. Brune’s curves are redrawn to cor-
respond to the units of the graph of Figure 29.18.
E X A M P L E 3 : A 10-acre site, located in north-

eastern North Carolina, is being developed for com-
mercial use. Approximately 1 acre has slopes of 5H:
1V (20%) for 50-ft lengths, and the remaining 9 acres
has average slopes of 4% for 250 ft. The soils range F IGURE 29.19 Particle-size distribution for example 3.
mostly from medium silt to fine sand. The average
annual runoff is 15 in. The geotechnical consultant
has provided the particle-size distribution of the soils
F I G U R E 2 9 . 1 8 Sediment basin volume versus ratio of calculated soil loss to allowable soil loss. (From Boysen SM: Predicting Sediment
Yield in Urban Areas, Proceedings National Symposium on Urban Rainfall and Runoff and Sediment Control, July 29–31, 1974, Lexington, KY. Reprinted
with permission from ASAE.)

as shown in Figure 29.19. It is assumed that the total Vs ⫽ 2.8 ⫻ 0.022 ⫽ 0.001 fps (29.21)
site drains to a single location.
Find the sediment-storage volume required using The Reynolds number should be checked to see if it
discrete-particle-settling concepts and Boysen’s is in the allowable range of 10⫺4 to 0.5. Use Eq.
method if the required efficiency is 70%. (29.8) to find the Reynolds number for this particle
size. Assume a temperature of 70⬚F.
S O L U T I O N : Use the USLE, Eq. (29.1), to find
the annual soil loss from the site, assuming the entire 0.85 ⫻ 0.001 ⫻ 0.02 ⫻ 62.4
NR ⫽ (29.22)
site will be denuded. Two separate calculations are (1.94 ⫻ 10⫺5) ⫻ 304.8
necessary to account for the two different slopes.
⫽ 0.18
From Figure 29.11, the R-factor is estimated at 300.
Use Eq. (29.2) to find two LS values: This falls within the allowable range. If the Reynolds
冉冊 0.5 number had been greater than 0.5, then Eqs. (29.7)
50
(LS )20% ⫽ (29.18) and (29.8) would have been used in an iterative pro-
72.6 cess to obtain the settling velocity. (For example: if
⫻ 冉430(0.20)2 ⫹ 30(0.20) ⫹ 0.43
6.574 冊 ⫽3
the computed NR is greater than 0.5, Eq. (29.7) is
used to obtain Cd using this NR. This Cd is entered
冉冊 0.4 into Eq. (29.6) to find vs. Compare this vs to the pre-
250
(LS )4% ⫽ vious vs. If the difference is less than an acceptable
72.6 tolerance ⑀, the recent vs is sufficiently accurate. A
⫻ 冉430(0.4)2 ⫹ 30(0.04) ⫹ 0.43
6.574 冊 ⫽ 0.6
tolerance value of less than or equal to 0.005 should
suffice in most cases. If the difference between the vs
values is greater than 0.005, repeat the procedure us-
The cropping-management factor, C, during the ing the most recent value of vs.) Determine the surface
grading operations is 1 if no vegetation or mulching area of the basin as per Eq. (29.3).
is incorporated during grading. The erosion-control
practice, factor P, is 1.3 from Table 29.9 for com- Qi 3.75 cfs
As ⱖ ⱖ ⱖ 3750 ft2 (29.23)
pacted soil. From Table 29.5, K is estimated at 0.3. vs 0.001 fps
The total estimated soil loss to the basin is then,
The storage depth is found by dividing the volume
A20% ⫽ (300)(0.3)(3)(1)(1.3) ⫽ 351 tons/ac/yr by the surface area (assuming the surface area is con-
stant for the full depth of the sediment basin).
A5% ⫽ (300)(0.3)(0.6)(1)(1.3) ⫽ 70 tons/ac/yr
(29.19) (636 yd3)(27 ft3 /yd3)
ds ⫽ ⫽ 4.6 ft (29.24)
which corresponds to (351 tons/ac/yr)(1 ac)⫽351 3750 ft2
tons/yr and (70 tons/ac/yr)(9 ac)⫽630 tons/yr. At a
This is the depth required if the sediment basin is to
unit weight of 80 lbs/ft3, the total volume of soil is
capture 70% of the annual sediment load with no
908 yd3 /yr.
intermittent cleaning. Using a length-to-width ratio of
From the particle-size distribution graph, 70% of
2:1, the minimum dimensions of the sediment basin
the particles are larger than 0.02 mm. Assuming that
are 88 ft ⫻ 44 ft ⫻ 6.6 ft. Allow an additional 2 ft
the eroded sediment has a similar particle-size distri-
in. depth to serve as the settling zone. These dimen-
bution, the amount of sediment load to the sediment
sions may be modified if periodic cleanout is specified
basin is (0.70)(908 yd3 /yr) ⫽ 636 yd3 /yr.
and if the surface area is increased to reduce the
The surface area, As, depends on the inflow, Qi.
depth.
Goldman, et al. (1986) recommend using the average
runoff for the 10-yr, 6-hr storm. A 10-yr, 6-hr storm
in this locality produces 4.5 in. of rainfall. Using the Boysen’s Method
rational method, the average runoff in this example For 70% efficiency, read the corresponding basin volume
is relating to the curve labeled primarily colloids and dis-
persed fine grain sediments as 8 yd3 /ac/in. of annual run-
Qavg ⫽ ACiavg (29.20) off. The total volume for sediment storage is then
⫽ (10 ac)(0.5)(4.5 in./6 hr) ⫽ 3.75 cfs Vol. ⫽ (8 yd3 /ac/in.)(10 ac)(15 in. of runoff)
Determine the settling velocity for the design particle ⫽ 1200 yd3 (⬇32,400 ft3)
size. From Eq. (29.10) (assume Stoke’s Law applies), (29.25)
the settling velocity is Note, however, that if the median curve is used, the value

changes from 8 yd3 /ac/in. to 4.5 yd3 /ac/in., and the total Increasing Detention Time with Baffles
sediment volume becomes only 18,000 ft3. Detention time can be increased by increasing the flow path
This example illustrates two methods to determine the through the basin. This can be done by configuring the
size and storage volume for a sediment pond. Note: the basin such that the length-to-width ratio is maximized. The
design is incomplete in that hydrologic routings should be value usually recommended as the lower limit for design
done to determine the size for the runoff volume. This en- purposes is 2.0. However, this should not be taken to the
tails the need to design outlet structures and emergency extreme. A proposed design may size a basin as 5 ft wide
spillways, and to determine the overall depth based on the by 100 ft long (l:w ⫽ 20), and this, in effect, is more rep-
design storms selected for the hydrologic analysis. resentative of a channel than a sediment basin. The basin
loses its effectiveness if the design causes flow-through ve-
Drawdown Time locities where the particles have no chance of settling out.
One assumption of the discrete-particle-settling theory is On urban construction sites, space is a premium and no
that the settling basin remains relatively full. Since some contractor wants to work around obstructions if it can be
sediment traps are completely dewatered between storms, avoided. Occasionally, the location and configuration of
the settling behavior of the particles will not be as pre- sediment basins conflicts with the contractor’s operations.
scribed by the discrete-particle-settling theory. This will Typically, topographical constraints of a site dictate the lo-
negatively affect the efficiency of the trapping facility. cation and configuration of the sediment basin.
The effectiveness of a sediment basin is enhanced if it The two main design parameters of a sediment basin are
remains relatively full over a period of time to establish storage volume and detention time. Normally, obtaining the
quiescent conditions, which allow the sediment particles to required storage volume is not the problem, even in con-
settle out. The recommended time it takes for a basin to stricted work areas, since you normally can excavate deeper.
dewater is on the order of 6 to 24 hr. As a result, the However, if the minimum length-to-width ratio (a control-
volume of the sediment basin must be sized to store ade- ling parameter for detention time) cannot be met because
quately a portion of the design storm for an extended pe- of site constraints, digging deeper will not help. One so-
riod of time; as well, it must be sized to pass safely storms lution to the problem of detention time is to install baffles
of higher design frequencies. in the sediment basin.
Drawdown time for a basin is found by using the orifice Baffles are devices that actually serve two primary pur-
equation to determine the outflow discharge. The orifice poses:
equation is used to calculate the flow through a small open-
ing (orifice) for a given headwater. The orifice equation is 1. Baffles enhance the basin shape to increase the
length-to-width ratio, thereby increasing the flow path
Q ⫽ Cd ⫻ Ao ⫻ 兹2ghc (29.26) between the inflow and outflow point. The net result
is an increase in detention time.
where Cd ⫽ coefficient of discharge (⬇0.60 to 0.70), Ao ⫽
area of the orifice, g ⫽ acceleration due to gravity, hc ⫽ 2. Baffles help to prevent short-circuiting, which is
distance from the centerline of the orifice to the water sur- the movement of flow through the basin in such a
face and Q ⫽ discharge through the orifice. manner that storage areas are by-passed, resulting in
In sedimentation theory, the mean hydraulic-detention non-uniform distribution of sediment over the bottom
time is defined as the discharge divided by the volume, area. Dead-storage areas, those areas where little or no
T ⫽ Q /V. Using the orifice equation and the definition of sediment accumulates, result in reduced trapping effi-
the mean hydraulic-detention time, the time, T, to dewater ciency. Baffles minimize dead-storage areas by distribut-
a sediment basin is ing the sediment deposits over a wider area in the
basin and increasing the efficiency (see Figure 29.21).
As 兹2hc
T⫽ (29.27) Baffles are placed at the mid-point between the primary
AoCd 兹g
inflow point and outflow point. The shortest distance from
Perforated pipe-outlet structures have several different the inflow point around the baffle to the outflow point is
configurations of holes, as shown in Figure 29.20. Various the effective length, Le. The effective width is defined as
configurations range from a single hole to several holes at We ⫽ A/ Le, where A is the surface area of the sediment
different elevations. Usually the holes are covered with wire basin at the normal-pool level. The length and orientation
mesh screen with gravel piled against the screen to prevent of the baffle is modified so that the ratio Le / We is at least
clogging by debris. The gravel, which also acts as a filter, 2.0. This minimum ratio applies to all flow paths from in-
can affect the flow through the orifice(s). The above equa- flow points that convey 30% or more of the peak runoff
tions assume that this effect is negligible. If a cluster of holes into the basin. Figure 29.22 shows the recommended lo-
is used instead of a single orifice, hc is the depth to the cation and orientation of baffles for various configurations
centroid of the holes and Ao is the total area of the holes. of sediment basins.

F I G U R E 2 9 . 2 0 Selected riser configurations to dewater a sediment basin. (From Goldman, S., et al: Erosion and Sediment Control Handbook,
1986. Reproduced with permission of McGraw-Hill.)
Design Procedure for Sediment Basins 1. Determine the basin sediment volume based on lo-
Figures 29.23 and 29.24 schematically show a typical tem- cal criteria or an involved analysis of the design parti-
porary sediment-basin layout and its components. The pre- cle size and settling criteria.
vious discussion focused only on sizing the sediment basin. 2. Determine basin location and basin shape based
The complete design involves structural considerations as on site conditions. Consider baffles to establish ade-
well as hydraulic and hydrologic analysis. An outline sum- quate length-to-width ratios.
mary of designing a sediment basin follows.
3. Determine the volume of inflow for the design
storm through hydrologic analysis and set the height of
embankment.
4. Design the principal spillway, taking into consider-
ation the allowable release rate to ensure sufficient de-
tention time for particle settling.
5. Design the emergency spillway (when required) for
the larger design storm. The design should consider
the hydraulic capacity of the spillway as well as the
structural design to account for erosive velocities and
buoyancy.
6. Determine whether additional devices are required,
such as anti-seep collars, anti-vortex devices, trash
racks, dewatering capabilities, and outlet protection.
7. Consider the safety aspect of the facility as with
any permanent or temporary impoundment of water.
Fence the facility to discourage access.
Sediment Traps
F I G U R E 2 9 . 2 1 Dead-storage areas for selected basin shapes. Sediment traps operate through the combined effects of set-
(From Haan CT, Barfield BJ: Hydrology and Sendimentology of Surface tling and filtering. Here, the configuration and type of outlet
Mined Lands, 䉷 1978, University of Kentucky Press.) affects the settling and filtering process. Sediment traps are
F IGURE 2 9 . 2 4 Schematic elevation view of (a) sediment basin

with emergency spillway and (b) without emergency spillway. (Source: Vir-
ginia Erosion and Sediment Control Handbook, 1992.)
certain types of outlet structures, either because of dictating

local conditions or the biases of the local reviewing agency.
F IGURE 29.22 Recommended placement of baffles. Outlet structures can be grass aprons, stone or riprap weirs,
or even perforated riser pipes. Certain types of inlets used
in grass areas are adaptable to sediment traps. Figure 29.25
similar to sediment basins in that they are an excavated hole shows several of these standards.
or impoundment created by an earth embankment. How- Once again, the methods of sizing sediment traps de-
ever, drainage areas to sediment traps are typically limited pend on local design criteria. Because the drainage area to
to 3 acres or less. the trap is relatively small, the engineer generally uses rule-
Sediment traps use a variety of material and configura- of-thumb methods to size the trap instead of detailed anal-
tions for their outlet structures, the selection of which de- ysis and computations. In many cases, the design standard
pends on local standards. Some localities do not accept for sizing the sediment trap is a single ratio applicable to
all sites in a geographic location. The value is based on local
hydrologic conditions and prevailing soil conditions and
has the units of ft2 /ac or ft3 /ac. The first defines the surface
area of the sediment trap per drainage area, whereas the
latter dictates the volume to drainage area ratio as the de-
sign parameter.
It is best to minimize excavating and grading when con-
structing the sediment traps. Taking advantage of the nat-
ural topography does this. The outlet structure needs to be
located at the natural low point of the trap. This location
facilitates dewatering and minimizes grading in the trap
area. For the sediment traps that use weir-type outlets, the
recommended crest length, in feet, is 3 to 6 times the drain-
age area, in acres, serving the facility.
If properly designed, the sediment trap can provide ad-
equate protection against downstream erosion problems.
The ineffectiveness of a trap can, in many cases, be attrib-
uted to improper installation and maintenance. It is impor-
F IGURE 29.23 Schematic plan view of sediment basin. tant for the trap to be cleaned out after the sediment has
F IGURE 29.25 Sediment traps. (Source: Maryland Standards and Specifications for Soil Erosion and Sediment Control, 1991.)
accumulated to 50 to 60%Ⳳ of the design capacity. If not iveness of the sediment trap. Likewise, the trap should be
maintained, sediment will eventually accumulate through- inspected for damage, especially after large storm events.
out the voids in the gravel surrounding the orifice, signifi-
AESTHETICS AND SAFETY OF DISCHARGE AREAS
cantly reducing the efficiency of the sediment trap.
Therefore, not only does the trap need regular maintenance Discharging Into Stabilized Areas
to remove accumulated sediment, but the gravel needs to Throughout the preceding discussion on structural erosion-
be removed and replaced in order to maintain the effect- control devices, emphasis has been placed on directing

F IGURE 29.25 (Continued) Sediment traps. (Source: Maryland Standards and Specifications for Soil Erosion and Sediment Control, 1991.)
flows to stabilized areas. Sediment-laden waters create un- areas. Allowing sediment basins and traps to outlet onto
sightly areas as the sediment accumulates on the grass and streets or for sediment to collect on pavement is not rec-
leaves. Even though the accumulated sediment dissipates ommended.
after several rain storms, such areas detract from the aes- Construction traffic exiting and entering the site is an-
thetic value of the site and reduce its attractiveness to po- other source of roadway sediment. A device that reduces
tential buyers. Therefore, when directing flows to stabilized the amount of sediment tracked onto the pavement is a
vegetative areas, the area itself should be a concern. How- stabilized construction entrance (Figure 29.26). This en-
ever, if the area will be used for immediate future construc- trance consists of a bed of 2- to 3-in.-diameter stone. The
tion, discharging sediment-laden waters onto this area stone covers an area 50 to 100 ft long and 10 to 20 ft wide.
presents no problem. If the area has recently been stabilized The actual size depends on the type of vehicles using it.
or is located at a highly visible point, the developer may This area is designed to collect the mud and sediment
not want this area used as the discharge point. clumps accumulating on the wheels of the construction ve-
hicles. If the site is excessively muddy, a wash rack is in-
Sediment on Pavements corporated into the construction entrance. The wash rack
It is imperative to keep silt and sediment off of existing is a raised section of timbers or concrete, partially buried
pavement. Wet soil is slippery and poses safety problems into the stone. The wash rack, which raises the wheels of
for moving vehicles. Basins and traps are designed to op- the vehicle above the stone, allows the wheels to be thor-
erate at 50–70% efficiency for the design storm. For those oughly rinsed before exiting the site. A small sediment trap,
facilities that outlet onto or near pavements, the non- located on the low side of the wash rack, collects the
trapped sediments end up on the pavement. The design washed mud. When the stone bed accumulates excessive
storm for a sediment basin or trap is typically a frequently mud, the stone is replaced.
occurring storm of short duration. As a result, the chance
that a larger storm may occur, possibly blowing out the Dust Control
trapping facility and washing the sediments onto the pave- One problem related to erosion and sediment control, but
ment, should be considered. Rather than take the risk of frequently overlooked, is dust. Wind erosion is one source
personal injury to vehicle occupants or a major clean-up of dust. On construction sites, traffic, machinery, and var-
because of the washed-out facility, the engineer should lo- ious types of related operations (see Table 29.12) are a
cate the trapping facilities away from pavement and traffic major source of dust. On dry days, various types of

F IGURE 29.26 Typical construction entrance and wash rack. (Source: Virginia Erosion and Sediment Control Handbook, 1992.)
construction operations emit dust, which becomes a nui- is 1.2 tons/acre/month. Construction operations can be ter-
sance to surrounding property and residents. This dust also minated by the government agency (inspectors) in charge
has an affect on the surrounding air quality. According to if the dust problem is not promptly addressed.
the Virginia Erosion and Sediment Control Handbook, an Dust control is particularly a major concern on sites with
average value for dust emission at heavy construction sites soils containing natural asbestos and natural minerals ca-
pable of generating asbestos. Geologic formations contain-
ing actinolite are sources for naturally-occurring asbestos.
T A B L E 2 9 . 1 2 Sources of Dust at For example, in the mid-Atlantic states, the Orange soil
group contains soils with asbestos-generating minerals.
Construction/Demolition Sites
Specific types of site-management measures can be in-
Construction Sites corporated into the construction sequencing to control
䡲 Pushing (land clearing and earthmoving) dust. These types of measures include minimizing the
amount of denuded land by constructing the project in
䡲 Drilling and blasting
phases and leaving stands of trees around and throughout
䡲 Batch drop operations (loader operation) the grading areas to dissipate some of the wind momentum
䡲 Storage piles (soil and construction and act as a barrier. Another measure is the suppression of
aggregates) the dust by mulching or spraying water or adhesive chem-
䡲 Exposed areas icals over the area. Perhaps the most popular measure is
䡲 Vehicle traffic on unpaved surfaces wetting the surface with water. This causes the smaller air-
䡲 Mud/dirt carryout onto paved surfaces borne-prone particles to adhere to larger soil masses. How-
ever, the rate and frequency of application depends on
Demolitation Sites climatic conditions and the traffic using the roadway. Other
䡲 Explosive and mechanical dismemberment types of spray-on materials include synthetic and organic
adhesives that, although effective on certain types of soils,
(blasting and wrecking ball operations)
are more permanent than water. Consequently, the cost is
䡲 Pushing (dozer operation)
higher also. Chemical stabilization binds soil particles to-
䡲 Batch drop operations (loading debris into gether to form a non-erosive surface crust (see Table 29.13).
trucks) Artificial measures that can be incorporated into a site
䡲 Storage piles (debris) include the various types of structures to create wind drag
䡲 Exposed areas and act as barriers to stop the dust from leaving the site.
䡲 Vehicular traffic on unpaved surfaces Such measures include stabilized earth mounds, fences and
䡲 Mud/dirt/debris carryout onto paved surfaces walls. Recommended placement of barriers is perpendicular
to prevailing air currents at intervals of approximately 15
(Source: US EPA, Control of Fugitive Dust Sources, 1988.) times the barrier height (Virginia Erosion & Sediment Con-

TABLE 29.13 Adhesives Used for Dust Control

WATER APPLICATION
DILUTION TYPE OF RATE
ADHESIVE (ADHESIVE:WATER) NOZZLE GALLONS /ACRE
Anionic asphalt emulsion 7:1 Coarse spray 1200

.....................................................................................................................
Latex emulsion 12.5:1 Fine spray 235
.....................................................................................................................
Resin in water 4:1 Fine spray 300
.....................................................................................................................
Acrylic emulsion (non-traffic) 7:1 Coarse spray 450
.....................................................................................................................
Acrylic emulsion (traffic) 3.5:1 Coarse spray 350
trol Handbook). For those structures intended to be per- sediment-control measures are installed prior to beginning
manent, the judicious placement and timing of construction grading operations.
will allow them to serve as dust-control barriers as well as In larger residential developments, clearing and grubbing
site amenities or as zoning-ordinance controls. In the same is performed initially in the street areas and the first few
manner, perimeter trees can be planted; however, only se- building sites, with roads occurring first. Typically, these
lect species may be effective. building sites are for the model homes that will be used to
market the project. In smaller single-parcel commercial ar-
CONSTRUCTION SEQUENCING eas, the site is almost totally cleared because of the high
A familiarity with construction sequencing and techniques cost of land.
will aid in the development of a cost-effective erosion and
sediment-control plan. It is costly for a contractor to inter- Mass Grading
rupt construction operations to change the location of After clearing and grubbing, the contractor performs the
structural measures or to add more. Construction sequenc- mass grading of the site. Mass grading is the moving of large
ing (i.e., the timely order in which particular items are quantities of earth to or from the site or within the site
built) depends on the contractor and his construction pro- itself. On sites where mass grading is necessary, cut and fill
cedures. Interrelated with this is the site itself, ordinances, areas are large and may not be conveniently localized to
and type of project. optimize haul. Consequently, this operation is performed
with larger earth-moving machinery. In many cases, exten-
Establish Perimeter Controls sive mass grading is necessary on a site because of poor site
Construction operations begin with the establishment of silt conditions, rather than the result of bad planning and de-
and erosion-control measures around the perimeter of the sign.
portion of the site to be worked. Site clearing should be
limited to only that area necessary to construct the control Rough Grading
measure. The perimeter location controls retain the sedi- The next operation is the rough grading. Rough grading is
ment on site, while allowing the early grading operations the reshaping of the site by moving small volumes of earth,
to begin. such that the site is brought to within Ⳳ0.2 ft of finished
grade. This includes preparing the site for basements and
Clearing and Grubbing foundations, compaction, and generally grading the site to
Clearing and grubbing the site involves removal of trees fit the proposed drainage pattern. In areas where subbase
(that cannot be saved), stumps, brush, and other debris. and base treatments are required (e.g., streets and founda-
Included is the removal of the topsoil layer and the stock- tions), the roughed grades are brought to within Ⳳ0.2 ft
piling of it in an out-of-the-way location. The stockpiled of the proposed subgrade elevation. Where fill is to be
topsoil is temporarily stabilized with mulch and seed. Filter- placed over the proposed utilities, the area is brought to
fabric fence or another suitable sediment-control measure the grade slightly above (4Ⳳ ft to 8Ⳳ ft) the proposed
is placed around the perimeter of the toe of the stockpiled invert elevation of the utility trench. The utility is then in-
topsoil. This initial grading operation denudes a large area, stalled and backfilled with lighter construction equipment
in a short time, making the area highly susceptible to ero- before completing the remainder of the fill operation. This
sion. The remaining (non-perimeter) first-phase erosion and procedure protects the utilities from being crushed by the

heavier construction equipment being utilized for mass with, or immediately follow the operational steps just de-
grading operations. scribed.
Rough grading should be done such that the installed
erosion and sediment controls perform their functions. If THE EROSION AND SEDIMENT-CONTROL PLAN
the surface grades do not direct the runoff to the erosion
A well-conceived plan for a project addresses the potential
and sediment-control facilities, new facilities should be built
erosion and sediment problems long before the final con-
to accommodate the new drainage pattern.
struction plans begin. The overall erosion and sediment-
Utility Installation control plan begins at the early planning stages of the
project. Such things as fitting development to the terrain,
After rough grading operations are complete, the utilities
minimizing grading in sensitive areas (e.g., steep slopes, ar-
are installed. Usually the deepest utilities and/or those de-
eas of highly erodible soil), and preserving existing vege-
pendent on gravity are installed first. The main concern
tation, all factor into the erosion and sediment-control plan.
during this part of the sequence is the storm sewer system.
The design and placement of structural-control devices is
As construction progresses, the site grading evolves such
done in the latter stages of project design, after the build-
that the overland flow is directed to the storm sewer inlets.
ings and infrastructure details have been worked out. This
As the independent branches of the storm sewer system are
part of the erosion and sediment-control plan is dynamic
complete and made ready to convey runoff, additional ero-
in that the erosion and sediment-control measures change
sion and sediment controls are added around the inlets.
with the phasing and sequence of construction. The final
During the transition from the surface drainage pattern to
design stage of the erosion and sediment-control plan is a
the proposed subsurface drainage pattern, some of the in-
follow-through of the overall plan devised at the beginning
itial erosion and sediment-control measures are phased out
of the project.
as the newer ones are phased in. Some of the initial mea-
The erosion and sediment-control plan sheets, included
sures may not be totally abandoned until the site is com-
in the set of construction drawings, typically consist of plan
pletely stabilized.
sheets, detail sheets, and a narrative. Together, they describe
To facilitate construction, the design should be laid out
and illustrate the procedures and measures that mitigate the
such that the major utilities (storm, sanitary, and water) can
erosion potential of the site and the off-site sediment dam-
be constructed simultaneously. For example, in townhouse
age. Many localities require an erosion and sediment-
developments, the sanitary sewer branch lines are placed
control plan as part of the construction drawing set. The
behind the units whenever possible. If the units are base-
erosion and sediment-control plan is just one part of the
ment walkouts, the sanitary lines need only to be minimum
construction documents and, as such, is subject to review
depth. This design allows the construction of the sanitary
and approval by the specified public agencies. The length
lines in the rear, streets and storm drainage in the front,
and complexity of the plan depends on the constraints of
and building pads to be worked on simultaneously.
the site and the regulations in effect. Hence, a relatively
Finished Grades small site, in terms of its acreage, may require extensive
erosion and sediment control because of the soils, slopes,
Finally, the site is brought to finished grade. Finished grades
and environmentally-sensitive areas within it.
are those that are shown on the construction drawings. Fi-
Development of an erosion and sediment-control plan
nal pavement layers are installed on streets and parking
requires information on:
areas and the landscape grading is done. Areas around
buildings, yards, and planting areas are brought to grade The erodibility of the surface and immediate subsur-
with the stockpiled topsoil and readied for seed, sod, and face soils
other landscaping amenities. Essentially, the site is perma-
nently stabilized. Extent and type of vegetation covering the site
It is not necessary to have construction totally complete Hydrologic conditions; depth of rainfall for the design
before final grading begins. For erosion and sediment- storm and average intensity
control purposes, the permanent forms of stabilization
should be done in areas as soon as construction operations Topography; steepness of slopes, length of slopes, ex-
are finished. isting drainage pattern, contributing off-site drainage
The actual sequence of construction operations will vary Capacity of outfall channels and downstream structures
depending on the site, type of development, contractor, and
weather conditions. The erosion and sediment-control plan Most of this information is obtained from local govern-
should coordinate with this construction sequencing to be ment agencies and other regional public agencies in the
sure that installation of the structural measures coordinate form of maps and reports. Typically, most of this informa-
with the construction sequencing. The installation of ero- tion has been used earlier in the planning and design of the
sion and sediment-control measures may precede, coincide project and is readily available.

The overall erosion and sediment-control plan can be measures, related computations, and the construction phas-
broken down into three categories, where each category ad- ing that reduces the erosion and sediment damage.
dresses specific aspects of erosion and sediment control for The placement and sizing of structural measures requires
the site. The three categories are (1) planning, (2) design, knowledge of construction techniques and construction se-
(3) installation and maintenance. quencing. The engineer who is unfamiliar with construction
During the planning phase, certain issues need to be techniques can develop a plan, but in all likelihood it will
considered in the layout of the site. If these issues are ad- not be very effective.
equately addressed, the measures in the later phases will be
both cost-effective and successful in eliminating off-site Developing the Plan Sheets
damage. To develop a set of erosion and sediment control drawings
The issues considered early in the project are as follows: that are feasible and cost-effective, the designer needs to
address the specific issues previously discussed. Each site
1. Fit the development to the terrain. Design and site is unique, and the priority or sequence of the issues is not
the building structures so that they are compatible always the same. To begin, the engineer obtains copies of
with the topography. Optimize vertical and horizontal the plan sheets that show the location of the buildings,
road alignment to minimize grading activity. streets, and utilities with the existing and proposed grades.
2. Identify the on-site soils for their erodibility. Soil All other pertinent features should be included on the plan
maps are available for most areas in the United States sheets (e.g., streams, lakes, and other environmentally-
sensitive areas, adjacent properties). These will be used as
from SCS district offices. Erodibility of soils depends
his worksheets to develop the erosion and sediment-control
on the slope lengths and gradients. Long, steep slopes
plan sheets. Depending on the project, the designer may
will have more erosion potential. Hence, locating the
decide to use a small-scale plan view of the entire project
soil series and its erodibility on a topographic map of
rather than the three or four sheets that comprise the large-
the site will identify critical areas. The erodibility may
scale plan sheets. One objective of the plan is to commu-
be given in general terms (e.g., slight or moderate), or
nicate clearly the erosion and sediment-control design to
the erodibility of the soil may be identified by the K
the approving public agencies and the developer. This in-
factor of the USLE; the local SCS office can supply the
cludes delineating the appropriate erosion and sediment-
K factor values. Configure the site to minimize the dis-
control measure and its location on the site. Table 29.14
turbance of the highly erodible soils. Additionally, min-
suggests the symbols used on plans and summarizes the
imize disturbance of existing steep slopes. Denuded
protection afforded by the particular measure.
slopes exacerbate erosion potential regardless of the
First the engineer considers whether any specific phasing
erodibility of the soils on the slopes.
is necessary. Features such as streams and lakes or activities
3. Preserve the existing vegetation. A site visit will such as construction on adjacent property will dictate a
identify the areas of good stands of trees and vegeta- specific on-site phasing. Since some projects require model
tion. Preserving existing natural vegetation not only de- houses to be constructed first to promote marketing and
creases erosion potential, but also enhances the land sales within the development, phasing of the erosion and
value and conserves energy. Site the buildings and sediment plan should be considered. The engineer needs to
structures to take advantage of the scenic value of trees consider such issues at the outset and weigh their impact
and vegetation. on the project’s development. The engineer or developer
may require certain areas to be started before others because
Unfortunately, marketing issues, land values, and envi- of specific site constraints or local conditions.
ronmental preservation quite often conflict with the prior- After establishing the need for project phasing, the limits
ities of the developer, public officials, and citizens. It may of clearing and grading that apply to the phasing are ad-
not always be economically feasible to develop the site in dressed. Typically, the limits of clearing and grading are the
a manner that best fits the interests of all parties. The pri- point where the proposed contours tie into the existing con-
ority of the previously listed issues will vary from site to tours. If any intermediate land-disturbing activities are
site. An alternative is to complement the erosion and sed- planned, the engineer may decide to show the clearing and
iment controls through extra structural measures or regulate grading limits separately for each activity. For example, if
construction phasing. Consideration should be given to the entire site can be constructed (e.g., utilities, pavement,
whether the cost for the extra measures is warranted. After and building) within the prescribed maximum-cleared area,
the planning phase is complete and the planners have done only perimeter controls may be needed. If a site requires
everything reasonable to (1) meet the developer’s program, mass grading and borrow areas, intermittent controls will
(2) comply with local ordinances, and (3) address environ- be necessary around the borrow areas as well as the im-
mental issues, the next phase is to design the erosion and mediate site area. Alternatively, the intermediate activities
sediment-control plans. These plans show the structural can be described or clarified in the narrative.

TABLE 29.14 Summary of Symbols and Types of Selected Erosions and

Sediment-control Measures
STREAM PROTECTION
DRAINAGEWAY AND
STABILIZATION
STABILIZATION
PROTECTION
PERMANENT
TEMPORARY
PERIMETER
SEDIMENT
TRAPPING
CONTROL
SLOPE
TITLE KEY SYMBOL A B C D E F
Temporary gravel construction entrance ✔ ✔

.....................................................................................................................
Straw bale barrier ✔ ✔ ✔
.....................................................................................................................
Silt fence ✔ ✔ ✔
.....................................................................................................................
Storm drain inlet protection ✔
.....................................................................................................................
Temporary diversion dike ✔ ✔
.....................................................................................................................
Temporary sediment trap ✔ ✔
.....................................................................................................................
Temporary sediment basin ✔ ✔
.....................................................................................................................
Temporary slope drain ✔ ✔
.....................................................................................................................
Paved flume ✔ ✔
.....................................................................................................................
Outlet protection ✔ ✔
.....................................................................................................................
Check dams ✔ ✔
.....................................................................................................................
Level spreader ✔ ✔ ✔
.....................................................................................................................
Temporary seeding ✔
.....................................................................................................................
Permanent seeding ✔
.....................................................................................................................
Sodding ✔ ✔
.....................................................................................................................
Mulching ✔
.....................................................................................................................
Tree preservation and protection ✔
.....................................................................................................................
Dust control ✔
Clearing limits for trenching of utilities often extends existing contours meet. If the trench walls will be sloped,
beyond the width of the easement. The clearing limits for typically 1H:1V, the clearing limits will be a distance equal
these activities will depend on how deep the trenches are to the depth of the trench on either side of the center line
and whether the contractor will use shoring to stabilize the of the excavated trench. Note: extra room is necessary on
sidewalls. Sloping or benching the sidewalls of the trenches, one side of the trench for placing the excavated soil.
which is an alternative to shoring, requires extending the The selection and placement of erosion and sediment
clearing and grading limits beyond where the proposed and controls is related to the existing drainage pattern of the

site as well as the intermediate drainage patterns during drainage areas. Eventually, the temporary sediment basins
construction and land phasing. are eliminated and the area around the sediment basin is
The engineer delineates the drainage divides for the site’s worked to match the grading shown on the construction
existing and proposed conditions. The drainage divides will plans.
reveal off-site sources contributing surface runoff, drainage As construction of the site progresses to the point where
areas to existing and proposed storm drain inlets, and the storm sewer system becomes operable, another phase
drainage areas to all outlet points discharging concentrated of controls is installed. Diversion berms need to be relo-
runoff outside the denuded area. After establishing the ex- cated to account for the changing topography. Sediment
isting and proposed drainage divides, the engineer quanti- traps and berms that are no longer functional are removed.
fies the runoff for each drainage area. For small drainage The storm drain inlets are modified to function as sediment
areas (⬍50 acres), the rational method provides adequate traps. Gravel-inlet protection is installed and temporary
peak-runoff estimates. The engineer also needs to quantify sediment basins are removed. As areas are stabilized with
the water discharged onto the site from swales, ditches, and vegetation and mulch, the erosion and sediment-control de-
pipes conveying water from off-site sources. On most pro- vices are removed and the area is reworked and graded to
jects, it is likely that the drainage areas and calculations of match the construction plans. Removal of control devices
the runoff have been done during an earlier stage in the is usually contingent on the approval of a site inspector
design process. The design and installation of structural ero- representing the engineer or local public agency.
sion and sediment-control measures may be considered a
two-phase process, described next.
The Narrative
Phase I: The initial clearing and grubbing operation de-
nudes a large area. This is the most critical stage for control The narrative to the erosion and sediment-control plan is a
of erosion and sedimentation. Before denuding a large area, list of notes that describe pertinent site features relating to
some erosion and sediment controls are installed. These erosion and sedimentation. It describes the expected ero-
controls are located typically along the perimeter and at the sion and sedimentation problems, identifies the problem
outfall areas of the site. Since some sites are not located areas, explains any phasing of land-disturbing activities,
along streams, outfall means anywhere where concentrated clarifies any erosion and sediment-control sequencing, doc-
water will be discharged from the site. Placing these initial uments the types of measures used and the maintenance
controls along the perimeter allows the builder to begin schedule, as well as the inspection and provisions for repair
clearing and grading operations with minimal obstructions. of the measures.
The construction operations should be able to continue The purpose of the narrative is to summarize the plan
with little interruption from the relocation or construction for the reviewer in the public agency, the site inspectors,
of additional controls. Along the perimeter on the up-slope and the contractor. In preparing the narrative, the engineer
sides, berms are built to divert the runoff away from assumes that the reviewing agency personnel are not fa-
denuded areas. Along the low areas, berms and trapping miliar with the site and provides sufficient detail for their
facilities are constructed to divert and detain the sediment- benefit. The narrative needs to be short and concise, yet
laden runoff. If the drainage pattern of the denuded area still supply the information needed.
supplies low amounts of sheet flow at 1 cfs or less, silt fence Although the narrative may not be required in all juris-
is used to filter the runoff sediments. If the denuded area dictions that require erosion and sediment-control plans, it
is large, major sediment basins may be needed to protect is recommended that the narrative be included as part of
the outfall points. These sediment basins are kept in place the erosion and sediment-control plan. Since some sites re-
until the storm sewer system is functioning and the up- quire complex arrangements of erosion and sedimentation
stream area is stabilized. controls, notes that explain the problem areas of the site,
Phase II: As the construction operations progress, the that specifically explain the phasing, and that clarify any
drainage pattern evolves from the natural one (existing confusing situations shown on the plan view, are helpful.
prior to construction) to the ultimate pattern, as shown on The narrative should include information regarding the
the construction plans. This evolution creates smaller drain- following topics:
age areas from the existing larger drainage areas. During the
course of the evolution, modification to erosion and sedi- 1. Project description: type of project, area that will
ment controls is necessary to reflect the changes in the be disturbed, number of units (residential) or square
drainage pattern. This includes eliminating the unnecessary feet (single-parcel commercial/industrial sites)
controls and establishing new controls where appropriate.
2. Description of existing site conditions: topography,
As the branches of the permanent drainage channels and
vegetation, streams, lakes, drainage features
subsurface storm drain system become operable, small sed-
iment traps are installed around the storm sewer inlets. 3. Description of bounding areas that might be af-
These small sediment traps reduce the sediment load to the fected by land-disturbing activities: streams, lakes,
sediment basin by collecting the runoff from the smaller roads, residential and commercial areas

F IGURE 29.27 Erosion and sediment-control narrative.

F IGURE 29.27 (Continued)

F IGURE 29.27 (Continued)
4. Description of soils: soil series and their erodibility have to make assumptions when data is not available.
The calculations should include a brief heading de-
5. Critical areas such as steep slopes and environ-
scribing the calculation step followed by any assump-
mentally-sensitive areas
tions used to facilitate that particular step. Most
6. Erosion and sediment-control measures to be used calculations and assumptions are shown on the erosion
(e.g., total length of berms, number and size of basins, and sediment-control plan sheets where they describe
and general location); when construction phasing is the particular facility.
necessary, a description of phasing sequence and
amount of area to be denuded is essential An example of a narrative is shown in Figure 29.27, and
the corresponding erosion and sediment-control plan
7. Permanent stabilization: methods used to stabilize (Phase I) is shown in Figure 29.28. Once the storm drain
the site permanently (e.g., seed, sod) conveyance structures are operable, the erosion and sedi-
8. Maintenance: identify a schedule for inspections, ment-control plan is amended to correspond to the new
clean out, and repair of the structures drainage pattern. The control devices remain until the con-
Occasionally, the phrase ‘‘as needed’’ is used as an tributing area is stabilized. A Phase-II type of erosion and
all-encompassing blanket phrase to describe when re- sediment-control plan is shown in Figure 29.29
pairs and clean out should be performed, but the
phrase should be avoided. Technically, the term is SUMMARY
vague: ‘‘As needed’’ by whom? The public agency, con-
Grading operations change surface features at a site con-
tractor, engineer, etc., will have different definitions for
stantly. The altering of the land is quite rapid during the
‘‘as needed.’’ Therefore, the description on inspections
first half of the project. The methods and sequencing for
and repair should be explicitly specified (e.g., ‘‘... every
altering the surface features would be done differently by
2 weeks’’, or ‘‘... after any rainstorm greater than 0.25
different contractors for the same site. Therefore, it is dif-
in.’’).
ficult for an engineer to propose an erosion and sediment-
9. Calculations and assumptions: Design of sediment control plan that would be both practical and cost-effective
basins, their efficiency, etc., requires detailed calcula- for the total duration of the project for all changes in surface
tions. Along with the calculations, the engineer will features. The best that can be done is to address the major

Phase I erosion and sediment-control plan.

29.28
F IGURE
823
Phase II erosion and sediment-control plan.

29.29
F IGURE
824
F IGURE 29.30 Schematic for erosion and sediment controls.
changes. The daily intermittent changes will have to be ad- function as intended during that particular phase of con-
dressed by the field engineer or site superintendent. Pro- struction. The engineer should think through the construc-
visions for liability of the intermittent changes can be tion process with respect to the controls shown on the plan
explained in the narrative as part of the maintenance and and clarify ambiguous or controversial situations in the nar-
inspection paragraph. rative.
The fundamental concepts common to erosion and sed- Additionally, as a result of the National Pollutant Dis-
iment control plans are: charge Elimination System (NPDES) permit program, con-
struction sites will be required to prepare a Storm Water
1. Clear only areas that will be worked on Pollution Prevention Plan (SWPP) prior to commencement
immediately. Mass site-grading should be avoided. of any land-disturbing activities. Phase I of the program was
2. Stabilize all disturbed areas as soon as construction promulgated in November 1990 and covered construction
is complete or when the areas will not be worked on sites greater than 5 acres in size. Phase II of the program,
for extended periods of time (e.g., ⬎2 weeks). initiated in November 1999, requires operators of construc-
tion sites from 1 to 5 acres to obtain a permit. The goal of
3. Direct non-sediment-laden water away from dis-
the SWPP is to maximize the potential benefits of the pol-
turbed areas and divert sediment-laden water to
lution prevention and erosion and sediment-control prac-
trapping/filtering controls.
tices through the use of best management practices during
The erosion and sediment-control plan is an integral part the construction process. Since the primary focus of this
of the overall scheme of the development program and program is on controlling pollutants in any stormwater dis-
should not be created as an afterthought just because reg- charge, incorporation of well-thought-out and carefully im-
ulations require it (see Figure 29.30). Often, designers add plemented erosion and sediment-control measures is more
erosion and sediment controls to the plans after the plan is important than ever.
nearly complete without any thought to the practicality of The descriptions of the specific structural measures
the controls. Any erosion and sediment-control measure herein have been limited to those that are most frequently
called for in the plan should be able to be implemented in used in an erosion and sediment-control plan. Other mea-
the field at the time of its need. It is easy to put symbols sures exist, and the reader is referred to local-standards
for silt basins, silt fence, berms, etc. on paper, but the en- manuals for measures needed to accommodate the nuances
gineer has to ask if these things can be built and will they for a specific locality or site condition.

REFERENCES ceedings of an Engineering Foundation Conference, American

American Society of Civil Engineers, Residential Erosion and Sedi- Society of Civil Engineers, New York, 1986.
ment Control, American Society of Civil Engineers, New York, Maryland Water Resources Administration, Soil Conservation
1978. Service and State Soil Conservation Committee, Standards and
Becker, B.C., and T.R. Mills, Guidelines for Erosion and Sediment Specifications for Soil Erosion and Sediment Control, Annapolis,
Control Planning and Implementation, U.S. EPA, Washington, D.C., Maryland, 1983.
1972. Renard, K.G., G.R. Foster, G.A. Weesies, and J.P. Porter,
Boysen, Stephen M., Predicting Sediment Yield in Urban Areas, ‘‘RUSLE—Revised Universal Soil Loss Equation,’’ Journal of Soil
Proc. National Symposium on Urban Rainfall and Runoff and and Water Conservation, Vol 46, Jan–Feb, Ankeny, Iowa, 1991.
Sediment Control, Lexington, Ky., 1974.
Renard, K.G., G.R. Foster, D.C. Yoder, and D.K. McCool,
Boysen, Stephen M., Erosion and Sediment Control in Urbanizing ‘‘RUSLE—Revisited: Status, Questions, Answers, and the Future,’’
Areas, Proc. National Symposium on Soil Erosion and Sedimen-
Journal of Soil and Water Conservation, Vol 46, May–June, An-
tation by Water, Chicago, Ill., 1977.
keny, Iowa, 1994.
Cowherd, C. and J.S. Kinsey, Control of Open Fugitive Dust
Schwab, G.O., R.K. Frevert, et al., Soil and Water Conservation
Sources, Research Triangle Park, N.C. Office of Air Planning and
Engineering, 3rd ed., John Wiley, New York, 1981.
Standards, U.S. Environmental Protection Agency, Research Tri-
angle Park, N.C., 1988. Tchobanoglous, G. and E.D. Schroeder, Water Quality, Addison-
Goldman, Steven J., Katherine Jackson and Taras A. Burtsztyn- Wesley, Reading, Mass., 1985.
sky, Erosion and Sediment Control Handbook, McGraw-Hill, New U.S. Department of Agriculture, SCS, Sediment Storage Require-
York, 1986. ments for Reservoirs, Technical Report 12, U.S. Government
Guy, H.P., Sediment Problems in Urban Areas, USGS Circular Printing Office, Washington, D.C., 1968.
601-E, U.S. Government Printing Office, Washington, D.C., U.S. Department of Agriculture, SCS, National Handbook of Con-
1970. servation Practices, U.S. Government Printing Office, Washington,
Haan, C.T., and B.J. Barfield, Hydrology and Sedimentology of D.C., 1977.
Surface-Mined Lands, University of Kentucky, Lexington, Ky., U.S. Transportation Research Board, Design of Sedimentation Ba-
1978. sins, National Research Council, Washington, D.C., 1980.
Holy, Milos, Erosion and Environment, Pergamon Press, Oxford, Virginia Department of Conservation and Historic Resources,
U.K., 1980.
Virginia Erosion and Sediment Control Handbook, 3rd ed., Rich-
Kanerva, R.A. and M.A. Ports, Urban Sediment Controls: The Mar- mond, Va, 1992.
yland Experience, Proc. National Conference on Soil Erosion,
West Lafayette, Ind., 1976. Walesh, Stuart G., Urban Surface Water Management, John Wiley,
New York, 1989.
Kirkby, M.J. and R.P.C. Morgan, eds., Soil Erosion, Chichester:
John Wiley, Chichester, U.K., 1980. Wischmeier, W.H., ‘‘Use and Misuse of the Universal Soil Loss
Laflen, John, L.J. Lane and G.R. Foster, ‘‘WEPP—A New Genera- Equation,’’ Journal of Soil and Water Conservation 31:5–9, 1976.
tion of Erosion Prediction Technology,’’ Journal of Soil and Water Vanoni, V.A., ed., Sedimentation Engineering, New York: American
Conservation, Vol 4, Jan–Feb, Ankeny, Iowa, 1991. Society of Civil Engineers, New York, 1975.
Law, Dennis L., Mined Land Rehabilitation, Van Nostrand Rein- Vice, R.B., H.P. Guy and G.E. Ferguson, Sediment Movement in
hold, New York, 1984. an Area Of Suburban Highway Construction, Scott Run Basin, Fair-
Lord, Byron N., Effectiveness of Erosion Control. In Ben Ur- fax County, Va., 1961–64, USGS Water Supply Paper 1591-E,
bonas and Larry A. Roesner, editors: Urban Runoff Quality Pro- U.S. Government Printing Office, Washington, D.C., 19??.

CHAPTER 30
CONTRACT DOCUMENTS
AND SPECIFICATIONS
John Matusik, P.E.
INTRODUCTION needed to complete the project. If any unforeseen problems

Contract documents, drawings and specifications are the should arise, this documentation can be used to determine
major tools of communication among the numerous partic- which party is responsible for rectifying the situation. These
ipants involved in the land development design process. documents and drawings are used to ensure that the project
These tools are used throughout the design process to con- requirements are fulfilled correctly, in a timely fashion and
vey ideas and formulate the project’s design. The type of in a manner that is equitable to both owner and contractor.
map or drawing, level of detail and technical information
included depends on the targeted audience. Technical CONTRACT DOCUMENTS
drawings and plans are used by professionals for analysis The entire arrangement between the owner and the con-
and construction. Non-technical drawings, such as colored tractor detailing bidding, bonds, liabilities, construction ser-
or shaded pictorial drawings, are used to convey project vices, legal and financial rights and responsibilities, quality
concepts and show the finished product to the general pub- of workmanship, and numerous other items is packaged
lic. It is important for the design team to compose the map into the set of contract documents, which includes the con-
or drawing to the level of detail appropriate for the audi- struction drawings and specifications. The contract docu-
ence. A careful selection of the type of map or drawing and ments constitute a legally binding agreement that the
appropriately selected level of detail for the audience are contractor and owner each agree to perform according to
helpful in winning project approval. the specified terms. The design professional is responsible
Contract drawings differ significantly from design draw- for the information in these two items.
ings in that they specify the owner’s exact wishes as to how
construction is to take place. Contract documents and spec- CONTRACT DRAWINGS
ifications serve to ensure that both the contractor and Those drawings prepared by a design professional (e.g., ar-
owner are in agreement about these construction standards. chitect, engineer) for bidding purposes are referred to as
Such drawings and documentation work on a multitude of design drawings. When they are sealed by the design pro-
levels. Documentation may include bidding documents, fessional and approved by public agencies, they may be
contract documents, and, in some cases, writing specifica- referred to as construction drawings. Finally, when the con-
tions. This documentation can delineate the requirements, tract is let, the drawings are then referred to as contract
standards and procedures for project construction. They drawings. However, in practice it is not uncommon to use
can act as a legal agreement between contractor and owner, the terms design drawings and construction drawings in-
formalizing that both parties are in concordance with pro- terchangeably.
ject construction requirements. These documents are infor- The purpose of the design drawings is, in part, to show
mative as well. Such specifications indicate construction the contractor graphically what and where to build. The
methods and the equipment and materials that will be drawings also show that the design complies with codes
827
CONTRACT DOCUMENTS AND SPECIFICATIONS
and ordinances. Even though the design drawings convey In general, the specifications are divided into three major
more information pictorially than what could be detailed categories that appear in the following sequence: bidding
through written descriptions, some aspects of the design documents, general conditions, and the technical section.
and construction are better served by written descriptions.
Bidding Documents
SPECIFICATIONS The bidding documents detail the procedure and require-
ments to the contractors interested in submitting a proposal
The entire arrangement between the owner and the con- to the project. The owner can evaluate the proposals equally
tractor detailing bidding, bonds, liabilities, construction ser- if they are all prepared under the same guidelines and rules.
vices, legal and financial rights and responsibilities, quality Not only must prospective contractors have the technical
of workmanship and numerous other items is packaged capabilities to perform the work, they must also have the
into the set of contract documents. Included in the contract financial capabilities. Therefore, the contractor may be re-
documents are the construction drawings and specifica- quired to post surety bonds as part of the process for pro-
tions. When the construction contract is signed, these curing the contract. On public works contracts, the job is
drawings become part of the contract documents. A draw- awarded to the lowest responsible bidder, and that bidder
ing does not necessarily have to be drawn to scale or be a is the one who is free from defaults, can post the surety
neat, organized drawing to be included as part of the con- bond, and has not been proven dishonest on past contracts.
tract documents. A freehand sketch on scratch paper can On private projects, the contract can be awarded to anyone
be just as legally binding as any drawing prepared by a the owner chooses. The project can be open to bidding or
professional and skilled technician. The contract documents the owner can negotiate the contract with his favorite con-
constitute a legally binding agreement, which the contractor tractor. There is no restriction on private construction pro-
and owner each agree to perform according to the specified jects.
terms. The design professional is responsible for the infor- Many public agencies have design standards and corre-
mation in these two items. sponding specifications that the design professional is ex-
The specifications of the project have a twofold purpose. pected to incorporate into the design as part of the contract
One part of the specifications detail in writing the perform- documents. For example, state highway departments have
ance of the work and the interrelationships of the contrac- their own set of design standards and specifications. The
tor, owner and engineer. In addition, the specifications are dimensions and locations of such items as width of pave-
the instructions affecting materials, equipment, standards ment, depth of pavement, curb and gutter and many other
and workmanship. They essentially spell out those items items are detailed in the design standards. When these cri-
relating to the construction that cannot adequately be teria are used, the corresponding specifications detail the
shown pictorially. The specifications are considered an ex- type of material used or the minimum expected perform-
tension of the information on the drawings and, accordance of the material. This allows for a uniform consistency
ingly, do not reiterate information already included in the in construction over a wide area and spares the engineer
drawings. However, they must agree exactly in reference to from writing specifications for every project. Such standard
specific items. For example, the water main labeled on the specifications expedite design and construction techniques
drawings cannot be called the water-supply line in the spec- after repeated use because of familiarity. In addition, the
ifications. Every occurrence of the same item of the work language and references between the two are, for the most
and specific reference to it should be identified by the same part, consistent, clear and unambiguous. Any inconsisten-
words both in the drawings and specifications. Any ambi- cies between the two can usually be clarified with a phone
guity and inconsistency between the drawings and specifi- call to the appropriate agency.
cations leads to construction delays, increased costs, and
possibly even lawsuits. When rendering legal decisions the General Conditions
courts have, in most cases, used the specifications for in- The general conditions, also sometimes called the general
terpreting intent, unless the specifications explicitly state provisions, address the procedures for dealing with situa-
that the drawings take precedence over the specifications. tions and problems that may occur with the contractor. This
Specifications directly affect the cost and quality of con- section addresses the legal aspects of the arrangement be-
struction. Therefore, they need only define the minimum tween the contractor and owner. The general conditions
requirements of quality of material and workmanship, pre- detail the rights and responsibilities of those involved in the
scribe tests to measure and identify these minimum require- contract, provide guidelines for administering the contract,
ments, and establish methods of measurement and define the legal relationship, and define the relationship
payment. In order to attain this level of specificity, the spec- among the parties affected by the contract (e.g., subcon-
ifications must also be coordinated with the designated ma- tractors, the engineer, construction manager, etc.). Sections
terials and tests as well as the writing and symbols used on within the general provisions include: definitions and ab-
the drawings. breviations, scope of work, contract and subcontract pro-

30 䡲 CONTRACT DOCUMENTS AND SPECIFICATIONS 829
cedure, control of the work, control of materials, legal and ject. For this rare situation, it might be prudent to seek
public relations, prosecution and progress. These are then qualified experts rather than accept the liability. However,
further subdivided into more specific topics. The specific the land development engineer may need to specify certain
topics depend on the nature of the project and are not materials or procedures pertaining to site-specific situations.
always the same from one set of specifications to another. Following are general guidelines and thoughts to consider
when composing any specification.
Technical Section Writing technical specifications requires a fairly complete
knowledge of construction techniques, the behavior of ma-
The technical section relates directly to the information on terial or items to be specified and the testing techniques if
the construction drawings. Typically, the technical section applicable. The objective of the specifications is to ‘‘give
is arranged in the order of the way the work will be exe- detailed information regarding each and every thing and
cuted. As an example, a small commercial site could be operation within the scope of the contract, to serve as a
broken down into the following items: earthwork, sanitary single and definite basis for competitive bidding, and to
sewer, storm sewer, water line, pavement, foundation, constitute a book of instructions for all concerned with the
building structure and landscaping. Within each item there work. Some basic requirements for proper specifications
are five topics: are: technical accuracy and adequacy, definite and clear
1. Description—a short description of the nature and stipulations, fair and equitable requirements, and careful
extent of work and its pertinent features covered in the preparation to the end that they will be legally enforce-
particular item. able.’’1
Important considerations in composing specifications in-
2. Materials—description of the materials that can be clude:
used for the particular item. This includes the physical
and chemical characteristics of the material as well as 䡲 Be specific—not indefinite or vague and by all
any requirements for tolerances, mix proportions, tests, means avoid ambiguity
certification, fabrication, shop painting, shipping and 䡲 Be brief—state only the necessary facts; avoid un-
storage of the material. Industry standards for testing necessary words, phrases and avoid repetition
or performance are also referenced here (e.g., American
Society for Testing and Materials (ASTM), American 䡲 Use correct grammar and short sentences
National Standards Institute (ANSI) among others). 䡲 Specify standard sizes and patterns when possible
3. Construction requirements—prescribes the desired 䡲 Do not specify both methods and results
end results related to workmanship and finish. This al-
lows the contractor flexibility in how to accomplish 䡲 Do not specify requirements that conflict with each
these end results. Also covered in this topic are such other
items as disposition of removed materials, allowed tol-
䡲 Do not justify a requirement
erances in the end results, inspections, and tests to as-
sure the end results. 䡲 When inserting a national standard (e.g., ASTM),
read the standard to be sure that it does not conflict
4. Method of measurement—describes how each item
with job requirements
is measured for payment purposes (e.g., linear foot,
cubic yard, each (complete units), ton etc.). Another reason for written specifications is to provide a
5. Basis of payment—specifically describes those costs permanent record, primarily to avoid or resolve disputes. If
that are paid for under the contract price as defined by care is taken to write clear unambiguous specifications the
the method of measurement. Frequently, items 4 and 5 resolution of disputes is facilitated.
are combined into one topic. It is imperative to define Special organizations and agencies exist for the purpose
each item, its method of measurement and all inciden- of standardizing testing procedures and establishing mini-
tal items affecting payment. mum performance criteria. Examples of such organizations
are the American Society for Testing and Materials (ASTM)
and American National Standards Institute (ANSI). Other
WRITING SPECIFICATIONS
organizations establish minimum requirements for materials
When the situation exists where no standard specification specific to that industry. An example is the American Water
applies, the design professional must write an applicable
specification. Most land development projects use standards
and specifications already established by public agencies or
professional organizations. It is rare for the design engineer 1
Contracts, Specifications, and Law for Engineers; C.W. Dunham et al. 1979, 3rd
to compose the complete specifications for the entire pro- ed. McGraw-Hill

Works Association (AWWA). The standards developed by REFERENCES

such organizations are accepted by most manufacturers and Clark, John R. 1986. Using and Understanding Engineering Service
installers. It can be expected then that a reference in the and Construction Contracts. New York: Van Nostrand Reinhold.
specifications to such standards will be recognized by the Durham, C.W., R.L. Young, and J.T. Bockrath. 1979. Contracts,
contractor. When referencing the testing procedures, the Specifications, and Law for Engineers. 3rd Ed. New York: McGraw-
writer should be absolutely certain of the understanding of Hill.
any industry standard and ensure that there is no conflict Goldbloom, Joseph. 1989. Engineering Construction Specifications.
with other contents of the specifications. The Construction New York: Van Nostrand Reinhold.
Specification Institute (CSI) has a variety of information on Simmons, H. Leslie. 1985. The Specifications Writers Handbook.
specifications and specification writing. New York: John Wiley and Sons.

CHAPTER 31
CONSTRUCTION COST
ESTIMATING
J. Thomas Tanner, P.E.
INTRODUCTION cision is made to proceed with development, a further-

Land development engineers are frequently asked to pre- refined cost estimate can be used to establish the selling
pare cost estimates as part of the land development design price of the product.
process. The estimate’s intended use largely determines the
level of detail and the information required. In turn, the Public Project Cost Estimates
level of detail determines the time and, hence, the cost of On a public project, three types of estimates are performed:
preparing the estimate.
This chapter will define the possible purposes of esti- 1. Preliminary cost estimates
mates and identify estimate types and their limitations. It is
2. Detailed cost estimates
always important to state the assumptions that were made
in the process of preparing the estimate. When preparing 3. Engineer’s estimate or bid estimates
estimates with more detail, the importance of including all
elements cannot be overstated. Therefore, this chapter pro- It is important for the land development engineer to un-
vides a recommended checklist of elements that should be derstand the process by which a cost estimate for a public
included in the detailed estimate. Methods of estimating are facility is prepared since a publicly funded project is fre-
identified, as well as sources of current information on con- quently an integral part of the overall land development
struction costs. venture.
Frequently the land development engineer is asked to The preliminary cost estimate for public projects is pre-
compare the economic costs and benefits of several alter- pared prior to the development of detailed engineering
natives. For this reason, basic engineering economic theory plans and is used to solicit funding, generally from an an-
and typical example problems are included. nual capital improvement program or a voter referendum
or bond issue. It is prepared with only a basic understand-
ing of the general scope and extent of the project. Addi-
PURPOSE OF COST ESTIMATES tional considerations are included, if known, such as special
Although cost estimates are prepared for both private and structures that are required, land acquisition costs and ac-
public projects, the uses for cost estimates for land devel- cess considerations. Often, costs from recently constructed
opment projects differ from those for public projects in a projects of similar design are used as a source of the per-
very basic sense. Construction cost estimates prepared for foot or per-structure cost. Generally, a significant contin-
public projects, also called capital projects, are used to de- gency is included, as much as 30%, and frequently the cost
termine the economic benefit of the project based on the of inflation is estimated since it may be several years before
public need. Cost estimates prepared for land development the project actually is constructed.
projects are first used by the entrepreneur to determine The detailed cost estimate is performed after the project
whether a project is feasible economically. Later, if the de- is funded and designed. It is based on actual quantities
831
CONSTRUCTION COST ESTIMATING
estimated from the design plan. It is very similar to the this process, the general procedure is to review such ele-
detailed cost estimate for private projects, which is dis- ments as availability of services (utility services, public ser-
cussed in more detail later in this chapter. The detailed cost vices, schools), the potential yield in terms of number of
estimate should have an accuracy range of 10 to 15%. units or square footage of commercial or office space, po-
The engineer’s estimate or bid estimate is prepared as the tential environmental impacts and a host of other elements,
project is awarded for construction bidding. This estimate all of which can affect the developer’s ‘‘bottom line’’ (profit).
is very detailed and it should be as accurate as possible, Many of these elements involve substantial expenditures,
within Ⳳ5%. It should be based on a thorough review of both in terms of fixed and capital costs. If the project is
the plans and specifications, the solicitation of prices from constructed at a time of high interest rates or when loaned
suppliers, and the most recent cost of construction of the capital is scarce, a well-prepared, all-inclusive cost estimate
specific elements of the plan. for the planned project is essential. It can insure that the
project is worthwhile or can result in a decision to abandon
Private Project Cost Estimates the project before the incurring of any additional cost, in-
For private land development projects the types of estimates cluding the development of detailed plans. Investment de-
are: cisions by both the developer and the lender rely heavily
on these estimates.
1. Feasibility cost estimates As technology changes, the consideration of alternate
2. Preliminary cost estimates ways of performing some of the basic construction pro-
cesses can be important. Cost estimates of each alternative
3. Construction cost estimates can influence the final mix of technology. While the engi-
neering portion of a feasibility study can determine whether
The feasibility estimate is used by the developer in mak- the project can be performed technically, the economic or
ing a ‘‘go’’ or ‘‘no go’’ decision. The preliminary cost estimate cost-feasibility portion of the study will tell if it makes sense
is performed after a plan has evolved but before the prep- for the project to proceed financially.
aration of actual construction drawings. It is used by the It is common knowledge that many projects that have
developer to secure funding and to assist in developing al- lost money have resulted from decisions that were based
ternatives before a final decision on product details. The on incomplete studies or that made optimistic rather than
construction cost estimate is prepared to finalize loan com- conservative assumptions. A good rule-of-thumb when es-
mitment and to compare bids from contractors. Each of timating costs is to err on the side of conservatism.
these types of estimates is defined further in the next sec- Cost feasibility studies are frequently used to identify a
tion of this chapter. more economical use of the parcel of land. For example, in
In summary, while there are some similarities between evaluating the different lot sizes that can be placed on a
public and private project cost estimates, the uses to which parcel of land, one may attempt to maximize development
these are applied varies. The purpose of the cost estimate lot yield by minimizing lot size. However, a cost feasibility
for a public facility is to justify and prioritize the project, estimate can provide information to establish the true cost
as well as to determine the economic benefit or need as of the individual lots. The result can determine that the
weighed against the cost to the public. The land develop- most profitable mix might not be the one that results in the
ment cost estimate provides the developer with that all- most units.
important part of the development process: the cost. This As one can see, the feasibility estimate is used for exactly
estimates also provides, consequently, the amount that must that purpose; that is, to determine the economic feasibility
be charged to recover the costs and still achieve the desired of any given item. That item can be the entire project or,
profit. on a smaller scale, a variation of a particular roadway align-
ment, or even for a bike path or water main extension.
TYPES OF ESTIMATES
Feasibility estimates can be separated into two types: (l)
As stated above, there are three basic types of estimates rough or ‘‘ballpark’’ estimates; (2) detailed feasibility esti-
used in the land development process, although there may mates.
be refinements or variations. Generally, as a project pro- Rough or ‘‘Ballpark’’ Estimates. Many times during the
gresses from the conceptual stage through design to con- course of designing a land development project, an engineer
struction, these estimates come into play in order to make is asked to provide an informal estimate in order to deter-
basic decisions for the project. The primary difference mine if a particular item under discussion should be pur-
among the three estimates is the level of detail on which sued or given further study and design. These informal
the estimate is based. estimates are sometimes called ‘‘off-the-cuff’’ or ‘‘seat-of-the-
pants’’ estimates. Unfortunately, the whimsical nature of
Feasibility Estimates these terms can imply that these estimates need not be ac-
Land development engineers are frequently asked by clients curate and, hence, can be done by anyone. In truth, only
to assist in determining the initial feasibility of a project. In engineers with experience should give ballpark estimates,

31 䡲 CONSTRUCTION COST ESTIMATING 833
as only years of experience can allow them to ascertain what two schools based on a construction cost per student
should be included in such an estimate. In addition, only basis. In other words, he assumes that a school for
with experience can one look at the final answer and know one-half the number of students would cost 50% of
if it ‘‘makes sense’’. It may be better if the land development the value of the school being compared.
engineer provides the quantities and allows the owner/de- The engineer performs the following calculations:
veloper to provide the unit cost numbers, unless the engi-
1. He assumes a 6% inflation rate/year in con-
neer has some current costing data on which to render his
struction costs; therefore, the comparison school
opinion.
would cost $3.93 million today (two years of inflation
In any case, it is important that the engineer document,
at 6%.).
in a memorandum, his or her assumptions and methods of
determining such an estimate. That memorandum can be 2. He assumes for this estimate that a school serv-
given to the owner/developer if appropriate or requested, ing 1⁄2 the number of students would cost 50% of the
but in any case, it should be placed in the project files for $3.93 million or $1.96 million. He decides to round
later documentation if questions arise. this to $2 million.
These types of estimates are also called ‘‘order-of- 3. He assumes that the school will be constructed
magnitude’’ estimates. Generally they have a low level of at the end of the development phasing of the project
precision and can vary as much as 25 to 50%. One can not (5 years from today). With assumed inflation of 6%/
expect precision closer than Ⳳ20%. While precision is sac- year, the final cost in 5 yr of the school is $2.68
rificed in these types of estimates, they can be useful since million.
one can evaluate a large number of alternatives in a short
period of time. One must always document and be aware 4. To allow for errors in the assumption that
of the inherent limitations of this process. school costs are directly related to school population,
This rough-estimating procedure presumes an ‘‘upper and to recognize that the differences in site charac-
end’’ average cost for the significant items of the project. teristics can influence costs substantially, he assumes
One might assume a certain dollar cost per linear foot for a 25% contingency. The costs for the new school are
installation of storm sewer pipe, even though the cost then estimated to be $2.68 million Ⳳ25% or a range
would actually vary according to pipe size and depth. If, of $2.0 to $3.4 million.
however, there is only a small amount of storm sewer on 5. The engineer provides the cost estimate of $2.0
the project and this cost, relative to other items in the pro- to $3.4 million to the developer. Since the developer
ject, is insignificant, then it might not be included in the is considering offering 20% of the cost, he can con-
‘‘ballpark’’ estimate. Items such as this are lumped together sider a future obligation of between $400,000 and
in the Ⳳ50% allowable error. This is where the experience $680,000.
level of the engineer is important—in knowing what or
what not to include in the analysis and knowing what ‘‘up- 6. The engineer documents his assumptions and
per end’’ average cost can be used. the source of his data in a memorandum to the
The following two example problems are intended to owner/developer and a copy is kept in the project
show how the rough-estimating process can be used for a files.
general large-scale project and for a more limited portion E X A M P L E 2 : A recreation center is proposed on
of a specific site problem. a project. It is known that 10,000 cubic yards of bor-
row material is needed. It has been determined that
E X A M P L E 1 : The owner/developer is consid- this material can be taken from a 2-acre site near the
ering proposing to provide 20% of the construction recreation center site. No more than 4 ft of depth can
cost for an elementary school as part of the residential be removed or the site will fall below street grade. Is
development project. Before he makes this proposal, this site of borrow fill sufficient?
he asks the engineer for an order-of-magnitude esti- The engineer performs a ‘‘ballpark’’ estimate to de-
mate of the cost. termine the acreage of the borrow site and to calculate
In this example, the engineer decides to provide a the earthwork yield going through the following
‘‘ballpark’’ or order-of-magnitude estimate by com- steps:
paring the anticipated school with a recently com-
pleted school of similar nature. In doing some 1. He determines the cubic yards generated in an
research, he finds a school was constructed two years acre-foot of earth (1 acre, 1 ft deep) by knowing that
there are 43,560 ft2 in an acre:
ago in a neighboring jurisdiction for $3.5 million. He
is aware that soil and terrain characteristics are similar 43,560 ft2 ⫻ 1 ft deep
for the two sites but that the anticipated student pop- ⫽ 1613 yd3
27 ft3 /yd3
ulation for the proposed school is one-half of that of
the comparison school. He decides to compare the Engineer rounds to 1600 yd3 per acre

2. Knowing that the site is 2 acres in size with 4 layout of the project with streets and lots is needed. This
ft of soil available, the engineer calculates the follow- layout is important in order not only to place the streets on
ing: the horizontal plane, but to insure careful consideration of
a preliminary design of utility infrastructure. Preliminary
1600 yd3 /acre ⫻ 2 acres ⫻ 4 ft depth ⫽ 12,800 yd3 lots are needed to realize yield and to indicate if the market
price will offset the cost of the development and still yield
available. Please note that this example does not ad-
a reasonable profit.
dress topsoil removal for structural fill.
It is important to note that attaining additional yield
3. The engineer, assuming that this fill will be does not always guarantee additional profit. Often, the cost
placed in an engineered or controlled fill with a to develop the additional yield is offset by additional infra-
‘‘shrinkage’’ or compaction factor of 15%, calculates structure or other costs. Example 3, which follows later in
the following: this chapter, reinforces this concept.
Feasibility Checklist. In developing a cost estimate at this
12,800 yd3 available less 15% ⫽ 10,880 yd3 fill quantity stage of the project, some design data is needed so that
rough take-offs of quantities can be performed. Some en-
4. The engineer recommends that the site should
gineers include the cost estimate right on the development
provide sufficient fill if not more than 15% compac-
plan, so that as the plan changes and becomes more refined,
tion is performed. The notation should be made that
the cost estimate can be updated as well.
while the quantity may be sufficient, the quality of
Most engineering firms develop a feasibility checklist so
the soil still needs to be determined.
that all items are considered even if some might not be
5. The engineer documents his assumption and needed for all estimates. The checklist also makes it easy to
calculations in a memorandum with a copy to owner/ compare estimates with other projects and insures consis-
developer if requested. A copy is kept in project files. tency in checking by a second party (i.e., someone other
than the design engineer).
To summarize, ‘‘ballpark’’ estimates should be under- Generally, the following cost elements are to be included:
stood to represent nothing more than a rough approxima-
tion; they are intended to be quick estimates. They can be 䡲 Land
refined when more accurate data is available. They can be 䡲 Roadways
an important part of any project development in that they
enable quick evaluation of some topic without detailed de- 䡲 Storm sewers
sign or cost estimating. They should only be prepared, eval- 䡲 Clearing and grading
uated or checked by experienced personnel.
Too many times these ‘‘ballpark’’ estimates are taken to 䡲 Demolition
be exact, especially when they are underestimated. The con- 䡲 Sanitary sewers
tractor, developer, or other land design professional then
wonders what went wrong. This is another reason to err on 䡲 Water supplys
the conservative side. 䡲 Other utilities
Detailed Feasibility Estimates. A feasibility estimate
should be performed for all land development projects. Of- 䡲 Earthwork (lots only)
ten, the feasibility estimate is part of a larger project- 䡲 Erosion and sedimentation control
feasibility study that evaluates availability of services,
potential yields, and potential environmental impacts along 䡲 Stormwater management system
with other important factors. If a ‘‘ballpark’’ estimate indi- 䡲 Recreational facilities
cates a favorable economic condition, it is always desirable
to pursue the development of a more detailed feasibility 䡲 Off-site costs (special costs)
estimate. This type of estimate makes a far more refined 䡲 Permits and bonds
assessment of quantities and costs associated with project
construction and should incorporate all expenditures, in- 䡲 Geotechnical testing professional fees
cluding those for land and construction costs, as well as
See the following section describing each of these ele-
infrastructure and off-site construction. It is important that
ments in detail.
this estimate contain the costs for engineering design and
surveying, legal fees, governmental fees and, if appropriate,
the cost of borrowed capital. Preliminary Estimates
This estimate is also called a conceptual or budget esti- Preliminary estimates, sometimes referred to as semi-
mate and should be accurate to within 15 to 20% of the detailed estimates, although considerably refined from the
actual cost. To perform this level of estimate, a preliminary feasibility estimates, are developed from plans that have not

yet reached sufficient detail to derive construction costs. It Roadway Costs. Costs are usually expressed in dollars per
is felt that these estimates should be accurate within 10 to linear foot for roads and streets and a lump sum cost for
15%. parking lots. This can be misleading since there could be
Preliminary estimates are usually made after a plan has many separate items included in a linear unit cost, includ-
evolved to a fine-tuned stage but prior to actual preparation ing earthwork, pavement, aggregate for the base and sub-
of hard-line construction drawings. They can serve as ad- base course, curb and gutter, underdrains, and sidewalks,
vanced-conceptual or advanced-budget estimates and are along with general street landscaping and sodding. In ad-
usually accurate enough for making decisions regarding the dition, if appropriate, the costs associated with street light-
feasibility of a project or for a decision involving a choice ing, street trees, signs and signals should be included. It
among alternatives within a project. should be emphasized that one of the objectives of road
For preliminary estimates, the land development plan, design is to obtain an earthwork balance of both the road
which should be drawn to scale, should include the prelim- and the entire site. Without an earthwork balance, the en-
inary road alignments and in some cases preliminary site tire project costs can increase significantly.
grades. These preliminary grades can be used to perform Pavement costs are usually expressed in dollars per ton
initial designs of storm drainage, water and sewer, as well of asphalt pavement or per square yard per inch of depth
as other infrastructure-related items. These plans can be for concrete pavement, and wither cost is usually a consid-
used to estimate several important design quantities, which erable portion of the roadway cost. For this reason, the
when multiplied by the applicable unit costs can provide a development engineer is expected to minimize these costs
good estimate. by innovative design. The traffic count or anticipated traffic
A checklist should be prepared listing all cost items, and load will dictate the street width and pavement design. It
the checklist for the preliminary estimates should be at least is important to verify the sidewalk requirements of the ju-
as inclusive as that employed for the detailed feasibility es- risdiction early in the design process. Sidewalks are both
timate. Since the quantities are still in a preliminary stage, an economic impact as well a limitation on lot design.
a contingency factor of 15 to 20% should be added to the Please note that sometimes sidewalk requirements vary by
bottom-line subtotal, depending on the completeness and lot size and street classification. Sidewalk costs can be re-
duced through judicious use of lot sizes and street types.
accuracy of the plans.
In some cases, less expensive bike trails can substitute for
It is critical that the engineer and the client agree on the
sidewalks, but the engineer must be assured that they will
units of measure to be used for each of the elements in-
be approved by the jurisdiction.
cluded in the estimate. The unit of measure may be ob-
Storm Sewer Costs. Storm sewer costs are usually ex-
tained from a source such as the State Department of
pressed in dollars per linear foot of constructed pipe. In-
Transportation or Agency Department of Public Works. Pri-
cluded in this cost is the pipe itself, culverts, inlets,
vate projects may not always coincide with public specifi-
manholes, endwalls, riprap or other erosion protection, spe-
cations. The developer may require the units of measure in
cial drainage structures, underdrains, box culverts, rock ex-
a certain format for loan application purposes or for analysis
cavation and special pipe bedding if needed. Additional
by his contractors. Additionally, it is important to establish
costs include backfilling and any site restoration costs, in-
with the client the exact unit of measure for each element. cluding seeding or sodding if the pipe is placed outside the
The elements that should be included in the preliminary roadway section. Costs of storm sewers can be reduced by
estimate are similar to those in the feasibility estimate but utilizing the minimum adequate pipe size, using the least
should be based on the more complete plans. The elements number of drainage structures, and in placing pipe depths
to be included are discussed below. as shallow as possible.
Land Costs. Land costs are usually expressed in dollars Sanitary Sewer Costs. Sanitary sewer costs are usually ex-
per acre and are provided by the owner. This is the line pressed in dollars per linear foot. Some land development
item within the estimate where the initial cost or price paid projects may require construction of sewage treatment fa-
to the former owner for the parcel is accounted for in the cilities or enhancement of existing facilities.
estimate. Since the price is usually determined on an area Basic sanitary sewer costs include the piping, laterals to
or acre basis, it is critical that a complete boundary survey the property line (house connections), manholes, drop con-
be done to determine the exact parcel size. Boundary sur- nections, ejection pumps, and special structures. Restora-
veys are described in detail in a separate chapter of this tion costs such as seeding and/or sodding should be
text. It is important here to note that it is a land cost and included if the pipe is placed outside the roadway section.
should be included in the cost estimate. As with storm sewers, costs for sanitary sewers can be re-
To be complete, the cost of the deed, title insurance and duced by keeping pipe lengths and sizes to the minimum,
any transfer taxes should be included in the estimate. Real locating the trenches to more shallow depths, and mini-
estate commissions are usually paid by the seller, but this mizing the number of structures. Particular interest should
should be verified since they can be as high as 6 to 8% of be shown to rock excavation, roadway crossings, and
the selling price. boring/tunneling, as these items can be very costly.

Water-Supply Costs. As with sanitary sewers, costs for Stormwater Management Systems Costs. Similar to ero-
water supply are expressed in dollars per linear foot. If a sion control, jurisdictions are adopting more stringent
water-supply facility, such as a reservoir or a special pump- stormwater management systems requirements. In some
ing facility, is needed, it is recommended that the land de- cases these systems can equal or exceed the costs of the
velopment engineer utilize the services of an engineer storm drainage system. Included in the system are the costs
experienced in this specialty to provide the cost estimate. for embankment and excavation, oil and grit separator
Other items included in the water-supply costs are valves, structures, spillway and outlet structures, concrete, riprap,
hydrants, water service line, firelines, blow-off and air re- sod and landscaping materials and piping.
leasers, tees and pumps. Cost-minimization methods are During the design of the project, systems costs can be
similar to storm sewer and sanitary sewer design, and the minimized by carefully placing facilities where they can
elements included in the estimate are pipes, laterals ser- serve both as natural aesthetic elements (ponds) and storm-
vices, fittings, and special structures such as valve vaults. water facilities.
Other Utility Costs. Other utility costs such as gas mains, Recreational Facilities Costs. Often, the development of
fuel transmission pipelines, electric supply, telephone cables a project will include the cost of recreational facilities. These
and cable television should be included. The utility com- may be proposed by the developer to enhance the project’s
panies themselves, which can be either public or private viability or in an attempt to seek support for approval of
companies, can best supply the cost estimates for gas, elec- the development. In addition, the approving jurisdiction
tric, and cable TV facilities. Some estimate should be in- may impose a requirement for additional recreational facil-
cluded in the project estimate total for these facilities, if ities during the approval process. These facilities may serve
feasible. only the proposed development or may serve additional
Earthwork Costs (Lots Only). Earthwork costs for the var- users outside the project. For example, the jurisdiction may
ious infrastructure elements are usually included in the per require the dedication of land for a regional park and re-
foot cost of these elements; however, earthwork costs for quire the developer to construct a pond as his commitment.
the lots should be estimated separately. Earthwork costs are The jurisdiction could construct the park features such as
usually expressed in dollars per cubic yard and include cut, trails and buildings, but provide for future maintenance as
fill, topsoil, borrow and excess (earth hauled off the site). the public commitment to the park’s development. In this
The engineer is directed to the chapter on grading for dis- example, the pond could serve as the stormwater detention
cussion on the importance of attempting to balance the facility for the project and recreational facility for the juris-
earthwork on the site. Earthwork costs can be significant, diction. As part of the cost-estimating process, only the de-
and earthwork engineering often is not readily understood veloper’s costs should be included in the cost estimate. A
by the developer. Care must be taken during design so that, well-planned development could take advantage of these
if possible, phasing of construction can be done. It is cost- features through good initial planning and design.
effective to construct first in areas of cut so that earth can Elements that should be included in the recreational fa-
be moved to areas of fill without a secondary storage step cility costs are park development, sod and/or seeding,
or without having to be moved off site only to be brought earthwork such as mounding, tennis courts, swimming
back later for fill. Also, considerations should be made if pools, basketball facilities, fencing, and tot lots. If there is
rock is shallow on the site. The engineer may consider rais- an excess of earthwork in the project, good landscape de-
ing the grade of the proposed site to eliminate the need to sign through the creation of sound berms and mounds in
rip or blast through rock. Earthwork costs at this stage of the park can reduce the costs of hauling away excess, un-
plan development are based on spot elevations rather than suitable material. On the other hand, if there were a short-
on detailed contour grading. age of fill material, sound landscape design would consider
Erosion and Sedimentation-Control Costs. Most jurisdic- lowering the future park site.
tions have now adopted strict erosion and sedimentation- Off-site Costs (Special Costs). In order to serve the de-
control requirements. The land development engineer must velopment with adequate utilities or to direct sewage or
become familiar with the latest requirements, both for de- stormwater away from the site adequately, many off-site
sign purposes and for cost estimating. Cost elements in- costs can be incurred by the developer. Good engineering
clude sediment basins, straw and maintenance bales, silt design should identify the downstream effects of stormwa-
fence, berms, gravel for truck-wash facilities and wash ter leaving the site and determine the increase in size of the
pipes, traps at stream inlets, riprap, fencing for sediment/ downstream element of both the stormwater and sanitary
soil control, and erosion matting. Similar to other elements sewer piping systems. Often, these enhancements are the
of design, proper phasing of construction activities can min- responsibility of the developer and should be included in
imize the cost of these elements. Also included within this the estimated cost of the project. Care must be taken not
section of costs is the initial clearing and grubbing of the to state prematurely that these are 100% the responsibility
site. This cost can vary significantly based on the amount of the project development. In some instances, the case can
and extent of the vegetation growth on the site. be made that these enhancements benefits adjacent future

development or the public in general, and, therefore, the cost. These fees include those of the engineer, surveyor, and
costs should be shared. At this stage in the development, architect, as well as geotechnical, construction observation,
the engineer preparing the cost estimate can make an as- and attorney expenses. Generally these fees are based on
sumption and use the assumption in his calculation, but the cost of the facilities, factored by the complexity of the
footnotes should be made to identify the assumption and project. Attorney fees vary widely from a lump sum for the
to provide a brief justification of the assumption. entire project to an hourly fee. Whatever method is chosen
Special or off-site costs that should be considered are: to estimate the cost, the assumptions should be clearly
streets and/or street widening and reconstruction, traffic stated in the report that accompanies the estimate.
controls, signalization, bridges, sidewalks, hike/bike trails, The engineering and architectural fees can be divided
stormwater management facilities (in particular, regional fa- into two categories: (1) the planning and engineering cost
cilities), landscaping, lighting, and signs. of development of the plans and specifications; and (2) the
Permits and Bonds Costs. On most projects, permits cost of engineering, surveying and construction manage-
from the local, and sometimes the state, governments must ment during construction. Typically, professional fees vary
be obtained before construction can commence. Typically, between 7 and 15% percent of the total project cost.
permits are also required when making connections to util- Financial Fees. The inclusion of financial fees in the cost
ity systems such as electrical service, water service and san- estimate is best left for the client to estimate, based on his
itary systems. Frequently, these are called ‘‘hook-up’’ fees particular situation. Financial fees are usually based on a
and can be used by the jurisdiction to make system-wide percentage of borrowed money. Interest charges during the
improvements or upgrades. Many kinds of construction life of the project can be substantial if the project has a long
activities require inspections, both during and after con- history from purchase of land to completion of construc-
struction, that are intended to provide consistency in con- tion. The cost of financing may range from 5 to 20% of the
struction practices and to provide for safety during both total project cost.
construction and subsequent overall system use. Contingency Allowance. Allowing for contingencies (un-
The permits associated with developing a tract of land foreseen conditions or variances in design elements) is a
can be numerous. The cost associated with procuring the key part of the estimate of project cost. There is no generally
vast number of permits is one that must be accounted for. accepted percentage. The amount varies by the complexity
Permits are usually required for grading, paving, drainage, of the project, the anticipated time for completion and the
sewer connections, water connections, electrical and gas individual idiosyncrasies of the engineer (e.g., conservative
connections, wetlands delineation and protection, and for- versus liberal). It is common to see contingencies used from
est or tree stand delineation and protection. Additionally, 5 to 30%. If the engineer is unsure of the contingency to
the local and state governments could have additional per- allow, it is recommended that a minimum of 15% be util-
mit requirements. Generally, the fees charged by the review- ized. If the client disagrees, the amount can be altered by
ing agency are structured to recover their costs for review the client. However, it is recommended that the engineer’s
of plans and inspection, but some governments use these original contingency be documented in the project files. If
fees as a way of securing additional general revenue. In any the project is to be phased over numerous years, the cost
case, it is the responsibility of the engineer to identify care- of escalation should affect the contingency, or alternatively
fully all fees for the required permits, since these fees and a separate line item can be included for inflation.
permits can be in the range of 20 to 25% of the physical Other Miscellaneous Costs. Other miscellaneous costs
construction costs for the project (excluding land and house should be included if pertinent. Consideration should be
construction costs). given to such items as marketing analysis, maintenance cost
On most projects of substantial size, the developer and of project elements constructed but not accepted by the
/or contractor must post a surety bond to insure adequate operating agency until later, and other costs not accounted
construction quality. While this bond is returned at the end for in any previous section. These might include such items
of the project, it can involve a loan from a bonding com- as demolition of existing structures and costs associated
pany or, at a minimum, lost interest for the construction with environmental mitigation and special landscaping.
period. Many jurisdictions now permit the potential partial Among other uses, preliminary estimates are valuable for
release of bonds as project phases are completed. While this obtaining developer loan applications, developing cash-flow
does not affect cost estimates, it can substantially reduce schedules, and fine-tuning preliminary market prices for
the developer’s cost, and if the engineer can identify this product.
possibility and move promptly to get the jurisdictional par-
tial bond release, the client can save in terms of lost interest Construction Estimates
cost. Construction cost estimates, also referred to as detailed es-
Professional Fees. As part of any project, professional timates, are generally developed only after the construction
consultant fees should be included in any cost estimate plans have been approved by all necessary agencies. Quan-
since they can represent as much as 15% of the project tity take-offs, which provide the quantities of work to be

performed, are often made before all final approvals are Since construction cost estimates utilize quantity take-
obtained. Therefore, it is critical that all take-offs and esti- offs from drawings to be used in constructing the project,
mates be dated and referenced to a dated plan sheet. The the cost estimate obviously will be only as accurate as the
importance of dating the estimate can not be overstated. quantities to which costs are assigned and the accuracy of
The plan set is often revised during the final approval pro- those assigned costs. In addition, the engineer must rec-
cess, and you need to insure that the final construction cost ognize that multiplication of numbers, as performed when
estimate is based on the plans as used for construction. applying unit cost to quantities, can result in magnification
Construction cost estimates can be performed by differ- of errors. Propagation of errors in the product of two in-
ent professionals but, as always, should be reviewed and dependent variables, where A and B are the independent
approved only by persons with many years of experience. variables and e is the uncertainty or error in the variables,
This is to assure thoroughness and credibility of the esti- is shown in Equation 31.1. For example, suppose the es-
mate. It is important that somewhere in the process an intimate for excavation is 10,000 CY Ⳳ 20% and the cost is
dividual with knowledge of the details of construction work $4.70 Ⳳ 10%. Using Equation 31.1, the accuracy of the
either develop the estimate or check the efforts of others. cost is
This experience is best obtained through actual experience
(10,000 Ⳳ 20%) ⫻ ($4.70 Ⳳ 10%) (31.2)
in construction work. It is also important for the estimator
to be able to visualize the various construction phases of a ⫽ (10,000 Ⳳ 2000) ⫻ ($4.70 Ⳳ $0.47)
project and to be able to incorporate equipment needs, ma-
⫽ (10,000 ⫻ 4.70) Ⳳ 兹(10,000(0.47))2 ⫹ (4.70(2000))2
terials needed and the handling of these during construc-
tion. ⫽ 47,000 Ⳳ 10,510
It is important during the development of the construc- ⫽ $47,000 Ⳳ 22.4%
tion cost estimates that the latest available information be
used. An experienced engineer should keep an updated file Note that although the estimated range (i.e., error) in quan-
with the latest bid information on materials, labor and the tity is 20% and the estimated range (i.e., error) in the cost
availability of construction items. Later in this chapter, a is 10%, the overall accrued error is 22.4%
listing of possible sources of this information is provided. When two independent variables are added together, the
In general, the construction estimate should include the accrued error is represented by Equation 31.3.
quantities and unit costs of all items needed to construct
the project. The construction cost estimate can be used for C Ⳳ ␧C ⫽ (A ⫹ B ) Ⳳ 兹␧2A ⫹ ␧2B (31.3)
some of the same items as identified for the preliminary
Table 31.1, generated from Equation 31.1, provides the
estimate, such as loan applications, cash flows, and setting expected error given the errors of the two independent var-
of market prices. In addition, this estimate can provide the iables. For example, the error of 22.4% calculated using
owner/developer with a reasonably accurate guide of the Equation 31.2 can be obtained by entering 20% for variable
amount of funding needed to complete the project. A and reading across to the 10% column of variable B. Table
Often the developer will ask contractors for bids on se- 31.2 shows how errors are accrued when numbers are mul-
lected portions of the project, including infrastructure, tiplied and added together. Care must be taken to minimize
grading and roadway/street construction. The construction the errors; otherwise, they can be compounded throughout
cost estimate should be formatted so that the data needed the estimate.
to compare actual bid prices with the estimate is easily ob- It is imperative that every item indicated in the construc-
tainable. Wide disparities in the bids, if several bids are tion plans be included in the estimate, since the contractor
being compared, usually indicate a lack of clarity in the installing these items will most surely include it. It is es-
plans, specifications, or instructions to the bidder. One or pecially important for the construction cost estimate to try
two marked deviations from all of the bids, however, usu- and give at least a ‘‘guesstimate’’ of contingent items such
ally indicates some oversight or lack of understanding by as rock excavation, pipe bedding, excavation and removal
the bidder. of unsuitable material, undercutting and other similar
It is felt that the construction cost estimate should be items. These items need to be recognized initially, so that
accurate within 5 to 10%. The accuracy depends on the if they become necessary in the actual construction, they
complexities of the plans and specifications and on the cur- will have been planned for, even though they were not spe-
rency of the bid data used to develop the unit costs. Errors cifically indicated on the construction drawings. When such
in the design plans can greatly affect the accuracy of the ‘‘guesstimates’’ are included, it is recommended that they be
cost estimate. Back charges and extras by contractors be- footnoted to differentiate them from the normally more ac-
cause of incomplete and/or inaccurate plans will increase curate cost items.
costs significantly. It is recommended that engineers utilize a standard
checklist and a statement cost estimate sheet or develop
C Ⳳ ␧C ⫽ (A ⫻ B) 兹(A Ⳳ ␧B)2 ⫹ (B Ⳳ ␧A)1 (31.1) ones if they do not exist. Existing computer programs for

TABLE 31.1 Percent Error Expected in the Product of Two Independent Variables
PERCENT ERROR IN VARIABLE B
% ERROR IN
VARIABLE A 0 5 10 15 20 25 30
0 5 5.0 10.0 15.0 20.0 25.0 30.0

.....................................................................................................................
5 5 7.1 11.2 15.8 20.6 25.5 30.4
.....................................................................................................................
10 10 11.2 14.1 18.0 22.4 27.0 31.6
.....................................................................................................................
15 15 15.8 18.0 21.2 25.0 29.2 33.6
.....................................................................................................................
20 20 20.6 22.4 25.0 28.3 32.1 36.1
.....................................................................................................................
25 25 25.5 27.0 29.2 32.1 35.4 39.1
.....................................................................................................................
30 30 30.4 31.6 33.6 36.1 39.1 42.5
data manipulation work well to standardize the form and when considered on the cost per unit. Smaller sites can
can perform all arithmetic functions automatically. When require a non-proportional cost for infrastructure improve-
computerized, these forms can be the basis of a method of ment, particularly with respect to streets and underground
filing historic costs. A typical checklist is shown in Figure utilities. Quantity discounts, which are given for construc-
31.1. A standard cost-estimate sheet is shown in Figure tion materials, may not apply for smaller sites. In addition,
31.2. it is important to note that attaining additional yield, (e.g.,
For construction cost estimates, a contingency of 10% is more housing units) does not always guarantee additional
usually employed, depending on the source and timeliness profit. This is especially true if the cost to develop the ad-
of the unit costing. ditional yield is offset by additional infrastructure costs. The
Table 31.3 shows a procedure list as used by a major following example shows how this condition could occur.
engineering firm specializing in land development engi-
neering. It is intended to provide a framework for proceed- E X A M P L E 3 : After a 60-unit, single-family de-
ing through the preparation of a cost estimate. Not all items velopment project is into the design stage, the client
will be needed for all estimates, but it is felt that all should (developer) is considering an offer to purchase an ad-
be considered. jacent site to add to the total project. The site would
add 12 units and, because of its location, would en-
VARIABLES AFFECTING COST hance the attractiveness of the project. However, the
Many variables affect the cost of the project. As the engineer parcel of land being considered has steep terrain and
is preparing the cost estimate, he should be aware if any of must be elevated by fill. To accommodate the addi-
the following items are significant enough to be investigated tional units, the sanitary sewer and storm drain sys-
in more detail in the estimate. tem for a portion of the initial site (Phase I) has to
be constructed deeper for 25% of the units at an ad-
Size and Complexity of the Project ditional cost of $2000 per unit. How should you as
The size and complexity of the project can have a significant the developer’s engineer analyze the situation and
effect on the cost of physical improvements, particularly what advice should you give to your client?
TABLE 31.2 Compounding of Errors Showing Quantities Times Unit Costs

ITEM QUANTITY UNIT COST TOTAL COST ACCURACY ($) ACCURACY (%)
Excavation 10,000 CY Ⳳ 20% $ 4.70 Ⳳ 20% $47,000 $10,510 Ⳳ22%

.....................................................................................................................
Concrete Sidewalk 250 LF Ⳳ 15% $17.00 Ⳳ 20% $ 4250 $ 1063 Ⳳ25%
.....................................................................................................................
36-in. Diameter 320 LF Ⳳ 10% $60.00 Ⳳ 15% $19,200 $ 3461 Ⳳ18%
Concrete Pipe
.....................................................................................................................
$70,450 $11,116 Ⳳ16%

F IGURE 31.1 Cost estimate checklist.

F IGURE 31.2 Cost estimate sheet.

F IGURE 31.2 (Continued) Cost estimate sheet.



ANALYSIS AND SOLUTION: You, as the en- Additional cost for fill (Phase II) ⫽ $75,000
gineer, are aware that the developer is seeking a 12%
Additional cost for infrastructure (Phase II) ⫽ $80,000
profit or $15,000 per unit. You decide to evaluate the
additional costs related to the incremental develop- Additional cost for infrastructure (Phase I) ⫽ $30,000
ment (Phase II) against the required profit.
First, you determine the required incremental Total cost ⫽ $185,000
profit: $15,000/ unit ⫻ 12 units ⫽ $180,000 (re- (31.4)
quired profit). Based on a preliminary evaluation of
You now prepare a report to your client indicating that,
elevations of the Phase II site, you estimate the cost
based on your assumptions, he will not achieve the required
of the fill required to be $75,000. You also perform
profit since the total incremental cost exceeds the required
an analysis for incremental infrastructure cost for
profit by $5,000. You also advise that any unforeseen costs
Phase II and estimate the cost to be $60,000. You
not included in your evaluation will make the differential
check with the local jurisdiction and find that the
even less appealing. You document your findings and as-
additional units in Phase II will increase traffic vol-
sumptions clearly in the report to the client and include a
umes on the primary access route, which also serves
copy of the report in the project files.
Phase I. The increase in traffic volume will require the
road to have a wider cross section and you estimate
the incremental cost of the widening to be $20,000. Specifics of Site
The total incremental infrastructure cost for Phase II Development costs can vary greatly due to the specifics of
is $80,000. the site. The provision of services, particularly utility ser-
Next, you estimate the additional cost for the vices, can cause a wide disparity in costs between sites. If
deeper sewers in Phase I. You have been told by the potable water, trunk sanitary, and/or storm sewer systems
developer’s contractor that he would estimate the cost are not readily available, the provision of connections to
to be $2000/unit for 25% of the Phase I units or 15 these utilities can greatly increase construction costs for a
units. This results in an additional cost for Phase I of project. The reconstruction or widening of a major highway
$2000/unit ⫻ 15 units ⫽ $30,000. can involve substantial construction costs, which are attrib-
You now compare the total incremental costs to utable to the project and which can have a serious impact
the required profit: on the per unit costs.

TABLE 31.3 Procedure for the Preparation of Cost Estimates
All cost estimates shall be prepared by a senior engineer who shall, prior to beginning any quantity and cost
estimate, undertake the following.
1. Secure the plan that is to be used as the basis for the estimate, and clearly reference a set of the plans as the
source material upon which the estimate is predicated.
2. Research files and senior company engineers to determine what jobs, if any, have been done in the vicinity of the
subject tract.
3. Obtain soil maps or reports of the tract under consideration, if available.
4. Conduct site inspection by physically walking site, not just a ‘‘ride-by.’’
5. Use a standard cost estimate checklist and itemize each quantity or clearly state why quantity is not defined.
6. Secure from reliable source (reputable contractor, current bids, contractor’s data report, recent cost estimates) unit
costs for all improvements required.
7. Verify that costs secured are installed/finished construction prices.
8. Check all prices with another senior engineer to obtain concurrence on prices used.
9. Prepare chart-form cost estimate detailing type of improvement, quantity, units, unit cost, and total cost.
10. Have addition and multiplication cross-checked by other qualified person.
11. Prepare a cover letter to accompany all cost estimates, making the cost estimate an integral part of the letter (i.e.,
number of all pages—1 of 4, etc.).
In this way the cost estimate should not get separated from the cover letter that qualifies the estimate.
12. The cover letter should enumerate that only those items listed in the cost estimate were considered. Additionally,
it should detail those items that were not considered and why.
13. All cost estimates, regardless of how they are prepared, should qualify soil conditions and their possible effect on
development costs.
14. All cost estimates must clearly define source base plan used for estimate.
15. All cost estimates must show preparer of same and the date estimate was prepared, irrespective of closing
signature.
16. All cost estimates should be checked by senior staff prior to being sent to client.
17. All cost estimates should clearly state that costs are based on present-day dollars.
18. All cost estimates should have rounded totals as final figure, which should include a 10% contingency factor
added in at the end of the estimate.
19. All cost estimates should state the source of unit costs applied to the quantities.
20. Prepare estimate in the order of construction events.
21. Include base plan with cost estimate and letter.
All cost estimates shall be prepared by a senior engineer The political climate, particularly with respect to neigh-
who shall, before beginning any quantity and cost estimate, boring parcels, should not be underestimated. Costs to pro-
undertake the following: tect adjacent neighborhoods using extensive landscaping,
If earthwork balance of cuts and fills cannot be achieved, sound berms, or walls, can add to the project cost signifi-
fill must be borrowed from an off-site source or excavation cantly. If possible, these costs should be estimated and in-
and embankment material must be exported. These earth- cluded within this early feasibility-cost estimate.
work transportation costs can seriously affect the economic
viability of the site. Errors in estimating earthwork balance Soils (Rocks)
can lead to misleading profit percentages, so care must be The type of soils found on the project site can affect project
taken to estimate these costs as accurately as possible. The construction costs. The types of soil can cause significant
quantity-takeoff estimate has become much more accurate costs because of the possible need to change the existing
with development of a series of proprietary software pack- soil characteristics. If a significant portion of the soils can-
ages, which allow for electronic compilation of quantities not be made compatible with the proposed development
from the topographic files. program, the costs for replacing the existing soils can be

extreme. Excavation and the provision of sufficient suitable require a lower expenditure per project dollar for the cost
backfill can also increase costs. estimate to achieve the same level of accuracy, with all other
The presence of rock on the proposed site will also have things being equal. If the engineer is preparing a bid esti-
a tremendous effect on the construction cost. If excavation mate where the accuracy should be Ⳳ5%, Figure 31.3
of rock is required, blasting may be required. would show that the cost estimate would be about 4% of
As one can see, the development of a feasibility-cost es- the total project cost (or $40,000 for the $1 million pro-
timate can be very time-consuming. Care must be taken, ject). A preliminary estimate, as previously indicated,
however, not to over-detail the estimate at this early stage should be accurate within 10 to 15%. According to Figure
of design. Actual costs, of course, will not become known 31.3, the cost associated with preparing an estimate that is
until the project development is completed. The estimation accurate to 10% of the cost is 1.5% of total project cost (or
of project costs as completely and accurately as possible is $15,000), while an estimate accurate to within 15% would
essential to the client and to his decision to continue plan- require 0.8% of the total project cost (or $8000). For a
ning and designing the project. The identification of poten- feasibility-cost estimate, which may be accurate to 25%,
tial unexpected costs is also critical in order to allow for Figure 31.3 indicates that 0.4% of the total project cost is
alternative planning. required (or $4000). For $600, one can expect a ballpark
estimate accurate to about 50%.
ACCURACY VERSUS COST FOR ESTIMATES
It is generally felt that the accuracy of the estimate should SOURCES OF UNIT-COST DATA
bear some relationship to the cost of preparing that esti- As important as quantities and contingencies are to cost
mate. While little hard research has been performed on this estimating, the accuracy of the cost estimate also depends
topic; however, the following graph and related material heavily on the accuracy of the unit-cost data. When pro-
might prove useful in determining some guidelines. viding unit-cost data for an estimate, it is recommended
Parks and Jackson, in the book entitled Cost Engineering that the engineer check first with the client-owner (or de-
Analysis, show the relationship presented in Figure 31.3. veloper) to determine if a relationship has been established
This figure documents the relationship between the antici- with a reliable local contractor. If one exists, the contractor
pated accuracy of the estimate as a function of the cost of can provide information on recent bid data on similar pro-
the estimate, expressed as a percentage of the total project jects, which is the best method of estimating unit costs. In
cost. Generally, the estimate for a higher-cost project would some areas, local construction companies form trade asso-
ciations to evaluate common problems and to promote their
- work. Frequently, these groups publish listings of recent
successful bids. There are also nationally published bid tab-
ulations such as the Bid Reporter and the Contractors Data
Report. Many state departments of transportation publish
recent bid tabulations, from which general information on
unit costs can be obtained.
Local public works agencies also can provide informa-
tion on recent costs. Care must be exercised when using
this information, since the construction costs for a public
project may be different from those for privately con-
structed projects. An example of bid tabulation from a local
agency is shown in Figure 31.4. In addition, many local
governments require performance bonds for private pro-
jects. The purpose of a performance bond is to set aside
sufficient funds in an escrow account to protect the public
if a private developer/contractor fails to complete the pro-
ject. The funds are then utilized by the public agency to
finish the work. Many public agencies publish a unit-price
list to be used for the performance bond estimate. An ex-
ample is shown in Figure 31.5. Care must be exercised by
the engineer in using such information, as performance-
bond unit prices generally are higher than private construc-
tion costs, since additional amounts are included to reflect
administration and start-up expenses when the agency must
F IGURE 3 1 . 3 Accuracy versus cost for estimates. Park, W. and step in to complete a project.
D.E. Jackson, Cost Engineering Analysis, 2nd ed., New York: John Wiley In addition, there is published information generally
& Sons. Used by permission. identified as ‘‘Guides to Construction Costs.’’ These include:

Bid tabulation example.

31.4
F IGURE
848
Arlington County performance bond unit prices.

31.5
F IGURE
849
(Continued) Arlington County performance bond unit prices.

31.5
F IGURE
850
‘‘Building Construction Data,’’ published by the R.S. Means

Company; the ‘‘Dodge Reports,’’ published by the F.W.
F⫽A 冋 (1 ⫹ i)n ⫺ 1
i 册 (31.9)
冋册
Dodge Company; and ‘‘Engineering New Record,’’ pub-
(1 ⫹ i)n ⫺ 1
lished by McGraw-Hill. P⫽A (31.10)
Other sources for cost guides include specialized trade i(1 ⫹ i)n
associations such as the American Concrete Pipe Associa- The factors, which vary by interest rate and number of
tion and the Iron and Steel Institute, among numerous oth- periods, are found in most engineering economic analysis
ers. All of these guides are only that—the unit prices should texts. They are usually written as (Factor, i, n). For example,
never be used blindly since conditions vary from region to the uniform series present worth factor at i ⫽ 7 and for
region, and in fact, from project area to project area within n ⫽ 10 would be written as ( PWF, i, n) or (PWF, 7%, 10),
the same jurisdiction. and is equal to 0.5083. This factor can be determined by
looking at a table or by substituting the values into Equa-
ENGINEERING ECONOMY tion 31.5. When solving complex engineering economics
Occasionally, the land development engineer is asked to as- problems, it is a good idea to draw a cash-flow diagram. A
sist the client in evaluating a series of alternatives (value simple problem will illustrate.
engineering), which may involve a type of decision-making E X A M P L E 4 : How much does one have to in-
called engineering economic analysis. The intent of pre- vest today to be able to achieve draws of $2000 at
senting the following information is not to provide a com- the end of each year for 5 yr, assuming interest is at
plete discourse on the subject but to summarize the 7% per year?
formulas used in textbooks on the subject. The reader is First, prepare a cash flow diagram (Figure 31.6).
directed to any of the engineering economy texts listed in To find P given A at n ⫽ 5 and i ⫽ 7,
the bibliography for a full explanation of the subject, as well
as the necessary tables to apply the principles involved. P ⫽ A (Present Worth Factor) (31.11)
⫽ A (PWF, 7, 5)
Interest Formulas
⫽ 2000 (4.100)
While texts on engineering economics use different sym-
bols, the following are the ones most commonly used and P ⫽ $8200
are taken from a well-respected text on the subject (Prin- Example 5, below, is included as an example of alter-
ciples of Engineering Economy, Grant, E.L. et al. 1982). native analyses that are commonly encountered in land de-
Symbols velopment engineering. It uses the principles of engineering
economics as described previously.
i ⫽
interest rate per interest period
n ⫽
number of interest periods E X A M P L E 5 : You are the engineer for a major
P ⫽
Present sum of money landowner and developer. Your client needs to con-
F ⫽
Sum of money at the end of n periods. It is equiv- struct a storm drainage facility that extends under a
alent to P with interest i added. state roadway. Your client has requested that you
A ⫽ End of period payment or receipt in a uniform se- compare two alternative storm drainage pipe systems
ries continuing for n periods.
Formulas. The following information is provided to ena-

ble one to utilize the interest tables quickly when calculat-
ing the information needed to analyze engineering economy
problems.
F ⫽ P(1 ⫹ i)n (31.5)
P⫽F 冋 1
(1 ⫹ i)n 册 (31.6)
A⫽F 冋 i
(1 ⫹ i)n ⫺ 1 册 (31.7)
A⫽P 冋 i(1 ⫹ i)n

(1 ⫹ i)n ⫺ 1 册 (31.8)
F IGURE 31.6 Cash-flow diagram for Example 4.

F IGURE 31.7 Cash-flow diagram for Example 5.
and has provided you with two bids from his con- Your client has asked you to compare the life cost
tractor. Alternative A has a service life of 50 yr and a for each alternative on an annual cost basis.
bid cost of $1,575,800. Alternative B has a service life For Alternative A, using the economic analysis
of 25 yr with a bid cost of $1,275,000. Since your equation for annual equivalent cost (see Engineering
client will be the owner over the life of the facility, Economics Tables):
冋册
he wants to be sure he selects the least-cost alternative
over the long-term. i(1 ⫹ i)n
A⫽P ⫽ P(CRF, 7%, 50 yr)
You, as the engineer, investigate and find that the (1 ⫹ i)n ⫺ 1
state highway department requires a service life of 50 ⫽ 1,575,800 (0.07246)
yr, meaning that Alternative B could require replace- A ⫽ Annual CostALT A ⫽ $114,182 (31.12)
ment once during the service life of the project. You
are aware that inflation is at 4% and interest rates are In Alternative B, the pipe is assumed to need re-
at 7%. placement in 25 yr, since the service life is 25 yr. Here
you assume, at an inflation rate of 4%/year, the cost
to replace in 25 yr is:
Assumptions/Facts Alternative A Alternative B
Bid Cost (P) $1,575,800 $1,275,000 S25 ⫽ P(1 ⫹ i)n ⫽ P(CAF, 4%, 25 yr) (31.13)
.....................................................
Life (n)50 years 25 years ⫽ 1,275,000 (2.6658)
.....................................................
Interest (i) 7% 7% S25 ⫽ $3,398,895
.....................................................
Inflation 4% 4% Next, find the present value of $3,398,895 using
i ⫽ 4% Figure 31.7 is a diagram that shows Alternative B
冋册
cash flows for each step.
1 Note that the whole computation process of find-
P⫽S ⫽ S (PWF, 7%, 25 yr)
(1 ⫹ i)n ing the annual cost could have been done in one step:
⫽ 3,398,895 (0.1842) A ⫽ (P(CAF, 4%, 25)(PWF, 7%, 25)(CRF, 7%, 50)
⫽ $626,076 ⫹ P) (CRF, 7%, 50) (31.16)
(31.14) Based on the above assumptions on an annual
equivalent cost basis, Alternative A is $114,182/yr
Adding this value to the first installation cost you and Alternative B is $137,752/yr. In this example, no
find, $1,275,000 ⫹ $626,076 ⫽ $1,901,076 for the cost of removing the pipe at 25 yr is included. You
total present value of Alternative B. Since you have advise your client that Alternative A, with the higher
been asked to compare the alternatives on an annual current bid cost, is the least-cost solution over the life
cost basis, you calculate: of the facility (50 yr). You prepare a report to your
冋册
client documenting your analysis and assumptions
i(1 ⫹ i)n and put a copy in the project files.
A⫽P ⫽ (31.15)
(1 ⫹ i)n ⫺ 1
REFERENCES
⫽ P(CRF, 7, 50 yr) Grant, E.L., et al., Principles of Engineering Economy, John Wiley,
⫽ 1,901,076(0.07246) New York, 1982.
Park, W.R., and D.E. Jackson, Cost Engineering and Analysis, John
AALT B ⫽ $137,752 Wiley, New York, 1982.


PART VI
PLAN SUBMISSION
AND PERMITTING

PLAN SUBMISSION AND PERMITTING

CHAPTER 32
SUBDIVISION SUBMITTALS
INTRODUCTION and other information, the submittal shows the arrange-

Approval of a rezoning application is insufficient to initiate ment of property lines, lots and other features that will oc-
construction. Detailed design and structural analyses are cupy the site. The subdivision plat identifies the public and
rarely incorporated to a sufficient degree in the rezoning private facilities that are to serve the intended uses as well
process. Consequently, the development team can encoun- as information on how those facilities will be constructed,
ter numerous pitfalls in attempting to translate an approved from grading of the property to connection of structures to
zoning plan into a subdivision submittal. Engineering anal- water and sewer lines. The subdivision application is pre-
ysis performed for a subdivision sometimes suggests that pared, submitted and reviewed in a predetermined se-
the assumptions used in the rezoning submittal were in- quence of increasing accuracy and detail. Most jurisdictions
accurate if not incorrect. This is because of the level of consider subdivision approvals as an administrative act of
detail that each type of approval requires. The risk and ex- the staff, without involvement of the legislative body or the
pense involved in achieving this accuracy with the more public. However, even the most prescriptive ordinances al-
speculative rezoning application may outweigh the benefit low and necessitate considerable judgment by development
of greater exactness at that point in the process. Yet, some professionals concerning on-site layout and connection to
jurisdictions go so far as to require revisions to the ap- off-site facilities.
proved development plans with the rezoning because of Prior to expending significant time and money for the
problems encountered during the subdivision analysis, and preparation of final layouts and construction plans, the de-
this can substantially alter the approved development plan. veloper seeks a comfort level that plans will be approved.
As with so many aspects of development review, the hesi- By incorporating a series of checkpoints throughout the
tancy to allow administrative corrections stems from fear of plan-design process, the development team is able to pre-
abuses and claims of unequal treatment. dict whether its interpretations of local policies, regulations
The land development process is often lengthy and ar- and standards match those of local government authorities.
duous. Previous chapters have discussed, in detail, com- Without this monitoring procedure, extensive redesign
prehensive planning, zoning, subdivisions, building permits would be needed if, for instance, the lot layout did not
and a myriad of other elements of the development process. comply fully with the requirements of the current zoning
This chapter focuses on the subdivision submittal, review ordinance or the street and utility systems did not consider
and approval process. It is at this point in the process that planned or existing networks properly.
the developer is preparing to initiate construction and wel- The agency taking the lead role in performing subdivi-
comes this critical element. sion plan review varies from jurisdiction to jurisdiction. In
larger communities, the planning or public works depart-
PREPARATION AND PROCESSING ment is given this responsibility. In some instances, a multi-
The subdivision submittal is the developer’s actual repre- purpose agency established to administer building and
sentation of the proposed development. Using drawings environmental regulations is sometimes created for this pur-
857
858 P L A N S U B M I S S I O N A N D P E R M I T T I N G
pose. In small communities, an individual such as the town and off-site sewage disposal and the placement of sep-
manager or engineer may be responsible for the subdivision tic drainfields and wells.
review process. The designated review agency also is gen-
䡲 Fire protection officials are frequently involved in
erally responsible for coordinating the review of plans by
the review of subdivision proposals to ensure that clear
other governmental and quasi-governmental bodies.
and adequate access is provided for emergency vehi-
In a typical developing jurisdiction, the lead agency dis-
cles. Placement of water lines and fire hydrants may
tributes copies of the subdivision plan to other agencies for
also fall under their purview, as well as the monitoring
review. Most agencies are asked to review submittals to
of development activity to assist in locating future sta-
identify the location, adequacy and availability of services
tion facilities.
and assess impact on systems for which they are responsi-
ble. These agencies will also review plans for compliance 䡲 School districts typically perform an analysis of po-
with ordinances and standards that they may administer. tential school enrollment generated by new develop-
Their role is to ensure proper relationship between systems ment as a monitoring function.
constructed as part of the new development and the com-
䡲 A local parks and recreation department will re-
munity’s existing and proposed patterns and networks.
view subdivision proposals to evaluate recreational
Some agencies receive copies to assist in monitoring devel-
needs of both the new development and impact on ex-
oping activity, thereby aiding in planning and budgeting for
isting facilities. In some jurisdictions, the subdivision
manpower and facilities to service future users. Local or-
regulations contain requirements for the provision of
dinances frequently define the reporting relationships for
such facilities; however, such extractions usually take
this review, specifying whether agency comments are advi-
place during the rezoning process. This department
sory or mandatory to the lead department. The distinction
may also be responsible for preservation and acquisi-
is important to the development team, as the different de-
tion of important environmental areas, such as flood-
partments are responsible for individual programs that have
plains and wetlands, the control of which may be
varied and sometimes conflicting priorities. It is important
included in subdivision regulations.
to know who has the authority to resolve conflicts when
competing demands confront the developer. 䡲 A building department typically is responsible for
Agencies involved in rezoning review are also involved reviewing grading, construction and erosion and sedi-
in subdivision review. While the reviews are similar, the ment-control plans that are included as part of the
focus is more detailed and is concerned with design, sizing, submittal package. This department will also be in-
placement and connection. volved in project inspection as the project proceeds
through the construction phase.
䡲 Long-range planning generally determines whether
the street and system layout adheres to development 䡲 The local gas, electric and telephone companies
patterns proposed in the comprehensive plan. will be involved in confirming system adequacy, con-
nections, the placement of utility easements and coor-
䡲 Personnel in zoning administration will determine dination of construction with street, water and sewer
compliance with zoning ordinance requirements, such contractors.
as lot size and density requirements. In addition, the
submittal will be reviewed for compliance with the de- 䡲 The soil conservation district or similar entity may
sign guidelines and standards in the subdivision regu- review grading, storm drainage and other environmen-
lations for street and lot layout, environmental tal issues.
protection and other planning issues. Environmental
Many communities have established a three-phase re-
reviews are often performed by personnel in both sec-
view process—sketch plan or pre-application preliminary
tions, as well as in other departments.
plan and final plan. The purpose, focus of design and re-
䡲 The public works department typically is responsi- view, and requirements for each submission differ consid-
ble for streets, storm drainage facilities, sewer and wa- erably. However, each of these phases is conducted in much
ter systems. Other elements of a development may also the same manner. Plans must conform with ordinance spec-
fall within the department’s purview, such as placement ifications for the particular phase concerning detail, re-
of survey monuments and markers. However, in some quired information, scale, number of copies and supporting
communities, streets may come under the jurisdiction documentation. The package is presented to the coordinat-
of a separate transportation department or a state-level ing office for distribution to the agencies that will conduct
transportation agency. Similarly, water and sewer sys- review. In some jurisdictions, a technician will check the
tems may be run by a regional authority serving sev- submittal to ensure that it is complete, that is, has all the
eral jurisdictions. A drainage district may also have a necessary information and studies called for in the ordi-
separate level of authority. A local or state health de- nance. The importance of this step is discussed later in this
partment can also have regulations concerning on-site chapter.

32 䡲 SUBDIVISION SUBMITTALS 859
The coordinating agency will forward plans to the agen- into and through the community’s development review pro-
cies on its distribution list, which may be set by ordinance cess quickly, developers and their consultants often found
or by office policy. In some municipalities, courtesy copies it convenient to submit partially completed applications.
are sent to elected or appointed officials who represent the Knowing that an existing backlog of submittals might mean
area in which the project is located. Public notice may or a several-week delay in review, this practice provides the
may not be required. If notice is required, as with rezoning development team additional time to perform or finish a
applications, it may be accomplished by mailing notices to needed analysis or design. By virtue of the date of submittal,
adjoining property owners and posting signs on the prop- the plan is guaranteed an earlier review than plans submit-
erty describing the application. Each agency that receives a ted subsequently, even if the latter plans were complete. The
package is asked to review the submittal and return com- practice often meant that purchase-contract or loan-
ments or a marked plan by a certain date. In some munic- commitment requirements could be fulfilled or that con-
ipalities, the coordinating agency is required by law to struction crews could proceed with minimal interruption.
complete its review and render a decision within a specified In some instances, the practice insured that a plan would
time period. In such a case, the agency would ask that these be effectively ‘‘grandfathered’’ from a new regulation or pol-
comments from other agencies be returned to allow suffi- icy. In some jurisdictions, a plan that is designed using the
cient time to comply with the mandated deadline. requirements of one regulation often must be redesigned to
Upon receipt of the comments, the coordinating agency comply with a subsequently adopted regulation. If that reg-
typically meets with the applicant to discuss its own and ulation is to become effective in the near future, the devel-
other agency findings with appropriate staff in attendance. opment team may need to demonstrate that some progress
This meeting provides a forum for the land development has been made through the review process. Redesign to
team to explain the rationale behind its proposal and an insure compliance with the new rules would cause delays
opportunity to resolve conflicts between its design and and substantive additional costs. Plans that are formally
agency requirements through negotiations or revision of the submitted ‘‘and accepted’’ by a certain specified date are
plan. One of three possible decisions may be rendered after often so ‘‘grandfathered.’’ Hence, there is the rush to get a
the meeting. One, an approval means that the applicant is plan into the development review pipeline.
authorized to proceed to the next step and carry plan de- Last, some communities have found that the practice of
sign to the next level of detail. Two, a conditional approval submitting incomplete applications is an attempt to elicit
suggests that the plan is essentially acceptable, but modi- design assistance from the review staff. Knowing that review
fications must be made prior to taking the next step. This personnel in various departments would clarify or resolve
poses some risks to the development team, since the mod- critical design issues, the development team would submit
ifications will be designed in the higher level of detail, with- only partial solutions. Often, this land development equiv-
out the benefit of the government’s conceptual approval. alent of ‘‘run it up the flag pole and see how it flies’’ led to
Three, a denial means that the development team must re- early abandonment of projects deemed too complex. Mean-
evaluate its proposal, consider the impact of the agency while, local government manpower and resources were tied
requirements and, upon redesign, resubmit the application up with frivolous projects, when their efforts could have
at the same phase. been better spent on more serious proposals. Except where
In some communities, an expedited procedure has been it is permitted and encouraged, the land design team should
established for processing revised plans after a decision is avoid the practice of making incomplete submittals. Some
issued. Often within a discrete time period, the land design jurisdictions have institutionalized a partial-design phase to
team may be permitted the opportunity to work directly assist the development community in improving design
with an agency that had problems with the original sub- quality. However, in most cases, the practice damages the
mittal. Once the issues are resolved and the agency has reputation of all members of the design team, leading gov-
notified the coordinator of its approval, the design process ernment reviewers to be skeptical of future proposals.
can move on to its next step. In communities with a large Fees are usually attached to the review process. The fee
submittal work load, the availability of this process can save can be a flat fee for each type of plan or study that is
time for the developer. If not for this process, it would be submitted; or, the fee can be based on the acreage, number
necessary to enter the review process at the ‘‘bottom of the of lots or building floor area, linear feet of roads, sanitary
pile.’’ The result of starting anew in the process is significant sewers, storm sewers and water lines, cost estimates of pub-
time delay which is both costly and frustrating to the de- lic improvements or some other indicator. These fees, in
veloper. part, pay for the government agencies’ administrative costs
in performing submittal reviews. Practice also varies as to
Partial and Incomplete Submissions when the fees are collected. Some jurisdictions require fees
Communities that make a point of checking for complete- to be paid with each submission phase, while others require
ness before accepting submissions do so for two reasons: an upfront estimate of the entire development process and
(1) fairness to other developers; and (2) reduction of their maintain an actual accounting of time spent throughout the
own increasing workload. Under pressure to get submittals life of project. Reimbursement of excess fees may be due

the developer, or additional payment may be required at isting public or private facilities may be waived. In addition,
project completion. small projects whose contribution to a public system may
be isolated or insignificant also may be granted waivers. In
Addressing Review Comments such instances, a cash payment may be rendered in lieu of
Project plans are distributed to the various agencies for re- the improvement as a condition of subdivision approval.
view and a determination as to whether they are in com- In practice, some jurisdictions require that the devel-
pliance with all appropriate codes. In addition to narrative opment team identify needed waivers early in the review
comments, review agencies often write comments directly process. The presumption is that a thorough analysis of the
on the plan documents. Following all reviews, the plans are project and applicable development regulations has been
returned to the engineer for corrections. The consultant’s performed, and the need for waivers has already been de-
task is to determine those comments that are actual require- termined. This is an effort to discourage government per-
ments directly imposed by regulation versus those that are sonnel from having to assume the designer or consultant’s
recommendations. Sometimes, the comments that appear role. Interim and frequent waiver requests are said to dis-
are simply statements of local ordinance or policy, often rupt the review process and hamper the efficiency of re-
without identifying whether the particular submittal is viewers. The results are often duplicative reviews that
flawed. The consultant addresses the comments either by seriously encumber staff resources.
revising the design and changing the drawings or initiating In preparing waiver requests (an example is shown in
discussions with the reviewer. Good access and rapport Figure 32.1), the development team should clearly present
should be established and maintained with the lead re- supporting rationale for the request. The request should
viewer at all times. Some comments may appear inconse- include the identification of each ordinance provision for
quential, but if each and every comment is challenged, the which a waiver is required, the specific reasons why com-
relationship and future projects on which the consultant pliance is not practical or feasible, alternate solutions and
and reviewer may have to collaborate may be jeopardized. the proposed solution. There is a particular concern that
However, where some of the comments received appear to frequent waivers weaken the future enforceability of the or-
be improper interpretations of the regulations, it may be dinance; therefore, the development team must stress the
necessary to seek a decision from a supervisor or other au- uniqueness of the circumstances and the particular project
thority. for which the waiver is being requested. In approving the
After the land design team has addressed the comments request, the official often has the latitude to impose addi-
by all of the agencies, the plans are resubmitted for a second tional conditions to ensure that the public’s interest is pro-
review. The resubmission gives reviewers assurances that tected. Payment of fees for waiver reviews may be required
the initial comments have been addressed adequately and to offset the additional cost of analysis performed by agency
that changes have been integrated properly into the original staff.
design. When all of the review agencies have had their com-
ments addressed, the plans are authorized for the next Durability of Approvals
phase of the process. Noted here is the extent of the liability As noted earlier, completing and securing approval for one
of the municipality and the engineer who sealed the plans. phase of the development process typically means that the
Although the reviewing agencies have approved the plans, development team is entitled to proceed to the next stage.
the liability of construction rests with the engineer and not However, many jurisdictions place a limit on the length of
the review agency. time for which an approval remains valid. This is done to
prevent subdivision projects from spanning several years
Waivers and being ‘‘grandfathered’’ from new ordinances and laws.
A common feature in subdivision regulation is the waiver In the course of administering its development regulations,
process. Not unlike the zoning variance, a waiver allows for local government often identifies flaws or deficiencies in its
deviation from ordinance requirements in the event that regulations. When this happens, it usually takes steps to
strict compliance would impose an unreasonable hardship amend those regulations, with new regulations being
upon the developer. However, the difference between a zon- adopted to protect the health, safety and welfare of com-
ing variance and a subdivision waiver is substantial. The munity residents. Plans in process are often protected
latter often can be granted by the official charged with ad- against changes imposed by subsequently-adopted regula-
ministering the regulations as an administrative act, absent tions. By providing an expiration date on its approvals, the
public hearings. Requests for waivers are reviewed concur- local government can minimize the number of projects that
rently by the same agencies reviewing the subdivision plan. are exempt or ‘‘grandfathered’’ from new policies and reg-
Typical situations that often involve requests for waivers in- ulations. Another motive for providing for the expiration of
clude sites with unusual shape or topography that might development approvals is to enable the jurisdiction to mon-
preclude strict compliance with certain provisions of the itor more accurately its rate and patterns of development.
ordinance. Required improvements that might duplicate ex- If approvals did not lapse, it would be extremely difficult

F IGURE 32.1 Site plan transitional screening waiver.

F IGURE 32.1 (Continued) Site plan transitional screening waiver.

to make reasonable estimations of growth. Local govern- izen comments in a public hearing places a greater obliga-
ment would be unable to budget properly for the provision tion on the development team to identify concerns early in
of public services, facilities or manpower. the design process.
While the subdivision and other regulations establish
time limits, they also often provide for automatic extensions Description of the Preliminary Plan
as well as extensions for extraordinary circumstances. Con- Where the sketch plan was presented to discuss ideas and
sequently, the land development team must closely monitor identify problems, the preliminary plan could be considered
the project calendar. If circumstances indicate that a sub- as the first formal submission. In some jurisdictions, the
mittal will be delayed or that a subsequent approval will two plans can be the same document. The only difference
not be feasible within the time available, the team should is that the sketch plan is not ‘‘review and approved’’ and
communicate these concerns to the appropriate officials. A the preliminary plan the official document. The preliminary
failed opportunity for an extension may result in an expired plan is perhaps the most important as it represents the par-
plan and require a totally new submission. This could ex- ameters by which the site will be engineered and construc-
pose the plan to any and all regulations and ordinance tion plans will be prepared. This plan will be reviewed by
changes approved since the plan was initially submitted. the agencies for compliance with all applicable codes and
Compliance with new regulations could necessitate a costly ordinances as well as compatibility with surrounding areas.
redesign and project delay. Additionally, the developer and Whatever is approved as part of the preliminary plan must
the land development team should be cognizant of laws be adhered to throughout the entire life of the project. To
requiring that approved developments be recommended or change what is shown on the approved preliminary plan
that approved subdivisions be recorded within a specified may require starting the time-consuming process from the
period of time. beginning, and this may be very costly to the developer.
The preliminary plan does not give the developer any right
Role of the Public
or privilege to begin construction operations on the site. It
In theory, and in most jurisdictions, the general public has is merely a method of communication by which the devel-
no official role in the review and approval of subdivisions. oper shows the local government and other regulating agen-
However, as noted in Chapters 2 and 28, citizens are often cies, in more accurate detail, how development will be
successful in demanding and securing a role, even if only accomplished.
advisory, to their elected leaders. Notices of pending sub- The preliminary plan is for the entire project to be able
divisions are often sent by the administrative staff to inter- to show relationships and ties to each section. The final site
ested civic groups, which are then invited to comment on plan breaks it down to the individual sections, and the final
the application. Since the provisions of the subdivision reg- site plan is governed by the preliminary plan. One con-
ulations are rarely free from interpretive discretion, citizen trolling factor may be the statutory period for which the
comments often serve to influence the review staff, as is the preliminary plan is valid. Regulations often specify the min-
case in the rezoning process. This does not suggest that the imum area that can be sectioned from a larger project for
development team must employ the same intensity of com- preliminary review. In addition, each section, along with
munity relations as for rezoning. However, the team should previously approved sections, is usually required to form a
consider the potential impacts on adjacent property owners self-sustaining project in terms of regulatory compliance.
and attempt to reconcile them with the developer’s own That is, in the event that the developer delays or abandons
requirements. In practice, those familiar with the commu- future sections, those previously approved must satisfy or-
nity must judge the level of involvement that the residents dinance and functional requirements. The coordinating
will seek. In the long run, it may be worthwhile to incor- agency often maintains an accounting of critical elements
porate them early in the process. Frequently, careful con- of the project that are intended to support its population.
sideration of the road systems, additional screening, setback Regardless of regulation, the section should be selected so
or other aesthetic devices are sufficient to eliminate the op- as to insure that access and infrastructure can be con-
position. Opposition can become a major obstacle or result structed without long connections to existing facilities.
in delayed project approval; therefore, it is prudent to re- The preliminary plan is drawn to a scale sufficient to
solve conflict with neighboring property owners early in the show the necessary detail. A preliminary plan typically in-
process. cludes the following information:
Some jurisdictions have effectively eliminated the sub-
division of land by right and have incorporated its review 䡲 Soils, geology and topography, using field-verified
as a special exception. Where this process has been imple- topo
mented, the public’s concerns have a much more direct im-
䡲 Adjacent property owners, zoning and use
pact, and the subdivision process takes on an added
dimension more closely paralleling the discretionary review 䡲 The lot layout of the project, showing area and di-
of a rezoning application. The greater weight accorded cit- mensions and other property line information

䡲 Information regarding height, bulk and area re- 䡲 Grading plan

quirements
䡲 Erosion and sediment control plans
䡲 Street layout, including off-site improvements,
䡲 Enumeration of the specifications to be used for
showing centerline alignment, profiles, typical cross
construction
sections, turn lanes, intersections and entrances, side-
walks and trails, traffic-control signs and devices 䡲 Stormwater-management plans and profiles
䡲 Proposed street names The size and complexity of the project, along with the
䡲 Location of existing utilities and easements scale needed to show accurate detail sufficiently, can result
in a set of drawings of considerable size. Care must be taken
䡲 Location of proposed public utilities, including siz- to identify clearly the proper relationship of the various
ing and alignment of water, sewer and fire hydrants drawings. The organization of these plans depends on the
䡲 Sizing and location of proposed major drainage particular ordinance or agency policy, the land design team
systems, including outfall and drainage-area analysis, and the project itself. Generally, the plan consists of the
accurate floodplain delineation, pipe sizing, stormwater following sheets:
management ponds
䡲 Cover sheet, which shows title of the project and
䡲 Proposed easements, both temporary and perma- identification numbers for the project and other gen-
nent, for access, utilities, construction and maintenance eral pertinent information, such as, a vicinity map, de-
veloper’s name and address, zoning/density notes and
䡲 Information regarding buffering, landscaping, clear-
tabulation, sanitary and watershed districts, private
ing limits and impact mitigation
utility information, sheet index
䡲 Septic drainfield and perc information, and well
䡲 General notes and symbol legend sheet
sites for projects on individual and package-treatment
systems 䡲 Plan sheets, with match lines, that show the layout
of the lots, streets, utilities, storm-sewer system and, in
some cases, location of buildings
Description of the Final Subdivision Plan
As the details of the data are refined, discussions about the 䡲 Profile sheets that show street and utility profiles
project can be held with more certainty as the project when they are within the right-of-way
evolves from the concept stages to preliminary design to 䡲 Additional profile sheets that may show storm
final design. The final-design stage is represented by the sewer, sanitary and water lines systems throughout the
construction drawings and specifications for the subdivision project
created by the engineers of the land development design
team. 䡲 Storm-sewer computations sheet and drainage-
Prior to the sale of lots or the construction of buildings, divide plan
the subdivision record plat must be approved and recorded 䡲 Special detail sheets that show construction details
in the municipality’s land records. Typically, jurisdictions re- of non-standard items
quire that the public utilities, storm drainage system, and
street system must either be completed or a performance 䡲 Erosion and sediment-control plan that shows how
bond executed by the developer to guarantee the construc- the erosion from the site will be controlled
tion of these public facilities prior to approval to allow re- 䡲 Landscaping plan, if required, with a schedule of
cordation of the plat. The developer must have approved the types of vegetation and trees that will be planted;
construction plans and specifications in order to obtain information showing how trees will be planted and
construction permits, without which construction cannot how existing trees will be protected during construc-
begin. tion is also often required
The approved construction documents are part of the
final subdivision plan. The construction-plan set details the In addition to the construction drawings, the final plan
way in which the project is to be constructed. The construc- submittal includes the final subdivision plat. This plat es-
tion plans generally will include: tablishes a public record for the project, by which property
will be sold or leased, and identifies the easements around
䡲 Detailed plan and profile of the roads the public utilities necessary for the site. It is important for
the record plat to reflect the information on the develop-
䡲 Detailed plan and profile of water and sanitary
ment plan and construction drawings, such as location of
lines
streets and easements. The record plat contains extensive
䡲 Detailed plan and profile of storm-drainage system notes with respect to ownership, dedication, completion of

public improvements and restrictions. These affect the caused by construction vehicles. Such agreements typically
chain of title, use and enjoyment of the property, and they require the developer to keep public facilities in clean and
serve to notify future owners of their rights and obligations. operating condition, and often include snow removal as an
Typical information required to be shown on the record plat obligation. Upon release of the bond, the local jurisdiction
includes: exercises the rights conferred by the developer’s dedication
and accepts the facilities into the public system. The mu-
䡲 Subdivision name and section nicipality then accepts responsibility for and maintenance
䡲 Parcel boundaries, including bearings and distances of the facility.
as well as the legal description Under the second option, the developer is allowed to
execute an agreement that provides for the future installa-
䡲 Adjoining property lines, including ownership in- tion of improvements, within a specified period of time. A
formation financial security, such as a bond, letter of credit or similar
䡲 Street right-of-way boundaries, including surveyed instrument, is posted with the jurisdiction. The amount of
bearings and distances the instrument, the sum of estimated construction cost plus
inflation factors, will be used by the jurisdiction in the event
䡲 Street names, both existing and proposed of default by the developer. The developer is then able to
䡲 Lot lines, including surveyed bearings and dis- secure approval of final subdivision plats and start construc-
tances, lot and block numbers, lot addresses, building tion of public improvements. As structures are completed,
restriction lines occupancy permits can be obtained while the bond is in
effect. The municipality usually has procedures for partial
䡲 Building footprint for certain types of uses release of bonds as construction of improvements pro-
䡲 Existing easements and easements created as a part gresses. As with the first option, maintenance bonds and
of the development, including purpose and deed refer- agreements are required after construction is completed.
ences With both options, the development team must produce
‘‘as-built’’ drawings upon completing construction. These
䡲 Location of survey monuments and markers drawings are usually modifications of the project’s construc-
䡲 Conservation and other building-restricted areas, tion drawings, intended to reflect modifications made in the
such as septic drainfields field by construction contractors. These drawings serve two
important purposes. First and foremost, they present gov-
䡲 Ownership declarations and dedications ernment agencies with the final opportunity to verify that
䡲 Covenants and restrictions, including reference to construction complies with local regulations and standards.
separate documents in jurisdiction’s public land records This is necessary to ensure that systems will function prop-
erly and not cause unanticipated impacts to the larger com-
䡲 Approval blocks for signature(s) of authorized gov- munity. Second, the plans facilitate future maintenance and
ernment officials repair, particularly for underground utilities whose location,
sizing and method of construction is otherwise hidden from
Performance Guarantees and Bond Release view.
As discussed in Chapter 3, performance guarantees are usu-
ally called for in the subdivision regulations. However, the REFERENCES
David Jensen Associates, Inc., How to Win at the Zoning Table,
actual bonding process in most jurisdictions is a matter of
National Association of Home Builders, Washington, D.C., 1984.
policy and administrative procedure. The developer typi-
Engineers and Surveyors Institute, Improving Preparation, Review
cally has two options with respect to the installation of the
& Approval of Subdivision & Site Plans in Fairfax County, Engi-
necessary public improvements. The first option calls for neers and Surveyors Institute, Fairfax, Va., 1988.
the completion of improvements such as streets, storm- Institute for Participatory Management and Planning, Citizen Par-
drainage facilities and utilities, prior to approval and re- ticipation Handbook, Institute for Participatory Management and
cordation of the final subdivision plat. Certificates of Planning, Laramie, Wyo., 1986.
occupancy, allowing users to move in to homes or offices International City Management Association, The Practice of Local
once they are built, will not be issued until the improve- Government Planning, International City Management Association.
ments are completed. In such a situation, the developer Washington, D.C., 1979.
usually will be required to post a maintenance agreement National Association of Home Builders, Subdivision Regulation
and bond that remains in effect for a specified period, usu- Handbook. National Association of Home Builders, Washington,
ally from 1 to 2 years. This agreement specifies that streets D.C., 1978.
and facilities will be maintained by the developer and re- Urban Land Institute, Working with the Community: A Developer’s
paired in the event of premature deterioration or damage Guide, ULI-The Urban Land Institute, Washington, D.C., 1985.


CHAPTER 33
PLAN SUBMITTAL, REVIEW,

AND APPROVAL PROCESS
H.S. Hulme Jr., P.E.
INTRODUCTION be approved by public agencies prior to the issuance of a

Some development projects can take place without the ne- permit.
cessity for rezoning. However, more often than not, a The rationale for plan approvals and associated codes
rezoning process precedes the detailed design for construc- and ordinances cannot be better stated than as found in
tion. Approval of a rezoning application is insufficient to older publications regarding this authority. The plan ap-
initiate construction. Detailed design and structural analyses provals in regard to the associated codes and ordinances
are rarely incorporated to a sufficient degree in the rezoning ‘‘are essential to meet the needs of the community in the
process. The development team can encounter numerous fields of public health, safety, and economic and social well-
being. Provision of this public protection rests upon the
pitfalls in attempting to translate an approved zoning plan
police power of the government. Police powers are reflected
into a subdivision or site-plan submittal.
in the enactment of master plans, zoning codes, building
The engineering analysis performed for a subdivision or
and building equipment codes, housing and sanitation
site plan, as a part of the construction plan design, often
codes and other regulatory ordinances. Good codes, well-
suggests that the assumptions used in the rezoning sub-
administered, provide the only sound means for a balanced
mittal were insufficient for final design and sometimes are
program to ensure the orderly development of a city, the
imprecise and in some cases incorrect. This is because of
prevention of slums and blight, and the safe-guarding of
the differing level of detail each type of approval requires. life, health, and property’’ (International City Manager’s As-
Because of the risk and expense involved in achieving this sociation, 1957).
accuracy with the more speculative legislative rezoning ap- Each jurisdiction has administrative requirements and
plication, many land developers are reluctant to add the procedures that govern the submittal of construction plans.
associated costs with greater exactness. Yet, some jurisdic- Failure to follow these requirements can at best result in a
tions will require legislative approval of revisions to the pre- delay in the plan’s approval. It is possible for the plan to
viously approved rezoning development plans because of be disapproved even though the plan has been designed in
the changes made as a result of this subsequent detailed accordance with accepted design standards. It is the ad-
engineering plan analysis. ministrative requirements dealing with the particular way a
The rezoning process is not intended to be the approval jurisdiction desires to see the construction information that
process to begin construction. The rezoning process is in- can cause a delay in plan approval. Most jurisdictions wel-
tended to designate the allowed use of the land under the come a pre-application meeting with staff so that the types
circumstances portrayed in the plans and other documents of plans needed and the application process is understood.
submitted in support of that process. It should be obvious The plan-review process can be very time-consuming.
that construction could not take place using the plans de- This is especially true in developing urban areas. Some mi-
veloped for the rezoning process. Much more detailed plans nor development plans take as long or longer to follow the
are necessary. These detailed engineering plans must also review process than it has taken to develop the design. The
867
PLAN SUBMITTAL, REVIEW, AND APPROVAL PROCESS
time schedule for the review process needs to be taken into in practice, they become the standard to which to design
account when planning a development project. This will and construct. Conforming to these standards is essential
avoid costly surprises when the design has been completed to ensure continuity and compatibility with existing and
and the development client expects a construction permit future infrastructure. Public review and approval of engi-
in an unrealistic time frame. A somewhat typical review neering plans are necessary to protect the basic health,
process is shown in the flow chart in Figure 33.1. safety and welfare of the public. Maintenance expense of
It is the purpose of this chapter to provide a better un- infrastructure is a major cost to public agencies. This is an
derstanding of the administrative requirements and proce- important reason why public agencies take a keen interest
dures for processing construction plans within jurisdictions. in adherence to their adopted standards and specifications.
Topics to be covered will be the types of plans and how The private ownership of the internal infrastructure be-
they are sequenced within the approval process, who re- ing designed can arguably be of less importance for public
views these plans and why, and some typical administrative review and approval than that which will ultimately be the
processing problems and how to avoid them. public’s responsibility. Since it will be in private ownership,
the quality and adequacy will be reflected in the value of
PROFESSIONAL RESPONSIBILITY IN the property. However, increasingly, the ultimate owner
THE PLAN-REVIEW PROCESS looks to the public review agency for quality control of the
The public works infrastructure codes and ordinances are final product. Likewise, often the privately-maintained in-
generally viewed as minimal standards to be met; however, frastructure systems have an effect upon the publicly-
F IGURE 33.1 Typical plan review process flowchart.

33 䡲 PLAN SUBMITTAL, REVIEW, AND APPROVAL PROCESS 869
maintained system. Then too, it is not uncommon for failed, ‘‘The professional shall undertake to perform professional
privately-maintained systems to have to be taken over by assignments only when qualified by education or experience
the public. For these reasons, there is little difference in the and licensed or certified in the profession involved. . . . The
review process or attention to detail for private or publicly- professional shall adhere to all minimum standards and re-
quirements pertaining to the practice of his own profession
maintained infrastructure designs.
as well as other professions if incidental work is performed’’
(Virginia Board of Architects, Professional Engineers, Land
Public/Private Sector Relationship Surveyors, Certified Interior Designers, and Landscape Ar-
Most jurisdictions recognize the economic benefits of qual- chitects, 1999.)
ity development. While it has not always been true, there
currently exists a conscious effort on the part of adminis- Less explicit is the professional responsibility regarding
trators to assist those in the land development profession. the administrative as well as technical requirements of each
Administrators recognize that responsive staff, regulations, particular jurisdiction. While current practice allows less
standards, review processes and procedures that support stringent professional standards of conduct in this area, it
and facilitate land development are more likely to attract certainly behooves the engineer to be informed of the ad-
the private sector to conduct business in that jurisdiction. ministrative and technical requirements of the jurisdiction
A simple, cost-effective, and efficient regulatory process is in which the engineer is practicing. As with all ethical de-
seen as a pre-requisite for attracting development (City of cisions, the engineers sealing and signing the plans must
Dallas, Texas). make the decision whether they are fulfilling their profes-
Even so, there is a healthy adversarial relationship be- sional responsibility. Rarely are engineers cited for neglect-
tween public agency individuals charged with the respon- ing the detailed technical requirements of a design plan
sibility to review and approve plans and those professional unless the public safety is clearly in jeopardy. This does not
engineers designing and submitting plans. Many profes- relieve the engineer of the responsibility to design and sub-
sional engineers believe that their plans need only be given mit the best possible plan that to the best of the engineer’s
superficial review in as much as they are taking full re- knowledge conforms to all codes and ordinances.
sponsibility for the adequacy of their designs. They believe
they have provided reasonable degrees of safety and ade- LOCAL JURISDICTION PLAN REVIEW
quate public protection (Bright, John K., 1992). On the General
other hand, the public-agency plan reviewer has been given The agency taking the lead role in performing plan review
the responsibility to decide when adequacy and reasona- varies from jurisdiction to jurisdiction. In larger commu-
bleness have been met. Detailed, specific design require- nities, the planning and/or public works department is
ments adopted by state and local jurisdictions also require given this responsibility. A multi-purpose agency estab-
that technical standards be met accurately. lished to administer building and environmental regulations
Does the engineer seal on a set of plans certify that ad- is sometimes created for this purpose. In small communi-
ministrative requirements and procedures for processing ties, an individual such as the town manager or engineer
these plans have been met? There is no such thing as the may be responsible. Some communities contract with
perfect plan. Different engineers reviewing the same set of engineering design firms to conduct this review. The
plans will find and miss different technical requirements. designated review agency also is usually responsible for
What, then, is the significance of the engineer’s seal and coordinating the review of plans by other governmental and
signature? quasi-governmental bodies. However, this does not always
The engineer seal on a set of plans certifies the adequacy extend to the review required by state or federal authorities.
of the design with regard to public good and safety and is
best defined by the state licensing boards. State licensing Plan Distribution to Review Agencies
boards are explicit about the engineer’s responsibility to the
In a typical jurisdiction, one agency is usually designated
public.
as the lead agency, and this lead agency distributes copies
of the subdivision or site plan to other agencies for review.
‘‘The primary obligation of the professional is to the public.
Most agencies are asked to review submittals to identify the
If the professional judgment of the regulant is overruled
under circumstances when the safety, health, property and location, adequacy and availability of services and assess the
welfare of the public are endangered, the professional shall impact on systems for which they are responsible. These
inform the employer or client of the possible consequences agencies will also review plans for compliance with ordi-
and notify appropriate authorities’’ (Virginia Board of Ar- nances and standards that they may administer. Their role
chitects, Professional Engineers, Land Surveyors, Certified is to ensure proper relationships between systems con-
Interior Designers, and Landscape Architects, 1999.) structed as part of the new development and the commu-
nity’s existing and proposed patterns and networks.
They also are explicit in stating the engineer’s obligation Some agencies receive multiple copies to assist in mon-
regarding competency. itoring development activity. This aids in planning and

budgeting for public manpower and facilities to service fu- an adequate and accessible water supply for fire sup-
ture users. Local ordinances frequently define the reporting pression has been provided. This includes the place-
relationships for this review, specifying whether agency ment of fire hydrants and sizing of water lines.
comments are advisory or mandatory to the lead depart- Coordination of this aspect of the plan is necessary
ment. The distinction is important to the development with the agency responsible for water supply. They also
team. As indicated in the previous chapters, differing de- ensure that clear and adequate access is provided for
partments are responsible for individual programs that have emergency vehicles throughout the project. They also
varied and sometimes conflicting priorities. It is important monitor development activity to assist in locating fu-
to know who has the authority to resolve conflicts when ture fire-station facilities.
competing demands confront the developer.
䡲 School districts typically perform an analysis of po-
Agencies involved in rezoning review are also involved
tential school enrollment generated by new develop-
in construction plan review. While the reviews are similar,
ment. While long-range planning for school facilities is
the latter’s focus is more detailed and is concerned with
done through review of the comprehensive plan and
design, sizing, placement and connection.
rezoning, the actual assignment of pupils to individual
䡲 A long-range planning department usually deter- schools is predicated upon projections of when actual
mines if the street and system layout adheres to devel- development will have taken place.
opment patterns proposed in the comprehensive plan. 䡲 A local parks and recreation department will re-
The comprehensive plan will normally cover such view subdivision and site plans to evaluate recreational
planned development topics as land use, transportation needs of the new development and the impact on ex-
facilities, drainage and other utility facilities and school isting facilities. In some jurisdictions, the subdivision
and recreation facility locations. The staff identifies regulations contain requirements for the provision of
lands proposed for development that may be desig- such facilities. This department may also be responsi-
nated in the plan for public use, such as highways, ble for preservation and acquisition of important envi-
trails, schools, parks, libraries, fire or police stations. ronmental areas, such as floodplains and wetlands, the
The review may trigger a request for reservation of control of which may be included in subdivision regu-
needed areas. lations.
䡲 Personnel in the current (short-range) planning de- 䡲 A building department may be responsible for
partment will determine compliance with zoning ordi- reviewing grading, construction and erosion and
nance requirements, such as lot size and density sediment-control plans that are included as part of the
requirements. In addition, the submittal will be re- submittal package. They will also be involved in pro-
viewed for compliance with the design guidelines and ject inspection as construction proceeds.
standards in the subdivision regulations for street and
lot layout, environmental protection and other plan- 䡲 The local gas, electric, telephone and cable TV
ning issues. Personnel in both departments, as well as companies will be involved in confirming system ade-
in other departments, often perform environmental re- quacy, connections, the placement of utility easements
views. and coordination of construction with the street, water
and sewer contractor. Usually the design of these facili-
䡲 The public works department typically is responsi- ties is done by the utility company and may be incor-
ble for streets, storm-drainage facilities, sewer and wa- porated in the final plan submittal.
ter systems. Other elements of the development may
also fall within the department’s purview, such as 䡲 The soil conservation district or similar entity may
placement of survey monuments and markers. How- review grading, erosion and sediment control, storm
ever, in some communities, streets may come under drainage, flood plains and other environmental issues.
the jurisdiction of a separate transportation department
Two of the most common unknowns to the submitting
or a state-level transportation agency. Similarly, water
engineer are what agency needs what plans and when are
and sewer systems may be the responsibility of a re-
the plans needed. New and revised regulations and new
gional authority serving several jurisdictions. A storm-
procedures often change the agencies needing to review and
drainage district may also have a separate level of
approve development plans. Engineers often do not submit
authority. A local or state health department can also
enough plans to any one jurisdiction to develop a through
have regulations concerning on-site and off-site sewage
knowledge of the administrative procedures. For this rea-
disposal and the placement of septic drain fields and
son, it is beneficial to review the written procedures as well
wells.
as to seek the advice of others that are knowledgeable of
䡲 Fire protection officials are involved in the review the process and practice prior to submitting a plan for
of subdivision and site-plan proposals to ensure that review and approval. In some jurisdictions, these proce-

dures are typically included in a subdivision and site-plan engineer check to see if the most current issue of the re-
ordinance or a public facilities and standards manual. quirements is being used.
As previously indicated, many jurisdictions welcome a pre- Administrative requirements facilitate the review process
submittal conference. by standardizing information supplied with all plans. This
Some larger jurisdictions are experimenting with the is most helpful in the review process of large jurisdictions
submittal of plans for review electronically. This could be a processing large numbers of plans from many engineers and
significant improvement during the review process. An elec- surveyors. Since fewer plans are being processed for review
tronic submission allows the reviewing engineer to make in smaller jurisdictions, there is less need for detailed ad-
comments but not change the drawing. Comments can be ministrative requirements.
sent back electronically to the designer as well as to other Some jurisdictions require the submission of a checklist
reviewing personnel. This can speed up coordination and indicating the completeness of the plan submission. The
design modifications. The expense and time of printing and checklist will list all the required documents as well as some
distributing multiple copies will also be reduced dramati- items that have been frequently omitted in prior submis-
cally. sions. The submitting engineer must check the items sup-
Reviewing plans on a computer monitor requires the re- plied and sign the checklist. This serves as a check for the
viewer to make a major change in review approach and engineer and facilitates the review process by ensuring that
technique. It is difficult to change from reviewing plans dis- important documents that would delay the review have not
played on a plan sheet to reviewing plans with a computer been omitted.
monitor. For instance, while it may be easier to review just Some engineers discount the importance of complying
the drainage design without the interference of other design with the administrative requirements. They have devoted so
elements, it is also more difficult to see the infrastructure much of their time to ensuring that the project is designed
integration. Clearly, reviewers and designers will need train- within the site constraints, complying with technical re-
ing and experience before the electronic review can be fully quirements and economic constraints, that the administra-
acceptable. tive requirements seem trivial. It is important to remember
The legal aspects of electronic submittal are still under that failure to adhere to these requirements can delay the
legal and methodology evaluation. There is the natural ten- review process and frequently will result in plan rejection
dency to distrust the electronic submittal in favor of the or disapproval. Not adhering to the time frames outlined in
current hard-copy originals with professional signatures. It due diligence requirements can result in the expiration of
may be some time before both the review process and final the plan, necessitating a resubmission or even a new leg-
plan submittal will become a common, acceptable practice. islative approval.
Computers can be used for plan review by scanning the The public agency rejecting a set of plans will comment
submitted plan and dispersing the plan through the juris- as to why the plan is being rejected, noting things that need
diction’s computer data system. Reviewers can then review to be done to correct it. These comments are usually writ-
the plans from their individual computers and download ten, but they may be verbal. Meetings and conversations
and print only those plan sheets necessary for their indi- with the submitting engineer are helpful in establishing di-
vidual review. This also permits the jurisdiction to integrate rection to secure plan approval. Once again, failure to fol-
the proposed design into their GIS database, allowing easy low the suggestions of the reviewing agency can result in
access for follow-up questions and review. It is becoming the agency continuing to reject the plan. Obviously, the en-
more acceptable to communicate comments and questions gineer’s client can become dissatisfied with the engineer and
electronically, thus easing the time requirement to reach question his or her competence. While there is no such
someone by telephone or to transport comments by mail thing as a ‘‘perfect’’ plan, following the suggestions of the
or hand pick-up by the designer. reviewing agency and maintaining good professional rela-
tions will increase the likelihood of plan approval.
Administrative Requirements Bonding and Agreements
Administrative requirements determine the manner in Upon completion of the review and approval of the
which plans are submitted for review. Typical administrative construction plans, additional administrative steps are
requirements will dictate the types of plans and number of necessary to ensure that not only is the infrastructure
copies needed, plan sheet size and standard scale, format construction completed but that it conforms to the ap-
of the sets of plans, agencies participating in the review proved plans. These guarantees take the form of enforceable
process, the sequence of review, required supporting doc- bonds and agreements. In most cases, the documents must
umentation and general information needed. Administrative be processed before the issuing of permits that would allow
requirements may also specify the need for a construction construction to commence.
schedule and a cost estimate and may specify the time re- The agreement is the legal, binding contract between the
straints associated with approvals. Since administration re- developer and the permit-issuing authority. The agreement
quirements change frequently, it is recommended that the specifies the manner and date by which the construction as

shown on the approved plans shall be completed. A bond viously unidentified information affecting design, changes
or other forms of security approved by the local jurisdiction in the building design, changing economic conditions—all
backs the agreement. contribute to plan changes. The submitting engineer must
The performance bond assures compliance with the prepare these changes and submit the changed plans to the
terms of the agreement. The bond is usually the full amount local jurisdiction for approval. Since construction may be
of the estimate for construction of the public improvements. underway, quick review and approval are essential. Most
The submitting engineer determines the quantities of items jurisdictions give priority treatment to revisions of already
subject to bonding and certifies the accuracy of the esti- approved plans. The procedure for filing the plan is the
mate. For more information on bonding and cost estima- same as for the filing of construction drawings.
tion, please refer to Chapter 31 Construction Cost Local jurisdictions will want some assurance that the ac-
Estimating. The bond amount is a reasonable estimate of tual construction performed is in accordance with approved
what one could expect to pay to have the improvements plans and revisions. For these reasons, a record document
constructed within the period specified in the agreement. plan (sometimes inaccurately called ‘‘as-builts’’) is usually
This estimate is reviewed and approved by the local juris- required prior to the release of the construction bond. Rec-
diction as a part of the approval of the entire bond package. ord document plans show the boundary of the site, location
It is not unusual for larger developments with considerable of all buildings, horizontal and vertical location and size of
infrastructure construction to develop the project in smaller pipes and apertures, location of fire hydrants, location,
sections to avoid the financial burden of bonding the entire width of streets, walks, trails and other improvements as
project. constructed.
Upon completion of the physical site improvements and Since the engineer has created a revised plan in the form
compliance with all other regulations, the bond may be of the record document, he or she is required to certify
released. Some jurisdictions allow for partial release as el- record document plans in the same manner as design plans.
ements are completed and accepted. An inspection is con- Some agencies require that the engineer certify that the rec-
ducted to ensure compliance with all previously-noted code ord document plans conform to the approved and revised
infractions to ensure that all infrastructure construction is design plans except as shown. Some difficulty may be ex-
acceptable to the agency assuming maintenance responsi- perienced with this, depending upon what is shown on the
bilities, and to ensure that all fees have been collected and record documents. Usually the record document plan is cre-
the as-built construction plans have been approved. ated from the original design documents. ‘‘It is the general
Some localities require a conservation agreement and contractor who is responsible for supervising the day-to-
bond in order to preserve those parts of the development day work on the site; he or she is the only one in a position
property that are to remain undisturbed. This is to ensure to identify and record changes made during the course of
protection of trees, historic structures and the like. Accurate construction’’ (DeJarnette & Paul, Inc., 1991). These doc-
identification of these areas is necessary to avoid errors and uments may contain information that was not a part of the
misunderstandings. The conservation agreement also en- record document survey requirement. In this instance, cau-
sures that the erosion and sediment controls are installed tion is necessary with respect to what the engineer is cer-
and maintained. tifying. A suggested precaution to be stamped on each sheet
of the record drawing, subject to review by attorneys, would
Permits be as follows:
Based upon the approved construction plans, permits are
necessary before the initiation of construction. Some typical ‘‘These record drawings have been prepared based on in-
formation provided by others. The Engineer has not verified
types of permits necessary would be clearing and grading,
the accuracy of this information and shall not be respon-
siltation and erosion control, street construction, drainage
sible for any errors or omissions which may be incorporated
facilities, sanitary sewer and water lines. Permits alert the herein as a result’’ (DeJarnett & Paul, Inc., 1991).
locality that construction is about to commence so that in-
spection can be instituted. They also serve as a safety check As stated previously, record document plans must be ap-
that construction is being performed with plans that have proved prior to the release or partial release of the construc-
not become outdated. They will also allow for any special tion bond. For this reason, there is usually a critical time
conditions that may be necessary at that particular point in constraint on the development of the record documents.
time. Generally, it is the client or contractor’s responsibility
to secure permits. The design engineer may be called upon Meetings with Citizens
to assist in this as needed. Frequently, jurisdictions will require design engineers to
meet with citizens as a part of the plan-submittal process.
Plan Revisions and Record Documents Some jurisdictions have set up formal processes for this.
It is rare that plans do not need changing once construction Once plans have been submitted, they can be subject to
commences. Changing field conditions, discovery of pre- review by citizen groups in the immediate area as well as

citizen groups set up for the specific purpose of reviewing ordinances, road specifications and other technical and pro-
development plans. These meetings are generally not in the cedural texts. Consequently, a reviewer can reasonably be
regulated process and sometimes are seen as delaying tactics expected to be able to respond to inquiries of the submit-
by those opposed to the proposed development. Jurisdic- ting engineer. However, this does not relieve the engineer
tions see this process as being responsive to their citizens. from learning the technical and administrative requirements
It enables citizens to provide input to the project that could of the jurisdiction in which the engineer is practicing.
overcome objections if discovered later during or after con- Following the initial review of plans, it is desirable to
struction. meet with the reviewing authority to understand the com-
The engineer can profit from these meetings by not only ments. This will enable the engineer to know specifically
adjusting the design to fit better into the community, but what needs to be changed in the plan in order to gain
by gaining support for the project. Often, engineers are re- approval. Some jurisdictions arrange to have a representa-
luctant to defend their design to non-engineers because tive from all of the reviewing agencies present at one meet-
they lack the communication skills to convey important de- ing to coordinate comments better. This allows all questions
sign considerations. Engineers need to be better able to and concerns to be addressed in one meeting with the ap-
communicate their design to non-engineers in order to propriate officials (International City Manager’s Association,
maintain credibility for the profession. This takes sincere 1986). Some jurisdictions make these post-submission
listening and then responding to legitimate citizens’ con- meetings mandatory. In the Virginia suburbs outside of
cerns. United States Senator J. William Fulbright’s com- Washington, D.C., the mandatory ‘‘post-submission confer-
ments regarding student demonstrations during the ence’’ agreed to by both public and private-sector engineers
Vietnam War is fitting for the engineer: ‘‘The student, like has been touted as contributing significantly to the reduc-
the politician, must consider not only how to say what he tion in the number of submissions necessary for plan ap-
means but also how to say it persuasively’’ (Washington proval. A specific format was developed for the conducting
Post, 1992). of the meeting (Engineers and Surveyors Institute, 1990).
These meetings between the submitting engineer and the
Meetings with Review Staff public-review staff contribute to the healthy adversarial re-
Jurisdictions that encourage communications between the lationship mentioned earlier in this chapter. The reviewer
design engineer and the review staff prior to plan devel- has the responsibility to ensure that the desired plan
opment recognize the benefit in attracting quality devel- changes are understood properly and that the design en-
opment. The ability of the submitting engineer to gineer is willing to make those changes. The design engi-
understand the regulatory process and, subsequently, to neer has the responsibility not to compromise the design
move plans through the process in a timely manner benefits based upon his or her perception of potential harm to the
both the design engineer and the jurisdiction. The unique- health, safety and welfare of the public in violation of the
ness of the specific plan, sequence of plan type submission, professional engineer’s plan certification. The design engi-
anticipated schedule and other important elements can also neer is the client’s representative at these meetings and
be determined. should have a clear understanding of his or her limitations
A telephone conversation or meeting prior to the prep- with regard to agreeing to design changes. Of particular
aration or submittal of a plan can be most beneficial. In concern would be those changes that will have a financial
any event, whenever the engineer lacks knowledge about impact or significantly alter the project.
the process and other in-house professional staff cannot be
of assistance, a request to meet with the reviewing agency PLAN SET FORMAT AND SEQUENCING
should be made. It is far better to understand the process As indicated previously, design plans submitted for review
in advance rather than have to suffer through it by expe- and approval are the basis of the issuing of a permit or
rience. permits for construction. During the course of the design-
Public-agency reviewers must have a broad technical review process, permits are issued for various phases of
knowledge as well as knowledge of the review process. construction. They are also issued by various agencies sig-
They are required to make recommendations on rezoning nifying that the design meets specific codes and regulations.
development plans, sketch plans, preliminary plats, plat The approval of the plans themselves does not constitute
check sheets, grading plans, public improvement plans, authority to begin construction.
waivers to plans, subdivision plans, site plans, easement Each jurisdiction has its own list of requirements of what
plats and record plats. They also review and make recom- needs to be submitted to gain plan approval. They also have
mendations on the environmental impact of proposed de- requirements as to what constitutes a set of plans and the
velopment, the need for drainage studies, flood-plain format of the plan set. In general, construction-related in-
studies, soil studies and CBR test results. They determine formation is assembled in logical order in the front section
street design and alignment requirements. They must have of the plan set, and the non-construction related data is
a thorough knowledge of the subdivision provisions, zoning placed in the last section. Specific plan sheets in a typical

set of plans submitted for approval fall into five sections: Plan approval documents would also include sight-
(1) cover sheet, (2) general information, (3) specific con- distance calculations at intersections and critical driveways.
struction sheets, (4) additional construction sheets and (5) Soils reports and other geotechnical information are also
documentation information (Engineers and Surveyors In- provided in plan form as well as in reports if these were
stitute, 1990). not included in previous sheets.
In some jurisdictions, verification that appropriate public
Cover Sheet notices have been sent and permits from other agencies
The cover sheet typically will contain a location map, an obtained is also needed. Other correspondence and sup-
index of all sheets, plan identification, submitting engineer porting non-construction data sheets would include such
data, information considered pertinent to someone seeing information as fire-lane designations, overall sanitary sewer
the plan for the first time and other general information. plan, condensed drainage analysis, construction waiver re-
Some jurisdictions will require an original engineer’s seal quests, record plats, easement plats, and other supporting
and signature on the plan cover sheet. documents such as preliminary plans and development
plans.
General Information Sheets Using these drawings and reports, the submittal shows
These sheets contain all general notes not shown on the the arrangement of property lines, lots and other features
cover sheet. Typically, general information sheets contain that will occupy the site. It also shows the location of public
the plan legend, typical sections, and modified designs. In- and private facilities to serve the intended uses. Plans in-
formation sheets will also reference the construction spec- cluded as a part of the submittal also contain information
ifications to be followed. on how those facilities will be constructed, from grading of
the property to connection of structures to water and sewer
Specific Construction Sheets lines.
Specific construction sheets consist of plans and profiles of
the infrastructure (such as streets, curbs and gutter, side- Typical Plan Types
walks and trails) as well as grading details and grading Not all plan types are subjected to the same administrative
plans. They also would include the plan and profile of wa- requirements. Examples of some typical plan types are
ter, sewer and storm-sewer lines, storm-water-management listed in Table 33.1 The number of copies shown for each
facilities, water meters, fire hydrants, street lights, street plan type is typical for the plan-review process. As can be
trees and other similar types of construction details. seen, the number of copies varies considerably depending
upon the number of agencies conducting a review of that
Additional Construction Sheets specific plan as specified in the administrative regulations.
Additional construction sheets would contain miscellaneous The number of copies shown should not be taken as nec-
construction details such as utility and drainage profiles not essarily typical, since many jurisdictions require far fewer
previously shown, remaining profiles such as driveways, copies. The number of copies requested is based upon the
and special design items. Here also would be included the number of review agencies and the method of transmitting
landscaping plans, siltation and erosion-control plans and and returning review comments. The limiting size of each
geotechnical information. The landscaping sheets would in- of the listed plans may vary. The engineer will need to de-
clude the plant list and landscape construction details. The termine the required scale of each plan and plan the sheet
geotechnical plan sheets would show geotechnical notes, layout accordingly. The use of CADD has enabled the en-
foundation drains or other geotechnical construction de- gineer to reduce quickly the scale of plans to conform to
tails. A geotechnical report is sometimes necessary and in- single 24 in. by 36 in. plan-sheet size in order to see more
cluded with the plan submission. The erosion and siltation of the project. This may reduce the size of important
sheets would include the erosion and sediment narrative printed information so that it is difficult to read. Jurisdic-
and notes, erosion and sedimentation computations with tions will also have a minimum size lettering to avoid this
sediment trap sizes and siltation divides and any details situation.
necessary for installation. Because of the many interests involved in the review of
plans, numerous copies are needed for the review process.
Non-construction Data Sheets Most jurisdictions have a listing of the plan types needed
Plans and documents needed for plan approval include the for a particular design plan as well as the number of plans
detailed calculations and methodology used to design the needed for submission. This listing is usually incorporated
construction plans. This would include drainage area dia- into the codes and ordinances or in an administrative re-
grams and storm-water routing calculations used to size the quirements and procedures document.
storm-water drainage and management system as well as The number of copies of each plan being submitted is
flood-plain studies. Outfall narratives, ditch cross-section determined by the type of plan being submitted, the num-
computations, and storm-inlet computations would also be ber of review agencies for that particular plan and whether
included. Fire flow calculations would need to be provided those agencies wish to retain a copy of the plan being sub-
to the fire and water authorities. mitted. It is more efficient for concurrent review to be tak-
Before expending significant time and money for the

T A B L E 3 3 . 1 Number of Submittal
preparation of final layouts and construction plans, the de-
Copies Needed for Various Plan Types veloper wants assurances that plans will be approved. The
PLAN TYPE NO. OF COPIES various plans submitted during the process incorporate a
series of checkpoints with the reviewing agencies. These
Drainage Study 2 checkpoints enable the development team to gauge whether
.....................................................
its interpretations of local policies, regulations and stan-
Final Record Plat 16
..................................................... dards match those of local government authorities. Other-
Final Record Plat Redate 16 wise, extensive redesign would be needed. For example,
..................................................... redesign would be needed if the lot layout did not fully
Flood Plain Study 2 comply with the requirements of the zoning ordinance, or
.....................................................
if the street and utility system did not consider planned or
Preliminary Plat 18
..................................................... existing networks properly. A typical sequence of plan sub-
Preliminary Plat Redate 18 mission is shown in Figure 33.2. Reports, studies, plans and
..................................................... documents are needed in a special sequence or concurrent
Preliminary Plat Revision 4 with the design-plan submission. The sequencing is depen-
.....................................................
dent upon the type of plan being submitted and upon the
Public Improvement Plan 14
..................................................... requirements of the individual jurisdiction. A typical plan
Rough Grading Plan 7 sequencing in a local jurisdiction for a subdivision plan is
..................................................... shown in Figure 33.3. Plans not dependent upon infor-
Sanitary Plan 7 mation being reviewed on other yet-to-be-approved plans
.....................................................
may be filed concurrently. Sometimes filing concurrent
Site Plan 16
..................................................... plans is necessary to provide for a more adequate review.
Site Plan Redate 4 Filing plans concurrently greatly speeds up the approval
..................................................... process. The engineer should attempt to file plans for re-
Sketch Plan 14 view concurrently whenever possible.
.....................................................
Soils Report 7 FEDERAL REVIEW OF CONSTRUCTION PLANS
.....................................................
AND PERMITTING
Subdivision Plan 14
..................................................... Federal legislation is sometimes enacted that affects land
Subdivision Plan Redate 4 development throughout the country. The Clean Water Act,
.....................................................
Americans with Disabilities Act and Clean Air Act are ex-
Waiver Condition 2
..................................................... amples of this type of legislation. Following the adoption
Water Plan 7 and presidential signing of the legislation, a federal depart-
ing place on a set of plans rather than one or two sets being
reviewed by agencies in sequence. It is not unusual for 15
or more copies of a particular plan to be required for sub-
mittal.
Plan Type Submission Sequence

Local government agencies require the previously-identified
plans to determine if the design complies with applicable
ordinances and standards. The plans and accompanying
documents are prepared, submitted and reviewed in a pre-
determined sequence of increasing accuracy and detail. This
staging of analysis and design is important. Most, but not
all, jurisdictions consider construction-plan approvals as an
administrative act of the staff, without involvement of the
legislative body or the public. Some jurisdictions require
planning-commission review and approval of preliminary
subdivision plans. However, even the most prescriptive or-
dinances allow and necessitate considerable judgment by
design professionals concerning on-site layout and connec-
tion of off-site facilities. F IGURE 33.2 Typical sequence of plan submissions.
contained in the Wetland Delineation Manual published by

the Army Corps of Engineers. The Federal Manual for Iden-
tifying and Delineating Jurisdictional Wetlands published in
1989 has been canceled, and the former 1987 Corps of
Engineers manual is used in its place. The applicant may
ask the Corps of Engineers to delineate the special aquatic
site (Federal Register, 1991).
Prior to planning and constructing development within
wetlands, the applicant must show that no alternative site
exists, that ecological damage will be minimized and that
any lost wetland area will be replaced. A permit may or
may not be issued based upon the information presented
in the permit application. An application may invoke the
use of a Nationwide Permit instead of the individual permit
(Form ENG 4345). The prospective permittee must notify
the Corps of Engineers District Engineer as early as possi-
ble. Activity shall not begin until the District Engineer no-
tifies the permittee that the activity may proceed or notifies
that an individual permit is required. Alternatively, activity
may begin if 45 days have passed since the District Engineer
has received the notification and the permittee has not re-
ceived notice from the District or Division Engineer.
There are 43 listed nationwide permits activities (44 are
listed but one number is not currently used.) Commonly
used nationwide permits in development projects are:
#12—Utility line backfill and bedding—may be placed

through wetlands parallel to streams
#14—Road crossing—must be part of a single project,
fill may not exceed one-third of an acre and the road
must cross perpendicular to the stream channel
#26—Headwaters and isolated waters discharge—
applies for filling of up to 10 acres of wetlands located
above the headwaters of a non-tidal stream, water
F IGURE 33.3 Typical plan sequence for a subdivision plan.
body or isolated wetlands. This permit allows for the
filling of one acre of headwater wetlands without prior
notification. Fills of 1 to 10 acres require submitting a
ment (usually spelled out in the legislation) is given the
Pre-discharge Notification (PDN) to the Corps of Engi-
responsibility to adopt implementing rules and regulations.
neers.
This can take many months and in some cases years from
legislative enactment. Rules are first proposed and printed #39—Residential, Commercial, and Institutional Devel-
in the Federal Register with time for public comment. It is opments—authorizes up to 0.5 acres of impact from
this process that enables engineers to anticipate impending discharges of dredge or fill material into non-tidal wa-
changes that could affect the project design. ters of the United States excluding non-tidal waters ad-
jacent to tidal waters, for residential, commercial, and
Clean Water Act institutional facilities. A Pre-Construction Notification
Wetlands. The Clean Water Act probably is the most sig- (PCN) must be filed with the U.S. Army Corps of En-
nificant act in terms of its effect on land development ac- gineers for fills over 0.10 acres. Discharges cannot
tivity. One of the provisions of this act provides for the cause a loss of more than 300 lineal feet of stream-
protection of wetlands. Wetlands are those areas that are bed, although the District Engineer can waive this re-
inundated or saturated by surface or ground water at a fre- striction for intermittent streams.
quency or duration sufficient to support, and that under
normal circumstances do support, a prevalence of vegeta- All permits issued by the Corps under Section 404 must
tion typically adapted for life in saturated soil conditions. have a Section 401 water quality certification from the state
Wetlands generally include swamps, marshes, bogs and or tribe having jurisdiction; many have not authorized, or
similar areas. Guidelines for the delineation of wetlands are authorized with conditions, Section 401 certification for

Nationwide Permits. States may incorporate the permit- permit is not required, construction plans must still comply
application process into their adopted water-quality regu- with the federal regulations. The ultimate purpose of the
lations. When this is done, it usually results in a simplified ADA and FFHAG is to bring those who have disabilities
process. However, this field of regulation is subject to rapid into mainstream American life. The FFHAG establishes
change, and the submitting engineer is advised to seek out standards for first-floor accessibility in multiple-family
the advice of those professionals more attuned to the water- housing buildings. It also set standards for interior design
quality aspects of land development. Penalties for violating to allow accessibility within specified numbers of units
the Federal Regulations are severe. within the building. The engineer designing development
plans for new construction has the opportunity to assist in
National Pollution Discharge Elimination System (NPDES) this laudable goal.
Also of significance is the need for a National Pollution ADA Accessibility Guidelines (ADAAG), issued by the
Discharge Elimination System (NPDES) permit. This permit Architectural and Transportation Barriers Compliance
is a requirement for land development even for a relatively Board, have been adopted by the Justice Department as
small size. Until recently, it was assumed that storm water the standard to be applied in new residential and non-
runoff from urban areas and industrial facilities was essen- residential construction. These guidelines contain minimum
tially clean water. However, many studies over the past 25 accessibility requirements, technical specifications and re-
years have shown that runoff from urban and industrial quirements based on building use (Commerce Clearing
areas typically contains significant quantities of the same House, Inc., 1992). Building sites must take into consid-
general types of pollutants that are found in municipal eration:
wastewater and industrial discharge and cause similar
water-quality problems (Virginia Water Control Board, 䡲 The addition of exterior ramps, chair lifts or
1992). elevators
Most states administer the Federal program through del- 䡲 An increase in the number of accessible parking
egation of authority from the Environmental Protection spaces
Agency (EPA). This is done under regulations adopted by
each state and approved by the EPA. Land disturbing and 䡲 An improved accessible route to the building en-
development activities are required to create storm water trance
pollutant-elimination facilities so as to improve the water 䡲 Altering the pavement to walking surfaces at
quality of receiving streams. For many years, these facilities abrupt changes in grade to warn the visually impaired
were required only to minimize soil erosion from entering
streams. Nitrogen and phosphorus are pollutants that sig- 䡲 Addition of signs to identify accessible routes
nificantly harm receiving streams. Best-management- 䡲 Addition of a requirement for van spaces
practices (BMP) facilities are now required in most
jurisdictions to prevent this type of pollution. These prac-
tices can be either structural or non-structural. Refer to National Environmental Protection Act (NEPA)
Chapter 22, Stormwater Management, for a more detailed Under the National Environmental Protection Act (NEPA),
discussion of these facilities. The degrees of land-disturbing actions of federal and non-federal agencies that use federal
activity, location of the storm water management facilities funds or require federal approval are subject to an environ-
and their design are the subject of review and eventual is- mental impact review. In addition to government buildings
suance of a permit by the state. and roads, a ‘‘major federal action’’ can include major pri-
vate developments in federally protected wetlands.
Americans with Disability Act (ADA) and Final Fair The specific requirements are covered under 40 CFR
Housing Accessibility Guidelines (FFHAG) 1500 et seq. Environmental review requirements for specific
Two federal regulations set requirements for accessibility. agencies are usually published in separate guidelines that
They are the Americans with Disabilities Act (ADA), which are written to interpret NEPA requirements as they apply
is applicable to non-residential buildings, and the Final Fair to a given agency’s activities.
Housing Accessibility Guidelines (FFHAG), which is appli- There are three levels of environmental review: (1) cat-
cable to new multiple-family residential buildings. Most egorical exclusion, (2) environmental assessment, and (3)
states have adopted regulations that require conformance to environmental impact statement. Projects that do not con-
these federal standards, as have most local jurisdictions. A tain the potential for any significant environmental impacts
state or local jurisdiction can adopt a standard of protection can be granted a categorical exclusion. Exclusions are
greater than ADA. The state and local regulations then affect granted under a general waiver or with the submittal of
land development activity in that jurisdiction. minimal information.
It is important to note that one cannot assume that a Projects that do not fit the categorical exclusion defini-
state or local jurisdiction has incorporated these regulations tion will need to undergo an environmental assessment to
into their regulations. In that event, even though a federal determine if a full environmental impact statement is

needed. Projects that are deemed to have a significant im- quired by clients when entering into contracts with design
pact upon the environment because of the environmental engineering firms.
assessment are required to complete an environmental im- On the other hand, some clients demand unrealistic
pact statement. timelines on the design completion. This is usually moti-
An environmental assessment will need to address the vated by businesses waiting to move into a new facility or
purpose and need for the proposed action, description of because of the high cost of borrowing money on vacant
the present environment of the proposed project, alterna- land. Time becomes a very significant cost factor in these
tives and the environmental impacts. Typical subjects to be situations. It is this pressure of time that will make quality
included in environmental impacts are socio-economic control seem like a nicety rather than a necessity. A hurried
changes, historic landmarks, archaeological evaluation, air design can result in an inadequate design as well as not
pollution, noise, hazardous waste, energy, water quality, being in conformance with regulations. In more cases than
floodplains, wetlands, threatened or endangered species, not, time is not saved and the design is more costly in the
and flora and fauna habitat (Garfield, William W., 1992). end.
Because of the extensive requirements for the environ- The typical approach to quality control regarding engi-
mental assessment, a long lead-time will be necessary to neering plans concentrates attention on those plan elements
secure acceptance of the report. The report is usually being relating to the ability of the project to be constructed effi-
prepared along with the preliminary plan design since in- ciently and well. The design engineer’s primary responsi-
formation to and from both is needed. bility is to design the project to meet professional standards,
A full environmental impact statement is a major un- and that requires almost singular concentration. The basic
dertaking. Specialists in this field usually perform it. Details design of the infrastructure is the same regardless of juris-
of an environmental assessment are usually beyond the diction. This results in the lack of attention to those plan
scope of the design engineer, and, therefore, a discussion is elements peculiar to each jurisdiction that need to be cor-
not included here. rect in order to have the plan approved by the various re-
viewing agencies. There are many chances for error in the
STATE REVIEW OF CONSTRUCTION PLANS plan design and review process. The many different kinds
AND PERMITTING of plans that are required for a specific situation increase
the potential for error. In addition, so many persons and
State legislation allows local jurisdictions to review individ-
agencies are in the review process that the lack of an early
ual development plans within their boundaries. State codes
identification of conflicting requirements causes problems
are usually enacted to detail certain requirements regarding
late in the process. This adds to delay and expense.
the public health such as water supply, sanitation and state-
Engineers in reviewing agencies in a jurisdiction are
wide uniform building codes. Likewise, some elements of
trained in the area of those elements of the codes and reg-
the transportation system may require state approval.
ulations specific to that jurisdiction. The reviewer sees
Environmental issues in the area of water pollution, as
many plans from that perspective and acquires skill in iden-
noted previously, have led to enactment of several signifi-
tifying areas of omission. One can readily see the juxtapo-
cant pieces of federal legislation. This in turn has led to the
sition of the design engineer concentrating on the quality
need for state legislation and state review of construction
control of construction elements while the reviewing engi-
plans. These types of issues are much wider in scope than
neer concentrates on those elements specific to that juris-
what prevails in one particular jurisdiction. The protection
diction. The plan elements on which the reviewer
of streams from pollution and the protection of wetlands
concentrates often pertain more to the process than to the
from destruction cuts across individual jurisdiction bound-
design product.
aries.
Plans submitted without undergoing a quality-control
The processing of plans through state review agencies
check for both construction and process elements clutter
can be time-consuming, since plans submitted from
the review system and can result in an inadequate review
throughout the entire state are being evaluated. Even with
because of omissions. Some jurisdictions institute a prelim-
regional offices, the need for consistent treatment across the
inary review of plans before accepting the plans into the
state requires time to complete the review.
process for distribution to the review agencies. This review
usually is cursory, sometimes using checklists to ensure
QUALITY CONTROL completeness in the set of plans submitted. The time taken
It is unnecessary to say that quality control of the design to review for completeness is relatively short compared to
of a project is the responsibility of everyone taking part in the time necessary for the detailed review. Plans are rejected
that design. The project manager usually assumes that role and returned to the submitting engineer when plan sets are
during the course of the design. However, recent trends incomplete.
emphasize the importance of quality control being installed There is a tendency to rely upon the reviewing agencies
into the product from the very beginning. It is not unusual for the design quality control. When this is done, more time
for a Total Quality Management (TQM) program to be re- is needed to perform the agency review. It also reduces con-

fidence in the submitting engineer by the reviewing agen- view process. Discrepancies in the plans being submitted
cies that future designs will meet the jurisdiction codes and can result in disciplinary action, including eventual dis-
regulations. It is very tempting for a public-agency reviewer qualification for the expedited review. Plan completeness
to comment on a set of plans with individual preferences and quality have improved dramatically. Plans are being ap-
as opposed to limiting comments that are supported by proved in one-third the time of previous submittals. The
specific regulations. Likewise, a public-agency reviewer can program encourages communication between submitting
become zealous in reviewing a development plan since in and reviewing engineers as well as among the various ju-
most instances the public agency will be the ultimate owner risdictions regarding the plan-review process and other
of the infrastructure being designed. Sometimes these com- technical concerns.
ments can become burdensome and costly to incorporate
into the design. The time necessary to incorporate com- REFERENCES
ments into the design is also a cost item. Board for Architects, Professional Engineers, Land Surveyors,
Certified Interior Designers, and Landscape Architects, Rules and
Design-engineering firms can improve upon the public-
Regulations, Commonwealth of Virginia, Richmond, Va., 1992.
agency review process by instituting a good quality-control
Bright, John K., Reader’s Write, Civil Engineering, New York: 62
program that also emphasizes those plan design elements
(8), American Society of Civil Engineers, New York, 1992.
peculiar to the individual jurisdiction. This requires that
City of Dallas, Texas, Issue Paper: ‘‘Being User Friendly,’’ Dallas,
engineers in the organization be trained to review plans in
Texas, 1988.
the same manner as do agency reviewers. They need to
Commerce Clearing House, Inc., What You Ought to Know About
review plans as if the public agency is the client and their the ADA, Commerce Clearing House, Inc., Chicago, Ill., 1992.
client is the ultimate owner of the infrastructure. They also
DeJarnette & Paul, Inc., The Professional Liability Perspective,
need to review the development plans as if they were the Richmond, Va., 1991.
enforcers of public agency codes and regulations.
Engineers and Surveyors Institute, Post Submission Conference
Jurisdictions in the Washington suburbs of Virginia have Format, Recommended Plan Format for Fairfax County, Engineers
taken an innovative approach to improving the quality of and Surveyors Institute, Fairfax, Va., 1990.
plans being submitted and reviewed by private and public Federal Register (56 (226), U. S. Government Printing Office,
sector engineers. A public/private partnership, Engineers Washington, D.C., 1991.
and Surveyors Institute, has been formed to conduct edu- Garfield, William W., Public Works, 123 (9), Public Works Jour-
cation in the plan design and review process. It also con- nal Corp., Ridgewood, N.J., 1992.
ducts a peer review of plans prior to their submission to International City Manager’s Association, Municipal Public Works
the jurisdictions as well as a peer review of the comments Administration, 5th ed., International City Manager’s Association,
made by the jurisdiction reviewers. Design engineers of Chicago, Ill., 1957.
firms other than the one submitting the plan, as well as an International City Manager’s Association, April 14th Newsletter,
independent engineer conduct this peer review. Chicago, Ill., 1986.
Engineers completing the rigorus initial and annual Virginia Water Control Board, Virginia Water Control Board,
continuing-education program and meeting experience Richmond, Va., 1992.
qualifications are certified and entitled to an expedited re- Washington Post, October 25 edition, Washington, D.C., 1992.


CHAPTER 34
ENVIRONMENTAL PERMITS
Jeffrey M. Moran, PE
INTRODUCTION Obtaining environmental permits can be a difficult pro-

The land development and construction industry is re- cess. The first challenge is to understand the variety of en-
quired to obtain permits for each phase of the development vironmental regulations. Once the potential permitting
process, from land clearing and grading to final construc- requirements are known, the next step is to complete the
tion and occupancy. The majority of the permits required necessary studies required to obtain the permits and apply
are related directly to the construction activity, building for them. Projects that have minimal impacts will take 3 to
components and utilities. In addition, a parcel of land or 6 months to obtain the necessary permits. Projects that have
construction activity may require one or more environmen- the potential of causing major environmental impacts will
take significantly longer and may require significant study
tal permits because of the site location, site features, type
and documentation, such as an and Environmental Impact
of construction and/or the final use of the facility being
Statement. The types of projects that may qualify for this
constructed. Another factor may be the climate and the time
level of documentation include roadways on new alignment
of year that construction is underway. Individual permit re-
or with numerous residential impacts, water-supply reser-
quirements can vary significantly through state and local
voir projects, and developments in sensitive areas that may
regulations, so the developer should be aware of the specific
harbor rare, threatened, or endangered species, develop-
environmental laws in the areas where development is being
ments within significant wetland areas, or with historic
performed. property impacts.
An environmental permit refers to a permit required by
an environmental law in order to regulate the emission or PERMITTING PROCESS
discharge of a pollutant or to have some authority over The increased awareness of environmental impacts associ-
environmentally-regulated activities. Permits are used by ated with land development resulted in increased permit-
federal, state, local, and municipal regulatory agencies to ting. If not incorporated into the development budget and
insure compliance with environmental laws. Most major, schedule, these requirements can delay progress signifi-
federal environmental laws require the issuance of a permit cantly or even stop work all together. Therefore, being
for specific activities. aware of the environmental regulations and incorporating
Environmental permits, as presented in this chapter, are the requirements into the development plan is an essential
associated with air, water, and waste. It is the responsibility part of the project.
of the organization conducting the activity to insure that all The permitting process is constantly evolving, and reg-
necessary permits are obtained. The length and duration of ulatory agencies recognize the need to improve the effi-
permits issued under federal laws will differ depending on ciency and effectiveness of the process. Many complex
the type of permit and specific conditions imposed by the issues must be addressed when pursuing reforms of envi-
permit. Most environmental permits are issued for 1 to 3 ronmental permits and significant challenges remain. Fed-
and occasionally 10 years. eral, state, and local regulatory agencies have reform efforts
881
in place to improve the process. Permit writers are finding 䡲 How emergencies and spills will be handled,
new ways to improve environmental and economic results should they occur
through innovative approaches to permitting. Some permits
䡲 Where or how mitigation will be accomplished
may contain incentives to reduce the amount of pollutants
or allow for more operational flexibility; however, some can 䡲 How the facility will clean up and finance any en-
be labor-intensive during construction or operational vironmental contamination that occurs
phases of a project, requiring significant monitoring.
䡲 How the facility will close and clean up once it is
Although the requirements of an environmental permit
no longer operating
may vary significantly from state to state, the permitting
process is similar. Some permits may be relatively easy to
obtain because of the simplicity of the activity and its po- Receipt and Review Information
tential for minimal effect on human health and the envi- When the permitting agency receives a permit application,
ronment. For example, the permittee may simply announce it notifies the public that it has received the application and
the activity in the newspaper, complete the application, and places a copy of it in a public area for review. The permit-
within 30 days receive an approved permit. On the other ting agency reviews the application to make sure it contains
hand, on a project where the potential impact to human the information required by the regulations to determine if
health or the environment is significant, a much more de- the facility can be built and operated safely. Some agencies
tailed process may be required. This detailed permitting do not post the project for public notice until they have
process can be divided into six distinct steps. made a preliminary decision to issue a permit or deny the
permit. In these cases, what is posted is the tentative de-
Pre-application cision to issue or deny a permit.
Public involvement plays an important role for some per-
mits. This is initiated by holding an informal public meet- Revisions
ing, referred to as a preapplication meeting. The purpose
If the permitting agency is not satisfied with the permit
of the meeting is to explain to the public the intended ac-
application, or finds the information submitted is insuffi-
tivity, including the specific proposed process associated
cient, it may issue a Notice of Deficiency (NOD) or a re-
with the pollutant and/or waste. The meeting is announced
quest for additional information to the applicant. NODs
by placing a sign at the site, broadcasting on the television
identify and request that the applicant provide any missing
and/or radio, and placing an advertisement in the local
information. During the application review and revision
newspaper. At the meeting, the organization (applicant) re-
process, the permitting agency may issue several NODs.
sponsible for the activity explains the plans and provides
Each time the permitting agency receives a response from
the public with the opportunity to ask questions and make
the applicant, it reviews the information and, if necessary,
suggestions.
issues NODs until it considers the application to be com-
In some states, a pre-application meeting with the reg-
plete. Given the complex and technical nature of the re-
ulatory agencies is recommended once the preliminary
quested information, the review and revision process can
plans for a site have been developed. This meeting assists
take several years to complete, depending upon the type of
both parties in understanding each other’s concerns with
project.
the project and may save the developer significant time and
trouble by pointing out the ‘‘red flags’’ of the proposed pro-
ject. Public Review
When the revisions are complete, the agency makes a pre-
Permit Application liminary decision about whether to issue or deny the per-
Following the pre-application meeting, the applicant fills mit. If the agency decides that the application is complete
out the permit application. Permits are often lengthy and and meets appropriate standards, the agency issues a draft
include a description of the facility or development and permit containing the conditions under which the facility
address the following: can operate if the permit receives final approval. If the per-
mitting agency determines that an applicant cannot provide
䡲 A description of the project, including physical lo-
an application that meets the standards, the agency tenta-
cation, existing site conditions, distance to nearest
tively denies the permit and prepares a ‘‘notice of intent to
water body, primary watershed, the outcome of previ-
deny’’.
ous coordination with the public or regulatory agencies
The permitting agency announces its decision to the
䡲 How the facility will be designed, constructed, public by placing a notice in a local newspaper and broad-
maintained, and operated to be protective of public casting it on television and/or radio. It also issues a fact
health and the environment, including a demonstration sheet to explain the decision. Once the notice is issued, the
of avoidance, minimization and mitigation public typically has 30 to 45 days to comment on the de-

34 䡲 ENVIRONMENTAL PERMITS 883
cision. The public may request a hearing by contacting the regulatory agencies may issue administrative orders that re-
permitting agency. The permitting agency may also hold a quire facilities to correct violations and that assess monetary
hearing at its own discretion. The agency typically gives 30- penalties. The laws also allow federal and state agencies to
day public notice before the hearing. pursue civil and criminal actions that may include man-
datory injunctions or penalties, as well as jail sentences for
Final Permit persons found willfully violating requirements and endan-
After considering public comments, the permitting agency gering the health and welfare of the public and the envi-
reconsiders the draft permit or the notice of intent to deny ronment. If any member of the general public finds that a
the permit. The agency then issues a ‘‘response to public facility is violating its permit, that member can indepen-
comments,’’ specifying any changes made to the draft per- dently start a legal action, unless federal or state regulatory
mit. Finally, the agency issues the final permit or denies the agencies have already taken an enforcement action. EPA has
permit. an enforcement division dedicated to providing national di-
Even after issuing a permit, the permitting agency may rection, leadership, and consistency in case selection, case
continue to monitor the construction and operation of the development, and resolution and appeal of civil, judicial
facility to make sure they are consistent with federal and and administrative enforcement actions pursuant to its stat-
state rules and with the application. Several additional steps utory authority.
can also take place after the permit is issued: ENVIRONMENTAL-PERMITTING PROGRAMS
䡲 Permit appeals—facility owners and the public both Environmental permits can be categorized in a wide variety
have a right to appeal the final permit decision. Ad- of ways, including environmental medium, regulatory
ministrative law judges usually decide upon the appeal. agency administering the permits, or the activity. This sec-
tion provides brief descriptions of some of the more com-
䡲 Permit modifications—if a facility changes its man- mon environmental-permitting programs associated with
agement procedures, mechanical operations, or the land development.
waste it generates or handles, then it must secure a
permit modification. For modifications that signifi- Air
cantly change the facility operations, the public must Air pollution is caused by many different sources, including
receive early notice and have a chance to participate naturally occurring events and man-made sources. The cu-
and comment. For minor modifications, the facility mulative effects of the air pollution caused by these sources
must notify the public within a specified period of can be significant. EPA or its delegated state authority has
time prior to making the change. various programs in place under the Clean Air Act to min-
䡲 Permit renewals—the permitting agency can renew imize air pollution and protect and improve air quality. The
permits that are due to expire. Permit holders that are specific standards for air quality vary depending on location
seeking a permit renewal must follow the same proce- and the activity being performed. The land developer is
dures as a facility seeking a new permit. most likely to be faced with issues associated with fugitive
dust, open burning, and construction noise regarding air
䡲 Permit terminations—if a facility violates the terms quality. In some instances, a development proposed in an
of its permit, the permitting agency can terminate the existing carbon monoxide or ozone non-attainment zone
permit. may have to complete complex air-quality modeling in or-
der to verify that it will not increase these constituents sig-
REGULATORY ENFORCEMENT nificantly.
There are various methods used to monitor conditions im-
posed under environmental permits. Applicants may be re- Fugitive Dust
quired to sample or continuously monitor emissions or Large construction projects can disturb significant areas of
discharges and report the results to the permitting authority. land, potentially leaving the soil exposed for long periods
In addition, they are usually required to notify the permit- of time. These construction sites can be a significant source
ting authority when they are not in compliance with the of fugitive dust from wind and soil erosion from surface-
requirements of the permit. The regulatory agency may also water runoff. When construction sites are located in or near
use one of their own inspectors to inspect periodically the cities, they can be major contributors to overall air-quality
activity being permitted as a means of monitoring compli- problems for the metropolitan areas. Therefore, these con-
ance. struction projects may require plans for meeting federal or
Federal laws provide federal and authorized state regu- state air-quality standards.
latory agencies with various methods of taking enforcement The goal of the contractor is to complete the construc-
actions against violators of permit requirements. For ex- tion project as quickly as possible and re-establish protec-
ample, the U.S. Environmental Protection Agency and state tive cover over the exposed soil. This goal is compatible

with fugitive-dust control because the shorter the period of Water

exposure, the less opportunity for wind and water erosion For the purpose of addressing water-related permits, this
to occur. However, contractors sometimes view additional chapter categorizes water into surface water, wetlands and
steps for dust control as costly, time-consuming and, there- ground water. All three are important natural resources that
fore, incompatible with their primary goal. must be managed in a responsible manner to insure their
EPA or their designated local authority currently regu- quality and availability for the future.
lates fugitive dust on construction sites larger than 5 acres. Surface Water. Surface-water pollution can result in con-
Contractors must file a fugitive-dust emission-control plan ditions that are unsafe for drinking, fishing, swimming, and
to be in compliance. Smaller sites may be subject to local other activities. Polluted storm-water runoff is a leading
regulations. cause of impairment to the nearly 40% of water bodies
Water is often used on construction sites to minimize surveyed in the United States that do not meet water-quality
fugitive dust. This can be effective if applied often enough. standards.
For sites that will not be paved, timely revegetation is very Mandated by Congress under the Clean Water Act, the
important. Placing sod is the quickest approach, but the National Pollutant Discharge Elimination System (NPDES)
cost is usually prohibitive for large areas. For areas that will storm-water program is a national program for addressing
be seeded, the use of mulch provides some immediate pro- the non-agricultural sources of storm-water discharges that
tection and improves the chance of getting a good grass adversely affect the quality of our nation’s waters.
stand quickly. Light mulches such as straw should be tacked The Clean Water Act requires an approved NPDES per-
in place, either mechanically or by application of a chemical mit to discharge pollutants through a point source to sur-
tacking agent. face waters. The permit provides limits on what is being
discharged, monitoring and reporting requirements, and
Noise other provisions. The program uses the NPDES permitting
Noise is considered a pollutant and can be a public nui- mechanism to regulate point sources that discharge pollut-
sance. While its physical and emotional effects are difficult ants into waters of the United States. Point sources are dis-
to define quantitatively, the noise level itself can be mea- crete conveyances such as pipes or man-made ditches. In
sured and, therefore, regulated through permits. Cities and most cases, the NPDES permit program is administered by
local municipalities typically handle noise permits and or- authorized states.
dinances, so they can vary significantly, depending on lo- Construction activities are considered an industrial ac-
cation. The characteristics and conditions that are generally tivity, and as such an NPDES permit may be required. Spe-
considered when determining if a noise is a public nuisance cifically, an NPDES permit is required if the construction
include: results in the disturbance of more than 5 acres of total land
area. Construction activities that require a permit may in-
䡲 Noise level clude clearing, grading, and excavation. These activities typ-
䡲 Nature of the noise (natural versus unnatural) ically are associated with road building, borough pit
excavation, residential housing and office building con-
䡲 Origin of the noise
struction, light industrial construction, or facility demoli-
䡲 Proximity to receptors tion. In some states, a permit may not be required if the
runoff does not discharge into a waterway, as in the case
䡲 The time of day (or night) the noise is generated
where it evaporates from a catch basin or similar water
䡲 Duration of the noise body.
There are two permit processes applicable to construc-
䡲 Whether the noise is recurrent, intermittent or con-
tion activities: the Individual-Permit process and the Gen-
stant
eral-Permit process. The Individual Permit, as the name
These characteristics typically are evaluated on the ap- implies, is a permit that is issued on a case by case basis.
plications for noise permits. In addition, a noise-impact as- The General-Permit process, when available, is the easiest
sessment may be required in the application for the permit. of the two processes. NPDES is a federal storm-water man-
The impact assessment evaluates the potential impacts of agement program; however, many states have primacy,
the noise to local receptors such as residential buildings, meaning that they are authorized to administer the NPDES
schools, and offices. If it is determined that potential noise program for facilities within their boundaries. To obtain pri-
effects warrant evaluation of impacts and mitigation mea- macy, the state must have enacted storm-water regulations
sures, an environmental impact statement may be required; that are at least as stringent as those enacted by the EPA.
this will identify the effectiveness of various mitigation Permittees within states that have primacy must obtain their
measures that can be incorporated to obtain a noise permit permits from the state NPDES program. If the state has
if there are a significant number of receptors affected or if obtained primacy and has also obtained a General Permit
federal funds are involved. for Construction Activities from the EPA, then the state may

in turn issue the General Permits for Construction Activi- requires certification that the industrial activity will not
ties. If the state has primacy but has not obtained a General impact endangered or threatened species protected un-
Permit for Construction Activities from the EPA, then it may der the Endangered Species Act. This certification is
not issue General Permits, and the permittee must apply to unique to the EPA’s NOI and is not a requirement of
the state for an Individual Permit. If the state does not have most NPDES-delegated states’ NOIs. For a current list
permitting authority, the permittee must apply directly to of these species and their locations nationwide (by
the EPA for either a General Permit or an Individual Permit. county), refer to the Office of Wastewater Manage-
The application for an individual permit is a rather ex- ment’s Endangered Species List. As with most NPDES
tensive process, and the regulations should be reviewed in programs, storm-water permits may be issued through
detail before beginning. The application for the Individual one of the EPA’s ten regions, or through an authorized
Permit is accomplished by submitting a permit application state/territory NPDES permitting authority. Regardless
90 days prior to construction. The permit application must of who issues the permit, the standards set forth must,
include such information as: at a minimum, agree with the federal version of the
permit. States can create more stringent requirements
䡲 The results of quantitative testing data or alter certain procedures associated with the permit-
䡲 Information on significant spills or leaks in the area ting process. For more information about a particular
for the last 3 years state program or permit, contact the appropriate state.
䡲 A narrative description of the construction activities To terminate coverage, a Notice of Termination (NOT)
and a site map showing topography for Industrial Activity must be submitted to the EPA’s NOI
Processing Center. A permittee may submit a NOT when:
䡲 Site characteristics, and a description of effective
management practices 䡲 Disturbed soils at the construction site have finally
been stabilized and temporary erosion and sediment-
For construction operators of sites located in the areas control measures have been removed (or will be re-
where the EPA’s General Permits for Construction Activities moved at an appropriate time)
apply, the steps for obtaining coverage are listed below.
䡲 Storm-water discharges have been eliminated, or
1. Read the applicable Construction General Permit
䡲 The permittee is no longer an operator of the site
(CGP) fact sheet and permit requirements. The appli-
cable CGP to use depends on the construction opera- Under the Phase II Rule, NPDES permitting authorities
tor’s NPDES permitting authority. The EPA’s national have the option of providing a waiver from the require-
CGP applies only in EPA regions. ments to operators of ‘‘small’’ construction activity who
2. Develop and implement a Storm-Water Pollution- could certify to one of two conditions:
Prevention Plan (SWPPP). SWPPPs are required of all 䡲 Low predicted rainfall (i.e., activity occurs during a
CGP applicants. Several items are required in a SWPPP, negligible rainfall period), where the rainfall erosivity
including: site maps showing drainage and discharge factor (‘‘R’’ in the revised Universal Soil Loss Equation)
locations, and the locations of control measures; a de- is less than 5 during the period of construction activity
scription of the site and of the pollution prevention
Best Management Practices (BMPs); and inspection 䡲 A determination that storm-water controls are not
procedures and reports. Guidance on SWPPP develop- necessary based on either:
ment and the implementation of appropriate BMPs is ▫ Total Maximum Daily Load (TMDL) approved or
available from the EPA. Note that SWPPPs must be de- established by the EPA that addresses the pollut-
veloped and implemented in accordance with the CGP ant(s) of concern for construction activities; or
prior to submitting the Notice of Intent.
▫ For non-impaired waters that do not require
3. Complete and submit a Notice of Intent (NOI) for TMDLs, an equivalent analysis that determines allo-
Construction Activity. This must be filled out and sub- cations for small construction sites for the pollut-
mitted to the EPA’s NOI Processing Center at least 2 ants(s) of concern or that determines that such
days prior to the commencement of construction activ- allocations are not needed to protect water quality
ity. It is important to note that signing and submitting based on the condition of exiting in-stream concen-
the NOI form obligates the permittee to comply with trations, expected growth in pollutant contributions
the terms of the Construction General Permit. Once from all sources, and a margin of safety
the NOI is received, the NOI Processing Center will
send the permittee notice of its permit number. Per- Waivers are not available for any construction activity
mittees may contact the NOI processing center to de- disturbing 5 acres or greater, or less than 5 acres if part of
termine the status of a particular NOI. The EPA’s NOI a common plan of development or sale (or if designated for

permit coverage by the NPDES permitting authority). This 䡲 40% of the public water-supply withdrawals
regulation is slated to change in 2003, reducing the acreage
䡲 53% of all drinking water for the total population
from 5 acres to 1 acre.
䡲 97% of drinking water for the rural population
Wetlands
Wetlands can be significantly affected by land development. The Safe Drinking Water Act was established to protect
Their natural ability to purify water by reducing nutrient the quality of drinking water in the United States. This law
loading, chemical waste and turbidity makes them a valued focuses on all waters actually or potentially designed for
resource to the natural environment. Section 404 of the drinking use, whether from above-ground or underground
Clean Water Act establishes programs to regulate the dis- sources. The Act authorized the EPA to establish safe stan-
charge of dredged and fill material into waters of the United dards of purity. State governments, which assume this
States, including wetlands. Section 401 of the Clean Water power from the EPA, also encourage attainment of second-
Act establishes a program to regulate the effects of any dis- ary standards (nuisance-related). The Comprehensive State
charges into waters of the U. S., including wetlands. Ground Water Protection Programs (CSGWPPs) established
The simplest strategy for dealing with wetlands on a par- a partnership between the states, tribal governments, and
ticular project is to know the location of the jurisdictional the EPA to implement the EPA’s ground water protection
areas (i.e., those areas regulated by the United States Army goal and principles.
Corps of Engineers [Corps]) and avoid them in the devel-
opment process. However, in many instances, total avoid- Waste
ance is not practical, and some involvement with the Waste is generated at construction sites where there is clear-
regulatory process is inevitable. ing, excavation, construction, renovation, or demolition of
The degree of involvement in the regulatory process de- structures. This waste is considered construction and dem-
pends on the amount of jurisdictional area likely to be af- olition debris. Some of this debris can be managed onsite,
fected. Most regulatory programs have minimum thresholds and the remaining waste must be properly handled and
for allowable wetland impacts that, once crossed, propel disposed of at the appropriate permitted landfill. For ex-
one into the regulatory process. Generally, a zero threshold ample, uncontaminated rocks, bricks, concrete, road dem-
is established for tidal wetlands and non-tidal wetlands lo- olition debris, and soil are not subject to solid-waste
cated below the headwaters. Any proposed fill in these areas regulations and, therefore, do not have to be disposed of at
requires permits. Headwaters are defined in the Corps reg- a landfill. This debris may be buried onsite or may be re-
ulations as the area upstream of the point where a stream’s moved from the site to be used for off-site fill as long as it
average annual flow falls below 5 cubic feet per second. is not placed in a waterway or wetland. The remaining con-
Wetlands and their regulatory issues are discussed else- struction debris must be characterized properly, transported
where in this book, but generally, minor impacts to head- and disposed of in accordance with solid and hazardous-
waters and headwater wetlands are allowed under a general waste regulations.
permit program implemented through the U. S. Army New construction, especially on previously undeveloped
Corps of Engineers Nationwide Permit Program Regulations land, can generate vegetative waste that may be banned
(33 CFR Part 330). Be aware however, that most states have from solid-waste landfills. These wastes may be taken to a
implemented more stringent laws regarding fill, piping, or composting facility for disposal or dealt with on site by
excavation in waters and wetlands. burning, chipping, grinding, or shredding. An air permit
may be required if the waste is burned on site, and a reg-
Ground Water istration process may be required if the waste is chipped,
Ground water accounts for approximately two thirds of the ground, or shredded, depending on the quantity of vege-
world’s available freshwater supply and is used for drinking tative waste that was generated.
water by more than 50% of the people in the United States. Landfills that receive construction and demolition debris
Ground water contamination can occur when products are not required to be constructed to the same standards as
such as gasoline, oil, road salts and chemicals are released solid-waste landfills under Subtitle D of the Resource Con-
into the environment and enter the ground water, causing servation and Recovery Act (RCRA). A subtitle D landfill
it to become unsafe and unfit for human use. Some of the requires a synthetic bottom liner and ground water moni-
major sources of these products, called contaminants, are toring. Therefore, disposing of waste in a Subtitle D landfill
storage tanks, septic systems, hazardous-waste sites, land- is more expensive. Hazardous waste is required to be dis-
fills, and the widespread use of road salts and chemicals. posed of at a Subtitle C landfill, permitted to receive specific
Ground water provides an estimated: types of hazardous waste. Disposing of waste at a subtitle
C landfill is more expensive than subtitle D landfills.
䡲 22% of all freshwater withdrawals
The EPA has promulgated regulations (40 CFR 61, Sub-
䡲 34% of agricultural use (mostly for irrigation) part M) in the National Emission Standards for Hazardous

Air Pollutants (NESHAPS) requiring structures proposed for sludge, dust, or blast grit, it may be required to be classified
renovation or demolition to be tested for asbestos. The dis- and handled in accordance with RCRA regulations.
posal criteria for asbestos material is determined by the reg-
ulating agency based on the quantity and type of asbestos
State Permitting Contacts
found in the structure(s). Some types of regulated asbestos-
containing materials may be disposed of in a construction Determining the types of environmental permits that are
/debris landfill. For example, roofing shingles and resilient required on a construction project can be a very complex
floor coverings that are deemed to be in ‘‘good condition’’ and time-consuming process. Some permits are handled by
(non-friable) may be disposed of in a construction/debris federal agencies while others are the responsibility of the
landfill. individual state or local municipality. To obtain additional
Disposal of lead-based paint requires the classification of information on federal programs, visit their websites. This
the waste. If the lead-based paint is generated from a struc- can be accomplished by searching EPA or the names of the
tural renovation or demolition project, it is considered ‘‘de- programs, most of which are linked. The table below pro-
bris’’ and can be disposed of in a construction/debris vides a list of website addresses for permitting contacts, by
landfill or at a municipal solid-waste landfill. If the lead- state, should additional environmental-permitting informa-
based paint is a concentrated waste derived from scrapings, tion be required.
TABLE 34.1 State Permits Contacts

STATE PERMITTING CONTACTS /LINKS
Alaska Permit Questionnaire and Contacts

http://www.state.ak.us/local/akpages/ENV.CONSERV/dsps/question3.htm
.....................................................................................................................
Alabama ADEM Contacts
http://www.adem.state.al.us/contacts.html
.....................................................................................................................
Arizona Compliance Center
http://www.adeq.state.az.us/do/compliance.htm
Waste Program Division Contacts
http://www.adeq.state.az.us/waste/hazwaste/index.htm
Water Quality Division Point Source
http://www.adeq.state.az.us/water/permits/index.htm
.....................................................................................................................
California Permitting Assistance Center Contacts
http://www.calgold.ca.gov/pac.asp
Regional Permit/Compliance Assistance Centers
http://www.baaqmd.gov/enf/complnce/regpcap.htm
.....................................................................................................................
Colorado Environmental Customer Assistance Center
http://www.cdphe.state.co.us/ic/ecashom.html
.....................................................................................................................
Connecticut DEP Permitting Contacts
http://dep.state.ct.us/pao/sourcinf.htm
.....................................................................................................................
Delaware Department of Natural Resources and Environmental Control Business and Permitting Services
http://www.dnrec.state.de.us/busperm.htm
.....................................................................................................................
Florida Department of Environmental Protection Contacts
http://www.dep.state.fl.us/officsec/ombud/permit c.htm
.....................................................................................................................
Georgia Georgia Environmental Protection Division Contacts
http://www.ganet.org/dnr/environ/pubnote/contacts/
.....................................................................................................................

TABLE 34.1 State Permits Contacts (Continued)

Hawaii DOH Permitting Contacts

http://www.state.hi.us/doh/permits/emd permits.html
.....................................................................................................................
Iowa Environmental Protection Division Roster
http://www.state.ia.us/government/dnr/organiza/epd/roster/rosters.htm
.....................................................................................................................
Idaho Division of Environmental Quality Contacts
http://www.state.id.us/deq/reg map1.htm
.....................................................................................................................
Illinois Directory
http://www.epa.state.il.us/quick-answer-directory/index.html
.....................................................................................................................
Indiana IDEM Offices and Staff
http://www.state.in.us/idem/offices.html
Permit Assistance
http://www.muncie.com/permit.asp
.....................................................................................................................
Kansas Department of Health and Environment Service Guide
http://www.kdhe.state.ks.us/environment/servguid.html
.....................................................................................................................
Kentucky Division of Air Quality Contacts
http://www.nr.state.ky.us/nrepc/dep/DAQa.htm
Environmental Permitting Programs
http://www.nr.state.ky.us/nrepc/dep/dep2.htm
Division of Waste Management Contacts
http://www.nr.state.ky.us/nrepc/dep/DWM.htm
Division of Water Contacts
http://www.nr.state.ky.us/nrepc/dep/DOWa.htm
.....................................................................................................................
Louisiana Department of Environmental Quality Contacts
http://www.deq.state.la.us/organization/officdir.htm
.....................................................................................................................
Massachusetts Department of Environmental Protection InfoLine
http://www.state.ma.us/dep/infoline.htm
Department of Environmental Protection Regional Service Centers
http://www.state.ma.us/dep/service.htm
.....................................................................................................................
Maryland Environmental Permits Service Center
http://www.mde.state.md.us/permit/index.html
.....................................................................................................................
Maine Department of Environmental Protection Contacts
http://www.state.me.us/dep/whoswho.htm
.....................................................................................................................
Michigan Department of Environmental Quality Information Sources Guide-Licenses and Permits
http://www.deq.state.mi.us/dept/info
.....................................................................................................................
Minnesota Minnesota Pollution Control Agency Water Permits Contacts
http://www.pca.state.mn.us/water/permits.html
Pollution Control Agency Air Permit Contacts
http://www.pca.state.mn.us/air/permits/index.html
.....................................................................................................................
Missouri Department of Natural Resources Technical Assistance
http://www.dnr.state.mo.us/technical.htm
.....................................................................................................................

Mississippi Environmental Resource Center

http://www.deq.state.ms.us/newweb/erchome.nsf/pages/Directory
.....................................................................................................................
Montana Montana Department of Environmental Quality Staff Directory
http://www.deq.mt.gov/staffdir.htm
.....................................................................................................................
North Carolina Air Quality Contacts
http://daq.state.nc.us/Staff
DENR Regional Offices
http://www.ehnr.state.nc.us/EHNR/files/regnoffs.htm
.....................................................................................................................
North Dakota Department of Environmental Health Contacts
http://www.health.state.nd.us/ndhd/contact.htm
.....................................................................................................................
New Hampshire Department of Environmental Services Contacts
http://www.des.state.nh.us/comments.htm
.....................................................................................................................
New Jersey Division of Water Quality Permit Contacts
http://www.state.nj.us/dep/dwq/gps.htm
Air Quality Permitting Program Contacts
http://www.state.nj.us/dep/aqpp/contact.html
Pollution Prevention Permit Contacts
http://www.state.nj.us/dep/opppc/info.htm
.....................................................................................................................
New Mexico Environmental Protection Division Contacts
http://www.nmenv.state.nm.us
.....................................................................................................................
Nevada Division of Environmental Protection Contacts
http://www.state.nv.us/ndep/admin/phone.htm
.....................................................................................................................
New York DEC Regional Environmental Permit Offices
http://www.dec.state.ny.us/website/dcs/EP REGIONS/regional offices.html
.....................................................................................................................
Ohio Division of Hazardous Waste Management
http://www.epa.ohio.gov/dhwm/distsco.html
District Offices Contacts
http://www.epa.state.oh.us/dist.html
.....................................................................................................................
Oklahoma Department of Environmental Quality Inquiry Contact List
http://www.deq.state.ok.us/EXTERNAL%20INQUIRY%20REFERRAL%20LIST.htm
.....................................................................................................................
Oregon Permits Handbook
http://www.deq.state.or.us/od/permithndbk/permit.htm
.....................................................................................................................
Pennsylvania Department of Environmental Protection Contacts
http://www.dep.state.pa.us/dep/DEPPHO2.htm
.....................................................................................................................
Rhode Island Department of Environmental Management Contacts
http://www.state.ri.us/dem/phone/topics.htm
.....................................................................................................................
South Carolina Environmental Permit Types & Contacts
http://www.state.sc.us/dhec/eqc/admin/html/permtype.html
.....................................................................................................................


South Dakota Environmental Permitting and Regulation Guide Department Directory

http://www.state.sd.us/state/executive/denr/enviro/deptlist.htm
.....................................................................................................................
Tennessee Department of Environment and Conservation Contact List
http://www.state.tn.us/environment/contact.htm
.....................................................................................................................
Texas Natural Resource Conservation Commission Contacts
http://www.tnrcc.state.tx.us/admin/directory/phone/index.html
.....................................................................................................................
Utah Department of Environmental Quality Contacts
http://www.eq.state.ut.us/eqoas/org/deqglnce.htm
Environmental Permit Contacts
http://www.eq.state.ut.us/eqoas/org/deqglnce.htm
.....................................................................................................................
Virginia Virginia Department of Environmental Quality Directory
http://www.deq.state.va.us/info/direct.html
.....................................................................................................................
Vermont Environmental Board
http://www.anr.state.vt.us/fguide/map reng.html
.....................................................................................................................
Washington State Agency Contacts
http://www.wa.gov/ecology/sea/pac/handbook/low/contacts.html
.....................................................................................................................
Wisconsin Department of Natural Resources Contacts
http://www.dnr.state.wi.us/org/caer/cs/subjectlist
.....................................................................................................................
West Virginia Division of Environmental Protection Contacts
http://www.dep.state.wv.us/phone.html
.....................................................................................................................
Wyoming Department of Environmental Quality Contacts
http://deq.state.wy.us/contacts.htm
REFERENCES Indiana Department of Environmental Management, March,

U.S. Environmental Protection Agency, Office of Solid Waste, 2001.
The Hazardous Waste Permitting Process, EPA530-F-96-007, U.S. U.S. Environmental Protection Agency, Office of the Administra-
Environmental Protection Agency, Washington, D.C., June, 1996. tor, Final Comprehensive State Ground Water Protection Program
U.S. Environmental Protection Agency, Office of Policy, Econom- Guidance, EPA 100-R-93-001, U.S. Environmental Protection
ics, and Innovation, Washington, D.C., May, 2001. Agency, Washington, D.C., 1992.
New York Department of Environmental Conservation, Division
U.S. Environmental Protection Agency, Office of Air Quality
of Environmental Permits, Guidance for Assessing and Mitigating
Planning and Standards, Washington, D.C. Noise Impacts, New York.
U.S. Environmental Protection Agency, Environmental Permitting Agricultural Publication G1885, Fugitive Dust: Nonpoint Sources,
Clearinghouse, Washington, D.C., January, 2001. October, 1999.
U.S. Environmental Protection Agency, Section 404 of the Clean Tennessee Department of Environmental Conservation, Solid
Water Act, An Overview, U.S. Environmental Protection Agency, Waste Management Permit By Rule, Tenn., March, 2000.
Washington, D.C., May 25, 1999. South Dakota Department of Natural Resources, Waste Manage-
U.S. Environmental Protection Agency, Region 9, Solid Waster ment Program, Solid Waste Permit, S.D., July, 2001.
Program: Construction and Demolition Debris, U.S. Environmental U.S. Environmental Protection Agency, Office of Water, National
Protection Agency, Washington, D.C., November, 1999. Pollutant Discharge Elimination System Permit Program, July, 2001.

PART VII
CONSTRUCTION

CONSTRUCTION

CHAPTER 35
CONSTRUCTION STAKEOUT
SURVEYS
Mary Munson Rouse Root, L.S
INTRODUCTION As-built refers to a post-construction survey of a site,

While land planners and engineers propose a man-made usually performed after the utilities are installed or the
order of interweaving utility networks, roads, and buildings, buildings are erected. This survey is used to determine if
surveyors bring the plans to reality. The surveyor executes the structure is within the easement and if it is built ac-
the mathematical calculations associated with the layout of cording to plan. The accuracy and quality of new sewer
the site and the field surveys that accurately reflect these lines, waterlines, and streets, as well as their adherence to
calculations. Legal and practical standards demand preci- approved construction plans, must be proven to the mu-
sion in two directions simultaneously: the horizontal and nicipality before it will assume responsibility and control of
the vertical. To fulfill these requirements, a surveyor must the new system. As-built surveys also confirm that the con-
research the existing land records, apply coordinate geom- structed project complies with applicable codes and ordi-
etry, and prepare a boundary and topographical survey be- nances.
fore any site construction can commence. In construction Typically, the construction-stakeout sequence begins
stakeouts, surveyors align the design intentions with the with clearing and rough grading stakeouts, followed by
field conditions and provide a ‘‘last line of defense’’ against stakeouts for the sanitary, storm and water lines, as well as
potentially costly design errors. A licensed professional sur- the curb and gutter, building footprints, power, pavement,
veyor must interpret and implement various federal, state and property corners.
and local laws and restrictions, satisfy legal and ethical State This chapter outlines the typical construction-stakeout
Board requirements, and produce trustworthy data. Once procedures and technologies most typically employed by
the plans are finalized and construction contracts are today’s surveyors. However, it should be noted that ad-
awarded, surveyors then begin the construction-layout pro- vancing technologies have the potential to alter the con-
cess. struction-stakeout process radically. For example, the
Three frequently used terms relating to construction sur- Global Positioning System (GPS) can establish positions on
veying are location, stakeout and as-built. the earth’s surface with reasonable accuracy. Many surveyors
Location refers to the type of survey where a specific, are now using GPS to conduct construction stakeout, al-
existing feature is measured both horizontally and vertically though certain factors, such as the cost of the equipment,
from known control points. The data is then computed, and limitations, especially in vertical accuracies, have
plotted and incorporated into the design. slowed what would otherwise be widespread use. Undoubt-
Stakeout is the field process in which the surveyor pro- edly these disadvantages will soon be overcome.
vides in-ground reference markers for the builder that phys-
ically delineate the placement of utilities, streets, and Construction Stakeout Fundamentals
buildings. Construction stakeout, or layout, is necessary in Stakeout Markers. For construction purposes, the
every phase of construction, from the initial clearing of the marker of choice usually consists of a hub, a tack, and a
site through the setting of final property corners. stake. A hub is a 2-in by 2-in wood peg, approximately 8
893
CONSTRUCTION STAKEOUT SURVEYS
894 C O N S T R U C T I O N
in long, with a pointed end that allows it to be driven easily to actual centerlines to preserve vital reference points. The
into the ground. The hub is driven flush with the ground. distance from the actual centerline to the stakeout line is
The measurement point is indicated by a surveyor’s tack, the offset distance. The offset’s length is controlled by depth
which is driven flush into the hub. The vertical point of of excavation, width of the excavating machinery, the lo-
reference coincides with the highest part of the hub. In data cation of construction materials, traffic, and sometimes by
collection, the tack is located horizontally and vertically, governing authorities. The offset distance is marked on the
and this is duly noted in the surveyor’s notes. A stake, made guard stake, and the position of the offset is labeled left or
of plastic or wood, is a slat with one pointed end to be right as determined by the direction of the increased sta-
driven into the ground. It bears written information ex- tioning.
pressed in symbols, numbers and abbreviations, and it The offsets must remain undisturbed but not too far for
marks or ‘‘guards’’ the true horizontal and vertical point, convenient use. Quite often a contractor will request a spe-
which is the hub. The guard stake is placed such that the cific offset distance. When the work is ordered, it is wise
side with the offset distance faces the item being staked. to confer with the foreman upon arrival at the site. The
Other types of markers used in stakeout include steel bars, plan and profiles should be consulted to determine the
spikes, nails with flagging or washers, chiseled marks in amount of cut, as that determines the top width of the
concrete, drill-holes, and so forth. trench and the amount of excavated earth that will be piled
Stakeout markers and accompanying information are adjacent to it (see Figure 35.2).
used to indicate points of construction to the contractor, Offset stakes typically are labeled in this order: distance
but they may also be used as reference control points for of offset, identification of object being offset, and the sta-
subsequent surveys. Job sites are replete with construction tion. Vertical information is written on the back of the guard
activities, and, as a result, the hubs and guards are often stake. Symbols and abbreviations typically are used. Some
buried, dug up or otherwise disturbed. Frequently, this can- examples are provided in Table 35.1.
not be avoided. Cooperation between the surveyor and con- Stationing. Stationing is a method of designating dis-
tractor is necessary to schedule the construction stakeout tances from known points on the site, usually measured in
for a specific phase and to place the stakes in areas where multiples of 100 ft. The beginning point typically is des-
they are not disturbed prematurely by other construction ignated as station 0, written as 0⫹00. A point 100 ft away
activities but remain in areas convenient to the contractor would be station 1, written as 1⫹00. However, to avoid the
(see Figure 35.1). use of negative stations (e.g. -1⫹50), the beginning station
Offsets. If the stakeout markers were placed on an actual is sometimes designated as an arbitrary full station other
centerline, they would be lost because of excavation and/ than 0 (e.g. 10⫹00). Stations at even multiples of 100 ft
or grading and general construction traffic. Therefore, are considered full stations. Intermediate points between
stakeout markers are set along lines parallel or concentric full stations are called pluses; for example, a point 34.23 ft
from station 1 is station 1⫹34.23 (pronounced as station
‘‘one plus thirty four point two three’’). Stationing is the
common method used on centerlines of streets and utilities
and along the baselines of streams. For sanitary-sewer sys-
tems, storm-sewer systems, and streams, a common prac-
tice is to orient the stationing system such that the stations
increase in the upstream direction.
An equality is used at points of intersections or to des-
ignate a change in the station numbering system. For ex-
ample, a point of concern occurs when a waterline crosses
over a sanitary-sewer line. An equality is used to correlate
the stationing of the sanitary line with the waterline. That
is, the equality consists of equating the waterline station to
the sanitary-sewer station at the point where they cross each
other. Equalities are also used at street intersections. For
example, a station equality is shown at the point where the
two streets intersect, and this identifies (i.e. equates) the
station street to the station of the intersecting street. An
example of a station equality of two intersecting streets is
9 ⫹ 51.22 CL Main Blvd ⫽ 2 ⫹ 07.10 CL Crossing Drive
(see Figure 35.3).
Leveling Methods
Differential Leveling. After the offset hubs are set, their
elevations are established to create a vertical reference for
F IGURE 35.1 Hub and tack with guard stake. the contractor’s use. Most construction-stakeout elevations
35 䡲 CONSTRUCTION STAKEOUT SURVEYS 895
F IGURE 35.2 Open trench, pipe invert and offset line.
are obtained by differential leveling. This procedure consists reserved for sketches and/or additional descriptions. (See
of running a level circuit between a minimum of two con- Figure 35.6 Field notes.)
trol points and obtaining rod readings on the hubs as the When jobsite benchmarks are established, they must be
circuit progresses. The level circuit itself is a series of adding set in practical locations safe from harm. They must also
and subtracting rod readings to obtain differences in ele- possess an accurate elevation, proven by inclusion as a turn-
vation. Once the height of the instrument is established, ing point in a level circuit, which should produce an ac-
any subsequent rod shot need only be subtracted from the ceptable closure. Recommended benchmark locations
H.I. to determine the elevation of that point (see Figure include a nail or spike driven into a save-tree, a corner of
35.4). In construction-stakeout surveys, the observations of an existing storm structure, a flange bolt on a fire hydrant,
a number of offset hubs may be made from one instrument or a re-bar or pipe driven flush into the ground.
set-up, but these elevations are technically unproven since Three-Wire Levels. Three-wire levels are used when
they are side-shots and not a contiguous part of the run. greater accuracy is necessary. Many leveling instruments are
Therefore, key points of the stakeout are turned upon in the equipped with three horizontal cross hairs. The top and
course of the level circuit. A turn consists of reading the bottom cross hairs are often called stadia hairs (or wires).
rod on a stable point, changing the height (and location) of The middle hair, at the center of the scope, represents the
the instrument as needed, and reading the rod again. As horizon line of the instrument. On most internal focusing
part of a continuous-level run, the turn is an integral arith- instruments, the spacing of the stadia hairs creates a pro-
metical component and is proven by the final check-in at portion of 1 ft to each one hundredth of a foot intercepted
another known benchmark (see Figure 35.5). Successful on the rod. In three-wire levels, the rod is read at each
turns should be balanced, roughly using the same distance intercept: top stadia hair, middle cross hair, and bottom
for backsight and foresight, to eliminate any adjustment er- stadia hair. The readings are made to the thousandth of a
ror in the instrument. Also, when reading high on the rod, foot by visually dividing a hundredth on the rod into ten
the rod can be rocked gently to and away from the instru- parts. The readings are added together and divided by three
ment. This allows the instrument operator to read the least to obtain the mean value. The mean should equal the mid-
graduation on the rod, eliminating the error created by an dle cross hair reading, or be within one thousandth of a
out-of-plumb rod. foot difference, to be valid. Good results may be obtained
Leveling notes are kept in columnar form, using stan- if only the first section of the rod is used (because of pos-
dard survey field-book paper. Each column has a set func- sible movement in the rod section clamps), each shot is
tion in the notes, and the facing page, which is gridded, is balanced, and distance from level to rod does not exceed
TABLE 35.1 Surveying and Mapping Symbols and Abbreviations
80 ft. The notes are kept in the same fashion as for differ- difference in elevation between the point where the
ential leveling. (See Figure 35.7 Three-wire level.) prism/rod is being held and the instrument’s horizon line.
Trigonometric Leveling. Trigonometric levels can be ac-
complished using a total station and prism pole, a total Notekeeping
station and data collector, or a traditional level and rod. It Note keeping is a vital component of the survey crew’s
applies the properties of a right triangle to determine dif- work. A set of field notes record the date, the crew’s identity,
ferences in elevation. As shown in Figure 35.8, the vertical and the work performed. Depending upon the purpose of
angle between the instrument’s horizon line and an inter- the survey, the information and data may be used by de-
cept of the rod or prism is measured. The slope distance signers, engineers, contractors, and other surveyors.
and/or horizontal distance is also measured. With this in- As-built locations, profiles and topographical survey
formation, the opposite side can be calculated and the notes provide designers and engineers with three-
prism height or rod-intercept height applied to obtain the dimensional descriptions of existing terrain and features.

F IGURE 35.3 Example of street stationing.

F IGURE 3 5 . 4 (a) Establishing height of instrument (b) Deter-
mining elevation at a point.
Stakeout level notes and location survey sketches supply
contractors and surveyors with the horizontal and vertical
data necessary to create an accurate cutsheet. Sketches of removed, records of notes and drawings of the work per-
traverse and centerline street references and TBM (tempo- formed make it easier to reproduce the lost positions and
rary benchmark) notes may furnish the starting point for resolve any discrepancies during and after construction.
many of the subsequent surveys. The use of total stations, equipped with data collectors,
The field note-keeper functions as the ‘‘eyes’’ for the of- does not eliminate the need for field notes and sketches. A
fice personnel; their accurate sketches and observations jobsite fieldbook should be maintained for handwritten
convey vital horizontal, vertical, and other descriptive in- notes, which accompany the digital data. Field sketches
formation. Moreover, these notes should provide the survey could include outlines of buildings and structures, dimen-
office with the means to check the accuracy of fieldwork sions, measurements, types of materials, pipe sizes, descrip-
before structures are built. tions, data-collection point numbers, and other pertinent
Good notes should be clear, complete, and self- facts. In the office, handwritten notes and sketches can be
explanatory. Proper notation should be used, along with scanned from the fieldbook and added to the jobsite data-
terminology and symbols standard to the profession. base along with the raw and adjusted digital-data files.
Sketches can convey a great deal of information if they are
BASIC PROCEDURES
organized and show all pertinent measurements and obser-
vations. An important aspect of a construction stakeout is Office Preparations
to keep good records of the work performed. A surveyor Office preparation for construction stakeout includes con-
must always be prepared to defend his work in this litigious ferring and scheduling with the client, obtaining up-to-the-
world, and proper documentation is the key. As stakeout minute plans, computing necessary stakeout points,
markers are easily and frequently disturbed or accidentally drafting the layout, and preparing the jobsite folder. The

F IGURE 35.5 Establishing HI at a turn.
client has specific needs and deadlines and the field crew’s
schedules must be organized accordingly, with the para-
meters of the work understood by all. The need for special
surveys, such as blasting stakeouts, burn or borrow pit
stakeouts, grid stakeouts, or multiple offsets, will be dic-
tated by the terrain of the site, the local utility requirements
and restrictions, the equipment and materials used in con-
struction, and any problems that may be encountered along
the way.
F IGURE 35.7 Three-wire level.
Every construction stakeout involves three important

sources of information: the surveying layout plan, the rec-
ord plat, and the approved construction drawings. The sur-
veying layout plan has the boundary, traverse and other
control points plotted on it. When the client calls for a
stakeout of a particular item (e.g., sanitary sewer), the per-
tinent information is transferred from the construction
drawings onto the stakeout-layout plan. Bearings and dis-
tances from control points to the stakeout points are com-
puted and shown. As construction progresses and more
stakeout work is requested, new information is added to
the hard copy. The original drawing is kept in the office
F IGURE 35.6 Field notes. and is updated with this additional stakeout information. A

and any other known horizontal-control points. A mini-

mum of two positions must be intervisible to begin the
survey, so that the instrument can occupy one and back-
sight the other. Other control points must be recovered to
check the work. As the instrument is set up at new posi-
tions, it is recommended that an angle and distance be mea-
sured to a known control point to verify field computations.
The backsight serves to orient the surveying instrument.
A pre-determined azimuth is established between the in-
strument’s station and the backsight station, and this ena-
bles the instrument operator to execute new angular
directions. A late-model geodetic surveying instrument is
capable of turning an angle to the nearest tenth of a second,
but for most construction layout purposes, a 20-second in-
strument is adequate. (Note: trigonometrically, 20 seconds
F IGURE 35.8 Trigonometric leveling.
of angular error projected to a distance of 100 ft yields only
0.01⬘ of error, a displacement well within the acceptable
copy of the layout plan is made to accompany the field limits for almost all types of construction. There are meth-
crew. A list of the coordinates may also be sent along with ods that, when applied, can further refine the accuracy of
the original, in case the field crew needs to perform any a 20-second instrument.) Advancements in electronic tech-
calculations in the field. nology will undoubtedly make total stations and data
When total station and data collectors are used, the co- collectors more affordable and more precise, making con-
ordinates and elevations can be uploaded into the instru- ventional surveying instruments virtually obsolete.
ment to facilitate the stakeout. This reduces the need for a The method of distance measurement used by the sur-
detailed layout plan and minimizes the field calculations. veyor is dependent upon the desired level of accuracy. The
The plat of record contains bearings, distances, restric- variety of construction stakeout duties requires skills in pac-
tions, notes, easements, curve information, and approvals ing, chaining or taping, and in working with total stations
of the subdivision or individual tract of land. The construc- and data collection systems to measure distances, depend-
tion drawings impart details necessary to the proposed con-
ing upon the type of survey and the degree of accuracy
struction. A typical set includes an index, a legend of
required.
symbols, typical street cross-sections, site plans and typical
After a reconnaissance is complete, the party chief must
layouts, sanitary plans and profiles, storm sewer computa-
form a logical sequence for the survey, based upon the
tions and profiles, waterline profiles, and street plans and
points recovered, stakeout desired, on-site obstacles, and
profiles, all of which are vital to the survey stakeout team.
the distances involved. While a timely survey is desirable,
The surveyors have the opportunity to recognize any prob-
accuracy is a necessity. The party chief should have a firm
lems, or potential problems, between design concepts and
grasp of trigonometry and coordinate geometry, because of
actual construction methods as the layout plan and stakeout
the number of computations that are often solved in the
ties are produced in the office. When necessary, a solution
can then be determined in conference with the site-design field, such as circular-curve deflections, radial bearings and
engineers, local government officials, and the client. chords, inverses using coordinates or bearings and dis-
Two jobsite folders are prepared: one for office referral tances, and intersections using bearings and/or distances.
and one for the field. The office file contains house tem- This knowledge is necessary to trouble-shoot possible prob-
plates and plotted overlays, originals of special surveys, lo- lems in the plans, create alternative ways to perform a sur-
cations of structures, utilities, test holes, burn pits, borrow vey, and to provide mathematical checks and corrections to
pits and monarch trees, encroachment checks, and ease- work in progress.
ment plats. The field folder might be divided into sections First and foremost is the need to check the work com-
like TBMs and REFs (Temporary Benchmarks and Refer- pletely. There are routine checks in mathematical compu-
ences), COORDINATES, DEFLECTION SHEETS, HOUSE tations and there are routine checks in ‘‘laying out’’ and
STAKEOUTS, CUTSHEETS, and MISCELLANEOUS. Along ‘‘staking’’. A minimum of three control stations are needed
with this folder and up-to-date copies of the layout plan, to layout and check a survey. Ideally, the instrument oc-
record plat, and construction drawings, the construction cupies one control station while another control station is
party chief is equipped with the viable horizontal and ver- sighted. Then the surveyors measure a computed angle and
tical data needed. distance to the beginning point of the stakeout. The instru-
ment is moved ahead to the new point, the last station
Field Procedures occupied is backsighted and a new angle and distance is
On site, the survey party will perform a reconnaissance of measured, this time to a third control station. If this checks,
the area, looking for the traverse stations, property corners, then the accuracy of the beginning point is established. For

a lengthy stakeout, the instrument is moved forward to each In the office, up-to-date plans are assembled, coordinates
subsequently-set point, backsighting the last, so that the are generated, and point number plots are created. The data
whole series is proven to a known control station at the is loaded into the data collector and readied for the field.
final check-in (see Figure 35.9). In the field, the station occupied, height of instrument, el-
evation of station, and backsight and foresight information
Using Total Stations and Data Collectors for Stakeout are entered into the data collector. Once this is accom-
The data collector is capable of storing a jobsite’s entire plished, the actual backsight and foresight are taken, using
coordinate-geometry file. These ‘‘electronic field books’’ the total station and a prism target. The data collector can
store and collect data and interface directly with a ‘‘total determine the horizontal and vertical position of the oc-
station’’ instrument and a computer. With this information, cupied station for comparison and check. Once the occu-
the data collector computes coordinates from distances and pied position is verified, the ‘‘radial stakeout’’ can
angles and vice versa, performs inverses, intersections and commence.
resections, determines stationing and offset positions, ele- A ‘‘radial stakeout’’ is a method where many or all offset
vations and cuts and fills. The computed information can points are established from one instrument set-up. This
be stored for field or office reference and record-keeping method is best when used with a total station and data
purposes. collector. However, a radial stakeout can be risky if not
F IGURE 35.9 Field sketch to accompany data-collection.

where errors in coding, prism height, backsight or foresight

entry can be corrected. After the data is downloaded into
a computer, plottings can be made of the work.
Errors in Stakeout Surveys

There will always be a certain amount of error in a stakeout
because of weather, equipment, terrain and human fallibil-
ity. A survey party chief knows the tolerances of acceptable
error. Stakes that are set for controlling earthwork activities
need only to be within 1 ft horizontally of the plan location,
whereas stakes set for house construction must be accurate
to the nearest hundredth of a foot. Each type of stakeout
must be analyzed in light of: what is its purpose, how will
it be used, and can these points be used for another survey?
With this knowledge, the amount of tolerable error can be
determined, and if it is exceeded, the source of error must
be found and corrected.
After the stakeout is complete, the survey crew should
‘‘step back’’ and look at the ‘‘big picture’’ of the stakeout.
Too often the same attention to details and intricacies and
the level of effort used to set individual points is not given
to the overall task. Taking time to view the stakeout from
a farther or different vantage point or comparing it to the
construction drawings may disclose an obvious error or
blunder. The cost of this short amount of time is inconse-
quential when compared to the cost of re-staking, recon-
structing or replacing dirt, concrete, and asphalt.
Referencing Points in Construction-Stakeout Surveys

F IGURE 35.10 Surveying layout plan.
References enable the original survey to be reconstructed
with minimal effort. Those staked points that are either in-
followed with a series of checks. Before the stakeout begins, tended for later use or that are anticipated to need replace-
the party chief should compare information from the plans ment because of disturbance should be referenced to other
and profiles with information computed by the data collec- permanent points. In Figure 35.11, a street centerline was
tor. Using the feature that computes inverses between staked, and because of the survey accuracy, it became a
points, the party chief checks street widths, offset lengths, desirable baseline for all future work. Since the street was
distances between structures, and building dimensions. As under construction and was the only road for construction
the stakeout progresses, the backsight should be checked traffic, the entire initial survey would have been lost with-
periodically, and before moving the instrument to a new out the references. Note that each reference line is set per-
location, to insure the accuracy of the instrument’s orien- pendicular to the tangents of the centerline, and that the
tation. Good communications between the instrument op- distances from centerline are a minimum of 50 ft, well out
erator and the prism handler should be maintained to of harm’s way. To reconstruct each centerline point, the in-
insure accurate entry of prism height for each instrument strument is set over the reference point nearest to the cen-
reading. Wherever possible, angles and distances to other terline, the farthest reference point is sighted, and then the
known control points should be made from the key points line is projected to the street at the distance noted. Later,
of the stakeout. Distances between offsets and centerline of when the street has curb and gutter, the references can be
stakeout can be checked quickly by taping. Finally, a lo- chiseled into the concrete on both sides of the street serving
cation of key stakeout points should be made from a known as replacements for the original temporary references that
control point that was not used as part of the survey. This could be destroyed during house construction. Every time
provides verification and a record of the points staked. a point is referenced, a sketch is drawn and placed in the
Back in the office, the data is downloaded into a com- jobsite folder, providing the next survey crew with the de-
puter. It is recommended that no more than one day’s worth scriptive information long after the directives on the original
of work be allowed to accumulate in the data collector. The stakes have become illegible. Figure 35.12 illustrates other
party chief is consulted for the initial edit of the data file, ways to reference points in the field.

F IGURE 3 5 . 1 2 Reference-staking methods. Courtesy of

Brinker, R., and R. Minnick, The Surveying Handbook, New York: Chapman
& Hall.
the profile or computed based on the finished grade ele-

vation and the minimum cover to the pipe. In street and
parking areas, the top of curb elevation or edge of pavement
typically is used in the cutsheet calculations. Top of curb
elevations in streets are easily determined from the longi-
F IGURE 35.11 Example of point referencing. tudinal grades and the typical section of the street. How-
ever, computing top of curb elevations in parking areas is
not as straightforward. Because parking pavements have
Cutsheets variable and non-uniform longitudinal slopes and cross
The cutsheet is a method for organizing and presenting slopes, the proposed elevations are computed from given
stakeout calculations. For surveyors, it is a record of what spot elevations or by using judgment. When the plan is too
was done in the field. However, contractors use it to estab- vague to determine a workable elevation, the surveyor
lish line and grade for buildings and trenches, while mu- should immediately consult with the design engineer.
nicipalities may require it as part of the permit/inspections The cutsheet is one of the last points in the design pro-
process. A typical cutsheet form is shown in Figure 35.13. cess where errors and conflicts can be caught before they
Specific cutsheets can be tailored for a particular type of become costly to rectify. The individual computing the cut-
stakeout. sheet should watch for conflicts where pipe and other utility
After the stakeout and elevations for the hubs have been crossings occur, check to see that minimum depths are ad-
established, the field notes and construction drawings are hered to and be attentive to other possible engineering, field
used to fill out the cutsheet. The column labeled STAKE and construction conflicts. The contractor needs the cut-
EL. represents the offset hub elevation as determined in the sheet information to begin construction. Typically, it should
field, while GRADE EL. is the proposed elevation of the take less than a day or two from the completion of the field
invert at the pipe centerline or at the exact point of con- stakeout to prepare the cutsheet and return it to the con-
struction (e.g., top of curb, corner of bldg.). This elevation tractor.
is taken from the plan or profile of the construction draw- Descriptions and examples of cutsheets for particular
ings. The difference between these two values is the amount stakeouts can be found throughout this chapter.
of cut or fill.
Proposed grades for gravity flows are computed using CLEARING STAKEOUT
the invert elevations and the slope of the pipe. Elevations On a wooded site, the first stakeout usually requested es-
to inverts for pipes carrying pressure flows are scaled from tablishes the clearing limits. Trees enhance a property’s
F IGURE 35.13 Typical cutsheet.
value, and parcels with stands of trees often command erosion and runoff problems and may violate local arboreal
higher prices. Contracts may be lost and lawsuits filed if regulations, resulting in fines and/or mandated replacement
the wrong trees are removed during the clearing phase of of the lost trees. Conversely, allowing too few trees to be
construction. The site plan shows the limits of clearing, and removed results in a costly and time-consuming resched-
it is important to adhere to this limit-line with little devi- uling of tree removal equipment, thus delaying other con-
ation. Allowing too many trees to be removed may create struction activities.
In the past, a clearing limit was accomplished using a On a large site, a data collector is generally used. Co-
plane table and alidade. The main disadvantage of this ordinates are computed for points along the clearing line
method was that alidades have no horizontal circles; there- and the data is uploaded into the data collector. In the field,
fore, there would be no record of the instrument angles the data collector provides the angles and distances from
produced, should someone question the work later. At best, the occupied station to any point desired. The points that
the distances used could be written next to each main are actually set can be located and stored in the data col-
point, but this might not have provided enough evidence lector and plotted in the office later, serving as a check of
to prove field accuracy. the work.
Presently, most clearing stakeouts are performed using a In the field, control points are recovered and referenced
total station and prism pole, either with or without a data if they appear threatened by the clearing operation. As each
collector. On a small site, the clearing limit can be scaled point of the clearing limit is established, the rodperson ties
and protracted directly on the site plan (see Figure 35.14). a streamer of flagging before moving onto the next logical
A straight-edge is used to draw spokes from the instrument- point. The person at the instrument must make certain that
occupied station to each main point of the clearing limit. the points are spaced at intervals so as to be intervisible
Next, a protractor is aligned on the plan, with the zero through the woods and to guard against the loss of accuracy
degree mark placed on the backsight station, and the angle caused by spacing the tie points too far apart in a curve
to each spoke is noted and recorded to the nearest half (following a chord instead of an arc). After the key points
degree. Then each distance is scaled to the nearest foot and are set, they are connected by running flagging between
the results written next to the angle of that line. This them. It is tied high and secured well so it will remain
method is desirable as it leaves a written record of the per- undisturbed by the weather and out of reach from any chil-
formed stakeout. dren who might wander onto the site. In areas where van-
F IGURE 35.14 Protracted and scaled-clearing stakeout.

dalism may be a problem, the contractor may request that Reference points to selected centerline hubs may be set
the trees be marked with paint as well. Flagged trees along if the stakeout proves accurate. Being able to re-establish
a limit line are left standing, a fact that must be considered the centerline from reference points rather than from con-
before tying or painting a dead or damaged tree. trol points several thousand feet away saves time and
The party chief makes sure there is sufficient width money.
flagged on the utility easements to accommodate the depth Elevations are determined for all the hubs, starting at the
of the trench and working room for the machines. In ad- point where the street construction is to begin. On most
dition, the party chief may decide to flag a slightly larger projects, street construction begins where the intersection
area if the clearing limits seem tight in relationship to the of the proposed street meets an existing street near the
proposed buildings. Finally, the party chief should locate boundary of the site. From here the construction proceeds
any specimen or monarch tree that may be a borderline towards the interior of the project. In addition to providing
case for removal. In an effort to save such a tree, the field a beginning point where the elevation of the proposed street
location notes are plotted by the survey office personnel is assured of matching the elevation of the existing street,
and sent to the planners and engineers to make a deter- this practice provides a logical order for surveyors to check
mination. the work against the plans and supplies the contractor with
If rights-of-way or easements alone are requested for a a cutsheet starting at the most accessible beginning point.
clearing stakeout, another procedure can be used. The cen- If the cutsheet provides cut and fill depths to the finish
terline of the street, right-of-way, or easement is staked grade of the street, the contractor is responsible for deriving
every 50 or 100 ft. Again, it is good practice to measure an the subbase elevations.
angle and distance to a known control point to verify the
stakeout. Once this is accomplished, distances to the clear- Slope Staking
ing limits can be measured from right and left of the cen- Engineering projects such as road and rail beds, ditches,
terline points. and canals often use slope stakes to define the limits of
excavation and grading. The slope stake is referenced to the
‘‘catch point’’; the intercept is where the finished side slope
GRADING
meets the original ground surface. Slope stakes are espe-
Street Grading cially helpful to the contractor in areas of cut where the
The centerline of streets is generally used to control the catch point is less apparent than in areas of fill.
horizontal and vertical limits of their construction. For sub- To begin the survey, the centerline of the road or ditch
division streets, the stakeout consists of setting hubs at the is staked at regular intervals and elevations are determined
centerline’s main points, such as PCs and PTs, and at 50-ft at each station. The next portion of the survey, setting the
intervals. As a check, ties (measuring angles and distances) slope stakes for each station, uses a level, leveling rod and
are made to control points from selected PCs and PTs. The a measuring tape. The objective is to find the catch point
ties are made when control points can be sighted and mea- left and right of each station, and this is achieved by using
sured without too much difficulty from the selected points Eq. (35.1) and a series of trials:
on the centerline. However, it is a rare situation when ties
w
can be made frequently as the stakeout progresses. Typically, d⫽ ⫹ hs (35.1)
early control points are near the project’s boundaries. There- 2
fore, ties are made as the street stakeout nears the bound- where, d is the measured horizontal distance from center-
aries. line to the catch point, w is the plan width of the roadbed
The outside limits of the grading for the street can then or ditch, h is the cut or fill at the centerline, and s is the
be established by measuring, radially or perpendicular from side-slope ratio.
the centerline hubs, the necessary distance. In most cases, These parameters are shown in Figure 35.15. As shown,
the horizontal accuracy required for setting the outside lim- the inherent horizontal error in Eq. (35.1) is because of the
its for the rough grading is approximately 0.5 ft. The stake- variation in depth, h, at the centerline and the actual depth
out for the street is set on the actual centerline rather than at the catch points hL and hR. For this reason, setting of
offset. Although this might obstruct the equipment opera- slope stakes in the field becomes a trial-and-error process.
tors as they grade around these points, the close proximity To begin the process, the level is positioned and an H.I.
of the points allows the contractor to set the street grades established by taking a rod reading on the centerline station
accurately, even in the rough-grading phase. Evidence of the previously established. From the plans, the final road-grade
saved points within the grading area are apparent on con- elevations along centerline and the typical cross-section
struction sites, where one can see numerous nearly cylin- side-slopes are extracted for the calculations. The difference
drical mounds with guard stakes and surveyor’s flagging on between the H.I. and the finished-grade elevation is known
top. When the street is brought to grade, these mounds are as the ‘‘grade rod’’. The difference between the rod reading
easily removed. at a trial location and the H.I. is known as the ‘‘ground

29.5 ⬇ 29.4. This is within 0.1 ft of where the

rod is being held, so the catch point is recorded
at 29.5 ft from the centerline and the depth of cut
is recorded as 8.7 ft (13.0 ⫺ 4.3). The catch point
is then offset, away from centerline, and the stake
is marked to express the information to the con-
tractor. The front of the stake indicates the offset
distance to the catch point, the cut or fill from the
catch point to the finished centerline grade, and
the station. The back of the stake indicates the
offset distance to the centerline and the cut or fill
from the offset elevation to the finished centerline
grade (see Figure 35.16).
F IGURE 35.15 Slope staking.
Construction plans for many subdivision streets contain
a contour-grading plan or street cross sections. If the top-
rod’’. The ground rod is variable and depends on the trial ographic maps used to create these are reasonably accurate,
location, whereas the grade rod is constant for a given cen- the catch points can be scaled directly from these drawings.
terline station. The cut or fill at any trial point in the section
is figured by subtracting the ground rod from the grade rod. Overlot-Grading Stakeout
The equation can then be expressed as On many well-designed projects, the earthwork will bal-
w ance; that is, the volume of cut will equal the volume of
d⫽ ⫹ s(grade rod ⫺ ground rod) (35.2) fill (see the Grading and Earthwork chapter). However, in
2
many projects, the cut areas are a considerable distance
The objective in the field is to find a ground rod such from the fill areas. Consequently, the dirt must be hauled
that the right side of Eq. (35.2) is equal to the distance from one place on the site to the other. Overlot grading is
from the centerline at the location of the rod reading. one phase of grading where the site is mass-graded to bring
the entire sight closer to the finished grade. In residential
EXAMPLE in this example, the road width is 24 developments, this usually includes transporting dirt from
ft, the side-slope ratio is 2:1, the finished-grade ele- one lot to another lot to minimize grading operations dur-
vation at the centerline is 29.0 ft, and the H.I. is at ing house construction. Typically, such grading operations
elevation 42.0 ft. are associated with commercial and high-density residential
1. The ‘‘grade rod’’ is 42.0 ft ⫺ 29.0 ft ⫽ 13.0 developments.
ft. Using Eq. (35.1), the first trial distance from For projects that require a large amount of earthwork,
the centerline is 38 ft. an overlot-grading stakeout may be requested. Overlot
grading can be accomplished with a grid stakeout or a con-
24 tour stakeout. The need will dictate the means.
d⫽ ⫹ 2(13) ⫽ 38 ft (35.3)
2 Grid Stakeout. Grid stakeouts are performed when the
earth base must be relatively accurate. To insure a reason-
At a trial distance of 38 ft, the rod reading is 4.2. able degree of accuracy, the grid points are usually staked
38 ⬅ 12 ⫹ 2 (13.0 ⫺ 4.2) (35.4) at a close interval. Depending upon the size of the project,
25 to 100-ft grid intervals can be used, and cuts and/or
2. Use this information and Eq. (35.2) to see if fills are determined for each grid point. When establishing
the right side of the equation balances the left. the grid in the field, a matrix numbering system helps iden-
Obviously 38 ft ⫽ 29.6 ft. The left side of the tify each grid point. One method is to label each grid in-
equation must decrease and the right side must tersection with a number and a letter. The number
increase, so the rodperson is directed downslope represents the line in one direction, and the letter represents
or closer to the centerline. a line perpendicular to it. This identification is written on
3. The second trial, at 29.6 ft from centerline, a stake and placed at the intersection of the two lines. The
yields a rod reading of 4.3, which when placed in grid is superimposed atop the grading or site plan. The
the equation shows: 29.6 ⫽ 12 ⫹ 2 (13.0 ⫺ 4.3), amount of cut or fill is determined from the difference be-
producing a value of 29.4 ft for the right side of tween the existing and proposed grade at each grid point.
the equation (29.6 ⫽ 29.4). The grid-point elevations are interpolated between con-
4. Moving the rod to a location of 29.5 ft from tours, spot elevations or building corner grades. A copy of
centerline produces a ground rod of 4.3 ft. This the grid layout is furnished to the contractor along with the
final trial yields 29.5 ⫽ 12 ⫹ 2 (13.0 ⫺ 4.3); thus, cutsheet.

F IGURE 35.16 Setting and marking slope stakes. Courtesy of Virginia Department of Transportation, Location & Design Division, Survey
Manual 1991.

Contour Stakeout. Contour stakeouts typically are used invert of the line to be staked is the beginning, its offset
for ponds, berms, and slopes. A contour stakeout transfers hub is called the IN, and its station designation is typically
selected contour lines from the plan to the field to guide 0⫹00. If the length of the sanitary line to the next manhole
the earth-moving operations. The key points to be staked is 100 ft, then the offset station for that manhole is 1⫹00
are determined from the plan using such methods as pro- and is called the OUT. Another hub is set for this same
tractor and scale or grid coordinates. When selecting these manhole and designated as the IN (see Figure 35.16). This
points, their spacing and location must take into account hub is 90⬚ from the bearing of the pipe line entering the
the maneuverability of the grading equipment. The stakeout manhole. At this hub the stationing reverts back to 0⫹00
markers should be highly visible to the equipment opera- again before proceeding to the next manhole. In this man-
tors, sometimes necessitating the use of 4-ft-tall stakes ner, the actual distances between manholes are self-evident
guarding the hubs. Tall stakes also provide ample room for and can be readily compared to the construction plan, the
cut, fill, and grade markings, the proposed contour, and the stakes and the cutsheet pluses.
elevation of the hub. Once the manhole offsets are staked, the rest of the offset
The stakeout can be achieved with transit and tape, or line can be set. The transit occupies a manhole offset hub,
a total station/data collection system. After the hubs are set, backsights the manhole centerline and turns 90⬚ to fore-
elevations are obtained and a formal cutsheet is issued sup- sight the next manhole’s offset. This check assures that the
plying the cut and fill information. offset distance is the same as the length of the line between
manholes. Intermediate stations are staked, the stakeout
SANITARY SEWER STAKEOUT length is checked for compatibility to the profile, and the
The design, construction and operation of the sanitary distance is scaled on the plan view as a check. The offset
sewer is based upon gravity-flow, hence the importance of line stations between the OUT and the IN are generally set
pipe invert elevations. Proper sewerage can use a force main every 50 ft, but if the terrain is steep, 25-ft stations may be
system, but it is costly and prone to mechanical failure. required to insure that the pipe crew has enough horizontal
Most engineers use the time-honored ‘‘water runs downhill’’ and vertical checks as the line progresses.
approach. A manhole is constructed at each horizontal After the offset hubs are set, elevations are run on the
change of direction or vertical grade break in the pipe. Each stakeout. The existing manhole where the stakeout began
manhole, existing and proposed, has a minimum of three is accurately located with the top rim used as a turning
important elevations: the top, the invert elevation(s) of in- point in the level run. The existing pipe inverts are mea-
flow pipe(s), and the invert elevation of the outflow pipe. sured down from the top elevation. If the proposed sani-
Some types of manholes are built with the centerline of
the cover offset from the centerline of the main barrel, and
this may be 1 to 2 feet. The point used to locate the man-
hole depends on the purpose and intent of the survey. For
as-built surveys and construction purposes, the center of
the barrel structure is crucial to pipe slope, pipe length,
and easement calculations. For topographic surveys, the
center of the manhole cover is often sufficient.
The construction drawings and the record plat contain
the information pertinent to the stakeout preparation. Bear-
ings, distances and widths of easements are shown on the
record plat and plotted onto the stakeout hard copy. Ties
are computed from known control to the centerline of man-
hole structures. After the centerline of the manholes are set
and checked, the offsets are then staked.
Occupying the centerline of one structure, the next
structure centerline is sighted. A 90⬚ angle is turned for the
offset. The offset distance from centerline is based upon the
sewer depth shown in the profiles. Accommodations must
be made to allow for the distance required by the interre-
lation of trench depth and width, and the presence of the
dirt pile. Twenty feet is often sufficient.
The stakeout proceeds in the direction opposite that of
the proposed flow (i.e., upstream). The backhoe begins at
the lowest point of the stakeout, usually an existing man-
hole, and digs progressively up the line, ‘‘out’’ of the lower
manhole, ‘‘in’’ to the higher manhole. The lowest manhole F IGURE 35.17 Typical sanitary-sewer stakeout.

tary-sewer line is tying into an existing sanitary line

between two manholes, both existing manholes must be
located vertically and horizontally. The distance between
them is measured to determine the slope of the existing
pipe.
When the level circuit is run, the IN and OUT hubs are
used as turning points to assure accuracy. Two benchmarks
are used to prove relative accuracy. If the stakeout is in an
easement, the existing ground should be profiled at the cen-
terline to provide a topographical check.
Sanitary Sewer Lateral Stakeout

The sanitary-sewer lateral is the relatively short length of
sewer line that runs from the collector line to the property
line. In most municipalities this is considered as part of the
public sewer system; thus, the municipality is responsible
for its maintenance and repair. The remaining part of the
sanitary line that connects the lateral to the house is con-
sidered privately owned, and maintenance is the responsi-
bility of the plumbing contractor doing the pipe work for
the building.
In most cases, the existing sanitary sewer and/or the
sanitary stakeout is used as a control for staking out the
laterals. Before setting any stakeout hubs, the party chief
compares the location of the lateral, shown on the profile
sheet, with the location shown on the plan. Discrepancies
are resolved and duly noted, or in extreme situations, the
engineer is consulted before proceeding with the stakeout.
The lateral’s length on the plan view is checked by scale,
and the presence of risers (vertical pipes) in the lateral sec-
tion is noted, as these must also be marked with offset hubs.
Finally, each lot is checked to insure that there is a lateral F I G U R E 3 5 . 1 8 Sanitary lateral stakeout (a) Offset in line with
lateral (b) Offset up the line from lateral.
provided.
For each lateral, a hub is placed at the appropriate sta-
tion along the main section of the sanitary-sewer system.
The transit is set over one of the hubs, a 90⬚ angle is turned rect with his initials. If there is an error in the field notes,
from the direction of the of the sanitary main in the direc- the party chief is consulted, and a site visit may be neces-
tion of the lateral. Along this direction, a distance is mea- sary to resolve any discrepancies.
sured equivalent to the length of the lateral plus the offset Next, copies of the current profiles (see Figure 35.19),
distance. The length to the riser, plus the offset distance, is record plat, and surveying hard copy are gathered for ref-
also measured and staked. This method places the stakes erence. The cutsheet is usually a pre-printed form with col-
on the lateral line extended. Another way to offset the lat- umns laid out for each piece of information (see Figure
eral is up the main sanitary line, at the offset distance. Both 35.19). The heading is filled in with the name of the jobsite,
of these methods are illustrated in Figure 35.18. along with any reference numbers, file numbers pertaining
Elevations are run on the offset hubs, with the end of to the construction drawings, the party chief’s name, and
the lateral hub either used as a turning point or the rod the cutsheet preparer’s name. The manhole designations
inverted upon it as a check of the reading. This second and stations, with the elevations of each hub, are copied
method serves as an immediate check, verifying the reading from the field notes and placed in their respective columns.
of the footmark on the rod. Both readings should equal the The proposed inverts, taken from the profile sheet, are filled
total height of the rod when added together. in next, along with the size of pipe. The pipe slope is cal-
culated and compared with the profile, and the remaining
Cutsheets for Sanitary Sewers and Sanitary Laterals inverts are computed. Invert elevations for the house or
After sanitary-sewer laterals are staked and the readings ver- building laterals are calculated at the mainline, at the riser,
ified, cutsheets are prepared from the stakeout information. and at the end of the lateral.
Before the cutsheet is started, the person preparing the cut- The vertical difference between the elevation of the hubs
sheet checks the field notes and certifies that they are cor- and the elevation of the sewer main and laterals are com-

F IGURE 35.19 Sanitary-sewer profile (metric).

puted for each station and entered in the appropriate col- offsets are placed on a line perpendicular to the radial line.
umn. This vertical difference is the amount of ‘‘cut’’ that the The hubs may be placed to the left and right of the structure
backhoe will have to excavate to reach the proposed invert to allow the contractor to string-line between, or they may
elevation. Final checks include scaling the location of the be set to one side of the structure for a line the contractor
laterals on the plan and profile sheet, and checking the can extend. Both of these methods are shown in Figure
record plat and hard copy to verify that they coincide with 35.21.
the stakeout. Copies of the completed cutsheet are sent to Checking the face of curb offset hubs is accomplished
the proper municipal agency, if required, and to the con- by calculating the hypotenuse distances from the centerline
tractor. of the storm-sewer structure, or from the nearest centerline
street station. When applicable, distances between face of
STORM-SEWER STAKEOUT curb hubs on parallel structures can be measured as an
A legitimate concern for any jobsite is how and where storm additional check.
water will drain. Even the most thoughtfully scrutinized The pipeline offsets are staked once the centerline of
plans can have a problem area, considering the unpredict- each structure and, if applicable, the face of curb hubs have
ability of Mother Nature, human error in construction, and been set. The offset distance is determined with the con-
the variable qualities of materials and equipment. At times, tractor and, again, by the depth of pipe shown in the plans
corrections are made in the field and in the cutsheets to and profiles (see previous discussion of dirt-pile and trench
insure positive drainage and no ponding. Because it is such clearance in sanitary-sewer section). The issue of which side
a critical component, frequently storm-sewer stakeout is of the line to place the offsets is usually determined by on-
more exacting than other types of stakeout. Storm-sewer site conditions and practical considerations. Obvious
structures, tops, and throats must match the paving and the choices include placing the offset on the side away from
curb and gutter in the street, contours in graded lots, and the street, on the side most protected from construction
existing swales in the outfall, in addition to carrying the machinery, and/or the ‘‘high side’’ of the construction area.
required amounts of water. Similar to a sanitary-sewer stakeout, the hub for the pipe
that discharges into the downstream structure is designated
Storm-Sewer Structures in Street Right-Of-Way as the OUT, with a station 0⫹00. The IN hub is the inlet
Catch-basin locations are determined by street geometry side of the same pipe, at the next upstream structure, whose
such as stationing, width, and slope. Typically, the storm- station is designated by the distance between the two struc-
sewer system is built before the curb and pavement of the tures. Once the OUT and IN offset hubs are staked, the
street. To insure a proper match of catch basin to street transit occupies one, backsights its corresponding structure,
geometry, accurate street centerline control is surveyed and and turns 90⬚ to foresight the next structure’s offset. This
verified using appropriate control points. Stationing points, serves as a check that the offset distance is the same for
directly related to the storm-sewer structures, are set along both structures. Offset hubs along the pipe length are set
the centerline during this process. In a tangent section of at 50-ft intervals, while any sanitary sewer lines or other
street, the centerline of street point, opposite a storm struc- pipe and utility crossings are offset as well. The stations for
ture, is occupied and a 90⬚ angle is turned to set the cen- any crossings are referenced from the profiles. To have
terline of the structure. When the structure is located in a crossings staked in the field, while appearing on the cut-
street curve, a deflection angle is turned to set the stationing sheet as well, helps the contractor avoid contact with ex-
of the structure along the street centerline, and a radial line isting lines by maintaining the minimum amount of
then determines the centerline of the structure. clearance. Elevations are run on the entire stakeout using
The two critical dimensions used to determine the lo- two or more benchmarks and using the IN hubs as turning
cation of the structure are the centerline of street to face of points, and a cutsheet is prepared (see Figure 35.22).
curb and face of curb to centerline of structure. For the
former, the party chief consults the plan view along the Outfalls and Storm-Sewer Structures In Non-Paved Areas
entire street length, watching for dimension contradictions In many instances, storm-sewer easements are parallel or
or street transitions, and scales the dimensions shown on nearly parallel to property lines. The bearings of the prop-
all the drawings. At street intersections, the side street’s plan erty line and the easement will be compared to see if they
view is checked in a similar fashion to determine the width are parallel. After checking the record plat for the needed
of the street. Specifications for the structure type must be easement information, the party chief should check that the
consulted to determine the distance from the face of curb sewer line agrees with the plan and profile and note the
to the centerline of the structure. distance between the centerline of the easement and the
Many contractors request stakes that relate the storm- nearest property line. After insuring that the storm sewer
sewer structure to the face of curb. This is to insure accurate complies with easement restrictions, the stakeout then pro-
placement of the structures for eventual matchup to curb ceeds as outlined above.
and gutter. Along tangent sections, offsets are set along the Storm-sewer outfall structures (see Figure 35.23) must
face of curb with the offset distances, relating to the cen- match to the existing discharge system horizontally and ver-
terline of structure, indicated on the stakes. In a curve, the tically, whether they are swales, ditches, streams or ponds.
F IGURE 35.20 (a) Sanitary sewer (b) Sanitary lateral cutsheet.

F IGURE 35.20 (Continued) (a) Sanitary sewer (b) Sanitary lateral cutsheet.

locate the toe of the proposed berm and also to mark the
top of the proposed berm. Stakeout markers are set at hor-
izontal bends and at regular intervals to delineate the size
and shape of the pond. A limited number of stakes should
be used, as setting too many markers may conflict with the
operation of large earth-moving equipment. The stakes set
along the proposed contours are generally set at every two
to three contour intervals for the same reason.
Preliminary preparation for this stakeout includes plot-
ting traverse, or other control points, on the site plan. An-
gles and distances to each pond point are protracted and
scaled directly on the plan. A transit-and-tape, or total sta-
tion and data collector, may be used to stake the points,
which usually consist of a hub and a 4-ft-tall guardstake.
The hub is the horizontal and vertical point, while the
guard carries the necessary written information, such as the
proposed contour or toe/top designation, the hub eleva-
tion, and the cut or fill to the desired elevation. A pond
stakeout requires minimum accuracy: to the nearest foot
horizontally and to the nearest tenth of a foot vertically (see
Figure 35.24).
WATERLINE STAKEOUT
Many waterline layouts are frequently designed to parallel
(or closely follow) the centerline of street and are profiled
coincident with the street stationing. Although waterline
pipe is manufactured in straight pieces, it can be installed
F IGURE 35.21 Face of curb offsets for storm-sewer stakeout. on curve-chord deflections. Other types of fittings are used
for more abrupt changes of direction. Such fittings include
tees, crosses, bends of various angles, and wyes. The di-
Swales and ditches may exist naturally, but more often than mensions and stations of the waterline should be scaled and
not they are designed to transition the storm-sewer system compared to the written information in the plans and pro-
into the natural system. Some are made of concrete and are files, verifying the location of all valves, tees, blow-off
designed to channel storm water directly into another struc- valves, air-release valves, and fire hydrants.
ture in environmentally-sensitive areas. In the field, the Double offset hubs are used to stakeout tees and bends,
party chief may have to adjust the stakeout to create a better while fire hydrants require multiple offset hubs. The stake-
fit. In such cases, the new layout is located and the infor- out of the rest of the waterline is achieved by converting
mation is then sent to the engineer for confirmation. the centerline of street into an offset line. This procedure is
When the storm-sewer system discharges into a natural recommended if the distance between centerline of street
outfall, the survey crew takes the time to locate, vertically and centerline of waterline is anywhere from 7 to 12 ft. The
and horizontally, the outfall channel a minimum of 150 ft depth and width of the average waterline trench does not
downstream from the point of discharge. The discharge require a long offset.
point is designated as the OUT and, if it is assigned a station The profile shows the horizontal and vertical path of the
of 0⫹00, downstream shots are designated as ⫺0⫹50, waterline and its relationship to the storm and sanitary
⫺1⫹00, ⫺1⫹50 and so on. Any horizontal change of di- lines. Crossings should be noted and staked, especially if
rection on the outfall should be noted and sketched, with there is minimum clearance either vertically or horizontally
a distance measured to the centerline of the bend and its between the two utilities. If there are minimum horizontal
elevation obtained (see Figure 35.23). This information clearances between the waterline and the sanitary lines, the
serves to verify the location of the storm-sewer structure in waterline should be adjusted to maintain an adequate dis-
relation to the limits of the easement and the natural drain- tance, especially if the waterline passes near the barrel vault
age system. After all field stakeout work is complete, a cut- of a sanitary structure.
sheet is prepared and copies delivered to the contractor and In easement conditions, such as over terrain or through
other appropriate agencies. parking areas, the waterline will have its own stationing
system shown in the plan and profile. This stationing must
Storm Water Retention and Detention Ponds be adhered to as closely as possible, as this is the system
Storm water retention and detention ponds are staked along approved by the local governing authorities. If there are
the proposed grading contours. Hubs typically are set to inaccuracies, sometimes a station equality is placed on the
F IGURE 35.22 Storm-sewer cutsheet.

F IGURE 35.23 Storm-sewer outfall notes and sketch.
stakes, noted by the plan and profile station first, followed hydrant. The guard stakes indicate the elevation of the curb
by the equal sign and the stakeout station. This allows for or edge of pavement, and from these references the con-
correction in the stationing, which matches the remainder tractor can place the fire hydrant.
of the stakeout to the plan stationing. Hydrant installation is expensive and, because of the
poured concrete surge block, very permanent. Setting the
Fire Hydrants face of curb and having the contractor install the hydrant
Fire hydrants must be placed accurately horizontally and to the code criteria involves a shared responsibility.
vertically. The stakeout is based on the relationship between As an additional precaution, fire-hydrant stakeouts are
the curb line (or edge of pavement/shoulder) and the main tied to other street or traverse control. The notes for hy-
waterline. The critical dimension, the distance from center- drant locations are later checked and the stakeout location
line of street to the face of curb, is the reference point that verified. When elevations are run, the rod is read once di-
controls the hydrant location. As shown in Figure 35.25, a rectly in a natural position, and then flipped and read in-
hub marking the tee for the stub line leading to the fire verted. The two readings should add up to the total height
hydrant is set along the offset line for the main waterline. of the rod, thus verifying the accuracy of the initial reading.
Two additional offset hubs mark the extended stub line be- This procedure is used for three of the offsets; the fourth
yond the hydrant. Two hubs are then set marking the face offset is employed as a turning point in the level circuit.
of curb or edge of pavement. String lines stretched between
the hubs marking the face of curb and from the hubs be- Valves and Other Waterline Fittings
yond the fire hydrant to the hub for the tee mark the in- Tees are 90⬚ fittings, typically occurring at connections to
tersection of the curb and the waterline stub to the fire existing lines, stub lines to fire hydrants, and intersections

F IGURE 35.24 Pond contours and stakeout points.
with other waterlines. They are staked with double offsets,

one indicating the line direction back, and the other indi-
cating the line ahead.
Horizontal bends in the waterline are also staked with
double offsets, each one set 90⬚ from the direction of the
line it is representing. Both bend offsets carry the same sta-
tion, as they address the same point. To distinguish them,
one is called the Bend Back, and the other is the Bend
Ahead, based on the stationing system and its point of be-
ginning (see Figure 35.26).
Blow-off valves are located at the end of a waterline. In
some cases, they deviate from the street centerline. There-
fore, their placement may be determined by scale and pro-
tractor from the site plan, if no other exact location means
is available. The plan-view location is then compared to the
profile. Intervals between offset hubs and tees, bends and
valves is often 50 ft, but 25-ft intervals are sometimes em-
ployed in horizontal and vertical curves.
The level circuit begins at the existing waterline, with an
F IGURE 35.25 Stakeout procedures for fire hydrant. elevation obtained on the top of the existing valve. Only

CURB AND GUTTER STAKEOUT

Curb and gutter is expensive, therefore it is wise to exercise
due diligence during all aspects of the construction stakeout
process. Using a copy of the record plat, construction draw-
ings, and the stakeout hard copy, the street’s main control
points are set and ties are made to existing traverse control
or other street references as a check for accuracy. Before
staking, the site plan, street profiles and typical street sec-
tions are thoroughly checked for street width(s), transitions,
vertical curves, radius dimensions, and parking-space di-
mensions (where applicable). The following method pro-
vides sufficient guards to accuracy.
The main points, including point of curves (PCs) and
point of tangents (PTs), are usually echoed in the layout of
the curb when the curb is parallel or concentric to the cen-
terline. Other points identifying stations where street-width
transitions begin and end, intersecting streets, street en-
trances to commercial property, and stations corresponding
to curb returns are set along the centerline as the stakeout
progresses. The major points for the curb are transferred
laterally from the centerline (90⬚ in tangent, radially in
F IGURE 35.26 Waterline tee offsets. curves) at the prescribed distance to the face of curb plus
the offset distance (see Figure 35.27). Seven and 10-ft off-
sets are commonly used, as this is often the distance to the
property line and convenient for use with a slip-form paver
the offset hub elevations are necessary when the waterline
(curb and gutter pouring machine).
is in the street, but in easements the ground should be
For a curb return (the point of curve or point of tangent
profiled to check the topography.
at a street intersection), the 90⬚ (tangent) or radial (curve)
line from centerline also sets the radius of the return. When
Service Lines
the intersecting street curb is staked, the validity of the
A separate stakeout is made for water crocks, which mark radius point is checked by the same method (i.e., setting
the limits of public service and from which the private line the stationing point on the street centerline corresponding
extends to serve the lot. Water crocks contain the meters to the curb return and then checking the angle and distance
and cut-off valves for each service line. The crock location to this point, as well as the previously set radius point).
is marked either with paint on the curb or with hubs and Then the corresponding PC or PT offset may be set. Fifty-
guards. There is usually a code distance between the prop- ft intervals are adequate along tangent sections, while 25-ft
erty line and the crock. Either the property line is marked intervals are used through horizontal and vertical curves.
at the point where the crock is to be installed, or the prop- Points along a horizontal curve on the curb-offset line are
erty line is referenced by offsets in order to preserve the set the same way as staking out a horizontal curve.
stakeout. In either case, the stakeout is never the crock itself To ‘‘prove out’’ a point between main stations, the dis-
but is referenced to the property line at the crock. One tances from each end must be checked. On a curb and
offset with an elevation given for each crock is generally all gutter stakeout involving the placement of driveway aprons,
that is necessary to build the crock and its lateral from the each distance between driveways should be measured and
main. the sum of the increments compared to the total distance
Waterline laterals that service high-rise office and apart- to eliminate any error. When staking a curve, the total de-
ment buildings are staked with multiple offsets, indicating flection angle and distance is checked first, then the inter-
the tee location, intermediary station(s), bends and the con- mediate stations are set. The final check-in distance will
nection to the building. The site of the existing building prove the accuracy of the intermediate points set.
connection may differ from the plan, as architectural plans Other features should be checked as the curb and gutter
are not always finalized before the site plans are designed. stakeout progresses. Distances (and occasionally angles) are
A consultation with the contractor or plumber is recom- measured to storm structures, sanitary manholes near the
mended before staking building connections. At times, di- curb line, fire hydrants, and the match point where existing
mensions pinpointing the plumbing inside the building are curb and gutter meet the proposed curb and gutter. The
measured and recreated outside to locate the connecting plans are consulted frequently to see that the design loca-
point. The stakeout then proceeds in the above-described tion of such features have been constructed or located in
fashion. the field properly.

Curb Offsets through Street Transitions throughout the stakeout area. A careful inspection is made
Street transitions occur when the street changes width be- of the proposed topography to insure that the new curb
tween intersections because of the addition of turn lanes. and gutter will actually channel storm water to catch basins
The transition occasionally occurs on one side of the street and drains. Care must be taken to recognize different types
only or on one side of the intersection only. Transitions also of curb and gutter, and the transitions that link them. The
occur with the addition of a lane to increase traffic capacity. cutsheet must provide for smooth vertical transitions along
A smooth transition design can simply be two reverse the curb line.
curves. The beginning, midpoint, and end-of-transition Curb and Gutter Stakeout in Townhouse and
points are set at their stations along the street centerline. Parking Areas
Then each is offset radially behind the face of curb at the
Townhouse and parking lot curb and gutter stakeouts are
transition widths noted in the plans. If the curves are equal
generally performed as previously described. However,
in length, the distance to the midpoint, which is the point
there are a few additional items to consider. Chief among
of reverse curve, will be half the difference between the two
them are travel-lane widths, parking bays, islands and me-
ends. Once the key points are offset, deflection angles and
dians, and depressed curbs for ramps (see Figure 35.28).
chord distances are used to set intermediate stations along
In some areas, municipal code may dictate a minimum
each offset line of the curve.
width for travel lanes, particularly to insure accessibility for
fire and rescue vehicles. It is prudent to know the minimum
Cutsheets for Curb and Gutter standards and to check the site plan for discrepancies before
Horizontally, curb offsets are always staked in relation to proceeding with the stakeout.
the face of curb. Vertically, the top of curb is frequently Parking bays are designed to contain certain numbers of
used as the reference point. Preparation of a cutsheet for vehicles, usually noted on the site plan along with the width
streets with constant geometry is straightforward. The proof each space. The number of parking spaces multiplied by
posed street grades can be determined from the profile and the width of each space should equal the distance between
the typical section. This grade is compared to the existing the two corners of the bay. This should be compared to the
elevation, obtained from the level notes of the stakeout, and stationing system to insure the distance is accurate. If there
the corresponding cut and fill depths are entered onto the are any handicap parking spaces, the additional width
cutsheet. should be added to the total distance as well.
Where the proposed curb design connects to an existing Islands are often used to channel traffic, to create addi-
curb, a minimum of three top of curb elevations along the tional parking, or to accommodate central features such as
existing curb at 25-ft intervals are obtained as the level cir- tot lots, community mailboxes, light poles, fire hydrants,
cuit is run for the stakeout hubs. This provides the cutsheet and entrance gates. Generally, islands that channel traffic
preparer with the information needed to check how well are called medians and may consist of solid concrete or
the newly constructed curb matches the existing curb. If curb and gutter on each side with a planted strip in the
the proposed grades do not match the existing grades, the center. Some may incorporate transitions to accommodate
cutsheet preparer should consult with the engineer. Oth- turning lanes. Depending upon the size and shape of the
median, the contractor may request a single row of offsets
erwise, the cutsheet preparer, using good judgment, may
down the middle, or two rows of offsets each dedicated to
make slight adjustments to the elevations to provide a
a side of the island. If the latter is requested, it is preferable
smooth vertical connection between the existing and pro-
to offset each side away from the center to avoid confusion
posed curb and gutter.
of crossing offsets. Medians usually terminate in small
A frequent problem when preparing cutsheets of curb
curves, so the radius points should be clearly marked and
and gutter for parking areas is a misinterpretation of the
graded for inclusion on the cutsheet (see Figure 35.29).
elevations listed on the site plan. Whereas the proposed top
If an island incorporates utilities such as fire hydrants,
of curb elevations can be found in the street plans and storm-sewer structures, sanitary manholes, or light poles,
profiles, curb elevations may not be as readily available on checks should be made in the field to insure proper match-
plans of areas where uniform geometry does not exist, such up and/or containment of these features both horizontally
as parking areas or combination travel ways and parking and vertically.
frequently used in townhouse projects. Since parking areas Finally, the location of depressed curb for handicap
are warped to facilitate drainage and to accommodate the ramps, public trails or loading zones may be a required part
site conditions, spot elevations are used in conjunction with of the stakeout. A careful study of the site plan will reveal
grading contours in the design. Drainage problems or un- the public-area locations, and the record plat will aid in the
even curb and gutter sections may result if spot elevations siting of trails within easements.
are too sparse or are not interpreted properly by the pre-
parer of the cutsheet. BUILDING STAKEOUTS
In such cases, the person preparing the cutsheet must The types of buildings typical in land development projects
check the viability of the proposed top of curb elevations include single-family-detached residential units, single-

F IGURE 35.27 Curb stakeout offsets in a curve.

out computations and the subsequent field procedures must

insure that the field location is consistent with the plan
location. Additionally, the dimensions of the building and
the corner angles must be set to within the tolerable limits
required for construction purposes. Building stakeout can
be as straightforward as setting offset stakes for four corners
or as complex as setting column-line locations for a high-
rise structure.
Several construction phases of a building require sepa-
rate stakeouts: grading, building layout, footing, and brick
point stakeouts. In most cases, all of these are used for
residential construction. However, commercial buildings
and other types with atypical foundations or special design
characteristics may require unique stakeout methods differ-
ent from those mentioned.
Grading Stakeout for Buildings

F IGURE 35.28 Curb and gutter island with parking bay. Preliminary preparation of a site involves the removal of
topsoil and the manipulation of the earth to bring it to
subgrade level. To accomplish this, the contractor requires
family-attached units (townhouses), and low and mid-rise a grading stakeout. The most expedient method extends the
retail and commercial buildings. Two important considera- outermost lines of the building to create a simple rectangle,
tions in establishing the building location for the stakeout whose corners are staked with offsets (see Figure 35.30).
survey are adherence to zoning setback restrictions and al- Usually, a 10-ft offset is sufficient to enable earth-moving
lowable accuracy for construction. Although the building is equipment to move about freely and yet retain the stakes
shown conforming to setback restrictions on the plans (oth- for horizontal and vertical referral. Since this stakeout is
erwise the plans would not have been approved), the stake- merely intended to guide rough grading, the hubs are not
F IGURE 35.29 Parking lot curb island stakeout examples.

tacked, but they are guarded with tall stakes for easy visi- the building stakeout sheet. Once all the building coordi-
bility. nates are set, the actual setbacks and side-yard distances
The offsets markers are plotted on the grading plan and can be computed. Check to see that all setback distances
then set by computing or protracting the angles and dis- to property lines comply with local code and restrictions.
tances from available horizontal controls such as lot cor- Because of expensive land and rising development costs,
ners, centerline street points or traverse stations. Once the planners strive to maximize the number of houses on a site,
grading stakes are set and checked, a level run determines using the minimum restriction lines. For this reason, there
the existing ground elevation of each hub. The elevations is little room for movement, or error, in the stakeout of a
are marked on the back of each guard. The field notes are building. As another precaution, a computer plotting
checked by office personnel and a cutsheet based on fin- should be made and overlain on the development plan to
ished basement-floor grades is issued for the contractor’s check compatibility.
use. Ten-foot offsets are often used for most building stake-
outs; this distance is sufficient to accommodate the over-
Construction Stakeout for Buildings dig of the basement, or the foundation, and is short enough
Once the rough-grading operation is complete, the building for the contractor to use accurately. The proposed 10-ft off-
is staked for construction. To insure compliance with zon- sets are drawn onto the stakeout sheet; the placement is
ing setback requirements, computing the building location usually from side-to-side, but front-to-back offsets can be
should be based on its relationship to the property lines. used as well. The front side-to-side offsets will be on the
Coordinates are set for each corner of the building. Cor- face of building line, 10-ft from the edge of the squared
responding point numbers are assigned and recorded on building. The offsets are assigned point numbers and co-
ordinates.
The building stakeout sheet (see Figure 35.31) will have
coordinate point numbers written next to each lot corner,
at intersection points on lot lines, on offset points, and at
the building corners. Stakeouts tied from control points to
the offset hubs of the corners of the building may also be
shown. A list of the point numbers and their coordinates is
attached to the stakeout sheet to facilitate any necessary
field computations. In addition, the side-yard distances and
the minimum distances as prescribed by zoning regulations
are given. Curve information is also supplied where appli-
cable. A copy of the building stakeout sheet is placed on
file, and a copy is used by the survey crew.
After the building offset points are set, it is good practice
to turn angles and measure distances to other control points
that are independent of the stakeout procedure to verify the
stakeout. For practical and legal purposes, many surveying
companies will require a location made of the building
stakeout. Some may furnish a pre-printed form along with
the stakeout sheet; one side is a photocopy of the building
stakeout sheet and the other is a standardized form with
prompts and spaces for answers necessary for the record.
Elevations are run using at least two benchmarks, and a
front offset hub is established as a temporary benchmark
by using it as a turning point in the level circuit. The lowest
floor elevation furnished on the development plan, whether
it is Low Basement, Basement or First Floor, is used to
calculate the earthwork cut or fill to finish-floor level. In
undisturbed areas, it is prudent to record elevations at the
building corners to check the topography. On site, the hub
elevation is written on the stake along with the cut or fill.
Off site, the field notes and the elevations are checked and
a formal cutsheet is issued.
Footing Stakeout. After the area is excavated, contractors
frequently request a footing or foundation stakeout. The
F IGURE 35.30 Building for grading stakeout. building stakeout offset hubs are recovered or replaced,

F IGURE 35.31 House stakeout showing 10-ft side offsets.
checked, and then used to lay out the actual building cor- Temporary surveyor’s tacks can be set as points on a
ners. The front (or rear) building offset line may be used baseline used by turning 90⬚ angles to rear jogs in the build-
as a baseline to transfer the corners to the foundation ex- ing. An alternative is to set the points radially from one
cavation. Another method is a radial stakeout, occupying point, but this approach dictates the need for extreme care
one offset and using coordinates of each building corner to in the setting of each point; otherwise, losses in accuracy
determine bearings and distances from the setup point. The may occur, particularly in the squaring of the building. A
latter method can be employed successfully if all distances third method uses a compromise of the above two methods.
between footing points are checked thoroughly. Diagonal The front baseline is set and a combination of 90⬚ angles
measurements between footing corners are truthful checks and trigonometrically calculated angles and distances are
of squareness. figured from each main point. The distance between each
The vertical portion of the footing stakeout consists of nail is checked carefully. Generally, the method that pro-
setting a grade marker, established as a temporary bench- vides the most accuracy is the one that relies the least on
mark by using it as a turning point when the level circuit correction of slope distances. Since the building-stakeout
is run. This point is used as a vertical reference to finish offsets are away from the basement hole and, therefore,
grade. much higher in elevation, large vertical angles are the cor-
Brick Points. After the footing is poured and set, the recting force for slope-taped or total station distances. A
building is ready for a brick-point stakeout. This consists small variation in the vertical-angle read, the correction fig-
of setting concrete nails in the footing at each corner or jog ured, or deviation from the corrected tape height will result
of the building. These will be used by masons (block) or a in error. When setting brick points that will be placed in a
forming crew (poured walls) to align the building walls. The deep foundation hole, it is often best to set the first point
stakeout should be very accurate to provide a square foun- diligently as described, and then set the instrument in the
dation for subsequent work. foundation hole for subsequent points. Also, each time the

instrument is moved to another nail, a backsight and a the left front building corner. The figure shows the dimen-
check foresight should be made to establish the accuracy sions along the front and rear of each unit, but for the
of the nail occupied, before setting any other points. stakeout the centerline of the wall dimensions is used. Since
Vertically, masonry brick points often require grade pegs 23.08 ft is the distance to the outside corner along the front
set to finish-floor grade. This involves setting a stake so that face, a distance of 22.75 ft from the left front corner to the
the top is equal in elevation to the finish-floor grade (or an centerline of the wall results if the wall thickness is 8 in
even foot higher or lower, as convenient). Another method (i.e., 23.08 ⫺ 0.33 ⫽ 22.75). Therefore, a distance of 22.75
uses a stake with a nail driven into its side at grade. Poured- ft is measured along the property line and another hub and
wall brick points often circumvent this formality, because tack is set. This stake is marked 16 ft offset to centerline of
the foundation is already in place and functions as the crit- wall lot 14 and 17 ft offset to centerline of wall lot 15,
ical vertical surface in relation to the finish-floor grades. using the appropriate symbols and abbreviations. Contin-
Some survey companies check the elevation of the footer, uing down the line in this fashion, the stakeout’s accuracy
as a precaution, for a poured-wall brick point stakeout. A is checked by measuring from the last offset–the right front
consultation with the client on site can determine the ne- corner of the building–to the lot corner. As shown in the
cessity of a level run. example, the check-in is 9.67 ft.
Single-Family Attached Units (Townhouses). Stakeout for This accomplished, the two building-corner offsets are
townhouses proceeds through the same stages as that for occupied, a 90⬚ angle is turned, and the rear building-
detached dwellings. The main difference is the need for corner offsets are staked on the rear property line. Moving
more offsets to delineate each unit. The overall building, the instrument to the rear line, the 90⬚ angle and the dis-
which typically consists of three to nine individual units, is tance are checked before staking the remainder of the rear-
squared as a whole, and its relationships to side, front, and line offsets. As mentioned in the previous section, the
rear property lines are determined. The four corners of the surveying company may require that a location be made of
townhouse block will be set and checked first, and then the stakeout. When this is completed, a level run will es-
the front and rear lines are used to offset the middle units. tablish the elevation of each front offset. The cutsheet will
In Figure 35.32, the distance from the side lot line to provide cuts (or fills) to the finish-basement grades of each
the building on lot 14 has been computed at 9.25 ft. This unit.
distance is measured along the front property line, where a The footer stakeout is accomplished just as described in
hub and tack is set, and its stake is marked 16 ft offset to the single-family-dwelling section. Brick points may be set
BF = 80.2 BF = 81.2 BF = 81.7 BF = 82.0 RF = 82.5
F IGURE 35.32 Typical townhouse layout for construction (BF ⫽ Basement Floor Elevation).
at the actual corners using the dimensions shown along the the field notes and the elevations are verified and a formal
front and rear lines of each unit. Some contractors may cutsheet is issued.
request brick points on the centerline of walls. If so, the As-built Surveys. An as-built survey is performed after
simplest method is to occupy each front offset, backsight construction of the project is complete and all inspections
the front offset line, turn 90⬚, and check to the correspond- have been performed. The survey furnishes a municipality
ing rear offset. Then, using lot 14/15 on Figure 35.29 as with evidence that a project has been constructed in ac-
an example, the distances measured from the front offset cordance with the approved engineering plans. If the de-
would be 16, 17, 53, and 57 ft. veloper has posted a bond to insure compliance, the
Commercial/Retail Buildings. A large building may be as-built plan is used as evidence to release the bond money.
controlled by column lines, baselines, or specified control The format of the as-built survey depends on local require-
points, depending upon the structure’s configuration. The ments. Typically, the items surveyed include the public util-
key to successful layout is to maintain high standards of ities, other structures and features intended to be
accuracy and to reference the building-control network off maintained by the local municipality, and such items that
site. show compliance of the project with zoning and subdivi-
A great deal of preparation precedes the layout: traverse sion ordinances.
control has been set and computed, vertical control estab- In some instances, as-built surveys are a requirement for
lished and verified, and architectural plans scrutinized and the contractor in his agreement with the project’s owner.
checked. Ties from the traverse control to the building’s This verifies that the contractor built the project according
control points are computed next, and a stakeout plan is to design and entitles him to payment. The as-built survey,
drafted for the survey crew. The instrument has been also known as a record drawing, is prepared on the original
checked and re-calibrated, if necessary, and the optical plans. Appropriate information is shown in a specific man-
plummets on all tribrachs have been checked and adjusted. ner to differentiate it from the design information already
On site, extra precautions are taken to maintain high on the drawings. One method is to enclose the as-built
standards of accuracy. The instrument should have good, survey information in boxes and to use larger and bold
solid set-ups. Angles should be double-centered. lettering to distinguish it from previous design information.
Each time the instrument is fine-leveled, the backsight The sanitary sewer and the storm-sewer system typically
and the ensuing foresight should be achieved as quickly and are part of the as-built survey. The manholes and catch ba-
efficiently as possible. The longer an instrument occupies a sins permit access for measuring invert elevations. (Other
point, the more its chance of settling, thus producing error. utilities, such as the waterline, where access is nearly im-
Double-centering helps to eliminate error in the plates, and possible, are not included in the as-built survey.) For san-
turning angles while the set-up is still fresh helps to elim- itary sewers and storm-sewer systems, the invert elevations
inate angular drift. The backsight is taken and the foresight are measured and the pipe sizes and lengths are verified.
angle is turned. The head chainman sets a sight stake on Pipe slopes are computed using this information and com-
that line and pencil-marks the top. The instrument operator pared to the proposed design. When the as-built pipe slope
then reloads the backsight angle 180 degrees different from is less than the proposed design slope, the hydraulic ca-
the first sighting, and turns to the foresight line, now 180 pacity is checked to insure hydraulic adequacy.
degrees different. This may be done several times. The head Sanitary sewer as-built information prepared for a mu-
chainman marks the new line on the top of the stake. There nicipality will generally include deed book and page refer-
will probably be a discrepancy between the first and second ences where easements are recorded, the top and invert
(or subsequent) marks. This discrepancy is divided in half, elevations for all structures, the distance, pipe size, type of
and a tack is driven at the mean mark for a visible sight pipe, and pipe slope to all structures, and the bearing for
on the foresight line. The instrument operator monitors this each line. A storm sewer as-built provides the same detailed
sight as points are set. information. In addition, the as-built survey shows spot el-
Once the sightlines are established, the distances are evations around detention/retention pond areas, spillways
measured for the building points to be set. Distances should and open drainage ditches and shows that riprap and ve-
be checked using a prism mounted on a tribrach and tri- locity checks are in place. Occasionally, hydraulic tabula-
pod. All the control lines should be extended and refer- tions for the retention/detention as-built information may
enced off site, as any subsequent re-stake must match the be required.
initial stakeout. Appropriate checks for squareness should Where public buildings are constructed, as-built surveys
be performed—that is, turning 90⬚ angles and measuring are used to check adherence to zoning requirements per-
diagonal distances. Finally, all stakeout points and refer- taining to building size and height, distance to property
ences should be located from traverse control, so that they lines, and required parking. Site plan record drawings, in
can be checked in the office and filed for future reference. addition to sanitary and storm-sewer information, include
Elevations are run using at least two benchmarks, and the boundary bearings and distances, all easements with
each stakeout hub is established as a temporary benchmark reference to where the easement is recorded, the square
by using it as a turning point in the level circuit. On site, footage of the property and buildings, distances to the prop-
the hub elevations are written on the stakes. In the office, erty lines, building dimensions, first-floor elevations and
building address numbers, fire-hydrant locations, number REFERENCES

of parking spaces and dimensions, and any deviations from American Congress on Surveying and Mapping, and American
the original design in improvements to the site. Society of Civil Engineers, Definitions of Surveying and Associated
The as-built survey, if required by the local municipality, Terms, Revised 1978, American Congress on Surveying and
Mapping, Bethesda, Md., 1989.
is then submitted for review and approval. Any discrepan-
cies between the constructed project and original design are Buckner, R.B., Land Survey Review Manual, 3rd ed., Ann Arbor
Press, Ann Arbor, Mich., 2000.
noted and then must be resolved by the contractor.
Cheves, Marc, ‘‘Making Data Collection Work,’’ P.O.B.—Point of
Beginning, 15:6 (August–September, 1990), pp. 54, 58, 60.
SUMMARY Davis, Raymond, Francis Foote, and Joe Kelly, Surveying: Theory
Construction stakeout requires substantial preparation be- and Practice, 5th ed., McGraw-Hill, Inc., New York, 1968.
fore sending the survey crew to the field. Successful com- Denny, Milton, ‘‘Noteworthy Field Notes,’’ P.O.B.—Point of Begin-
puting requires familiarity with construction techniques as ning, 25:2, (November 1999), pp. 27–28.
well as good surveying skills. Inevitably there will be times Dewberry & Davis, Procedure & Checklist Manual, In-house
when the survey crew will have to adjust the stakeout pro- guidelines. Dewberry & Davis, Fairfax, Va., 1981.
cedure in the field because of unforeseen jobsite conditions. Dewberry & Davis Institute, Party Chief Training Manual, In-
Therefore, the field crew must take all of the plans, plats house training text. Dewberry & Davis, Fairfax, Va., 1984.
and hard copies and geometric coordinates with them in Herubin, Charles, Principles of Surveying, 3rd ed., Reston Pub-
order to perform calculations necessary to complete the lishing Company, Inc., Reston, Va., 1982.
task. Contractors hate to have their workers and equipment Moffitt, Frances, and Harry Bouchard, Surveying, 7th ed., Intext
stand idle. Delays caused by poorly prepared survey crews Educational Publishers, New York, 1982.
costs them time and money. The procedures for the various Munjy, Riadh, and others, ‘‘Total Station Survey System (TSSS)
stakeout methods described above are intended as a sug- Software.’’ Surveying and Mapping. Journal of American Congress
on Surveying and Mapping, 49:4 (December 1989), pp. 31, 34–
gestion of the ways to perform construction stakeouts.
35.
Many localities have regulations that dictate construction
Pafford, F. William, Handbook of Survey Notekeeping, John Wiley
methods and preferences for performing construction stake-
and Son, Inc., New York, 1962.
out because of local conditions and biases. In addition,
Root, Ray B., LLS, Personal Communication, May 1, 2001.
many surveyors have adopted other ways to perform stake-
Shrestha, Ramesh, ‘‘Formats and Specifications for an Electronic
out work because of the type of instruments (both field and
Field Book,’’ Surveying and Land Information Systems. Journal of
office) at hand, local contractor’s preferences, and field con- American Congress on Surveying and Mapping, 50:3 (September
ditions, and because they have found what works best for 1990), pp. 215–224.
them given all of the tangible and intangible factors. Before Virginia Association of Surveyors, Inc., Standards of Practice for
employing any of the foregoing methods, it is best to con- Professional Land Surveyors in the Commonwealth of Virginia, 3rd
sult local ordinances and public agencies to avoid conflicts ed., Richmond, Virginia, Virginia Association of Surveyors, Inc.,
and to assure compliance with the prevailing regulations. 1993.

CHAPTER 36
BUILDING PERMITS AND

CERTIFICATES OF
OCCUPANCY
INTRODUCTION tion to external relationships and connections, the plan

In order to insure that proper construction practices are must show the internal relationship of buildings, the cir-
followed, as well as to minimize responsibility for faulty culation system, parking, drainage, utilities and landscap-
construction, a municipality has specific processes that ing. Where elements of the project are controlled and
must be followed. Typically, these include site-plan review, constrained by zoning and other development regulations,
building-permit application and an occupancy-application the plan must demonstrate compliance with such require-
process. Site plans are reviewed to insure that the proposed ments. Bonding of proposed public improvements may also
project is designed in compliance with the local regulations. be required.
Municipalities require building permits in order to confirm In addition to the information shown on a subdivision
that proposed buildings are structurally sound and conform plan submittal, the following information may be required
to local and federal building codes. After construction is on formal site-plan submissions:
complete, municipalities require applications for occupancy
䡲 Interior lot lines
permits before buildings can be occupied. This final stage
allows the governing municipality to perform a final in- 䡲 Building foundation and footprint
spection of the structure to verify that the structure was
䡲 Lateral connections to underground utilities
built as required. The occupancy permit also represents one
of the final stages in the construction process, after which 䡲 Parking, loading and circulation layout, showing
the municipality is willing to release the pre-construction calculations and construction details
bonds.
䡲 Fire lanes
SITE PLANS, BUILDING PERMITS AND CERTIFICATES OF 䡲 Landscaping plan and installation details
USE AND OCCUPANCY 䡲 Other statistical and graphic information needed to
Site Plans demonstrate compliance with ordinance requirements
In municipalities that have created a site-plan-review pro- and public-facility manual standards
cess for non-subdivisions, or as an additional step for cer-
tain types of subdivisions, the preparation and review of Building Permits
plans follows a procedure similar to the final subdivision After subdivision or site plans are approved, and in situa-
plan. That is, plans of increasing detail and accuracy are tions where no such approval is required, building permits
prepared by the land development team and presented for typically are required for the construction of all structures,
review and approval to the coordinating agency. This agency whether residential or non-residential. The assumption
distributes site plans to other agencies for comments and made is that no new property lines are being created, and
recommendations. The primary difference is that, in addi- the primary focus of review is architectural and structural
927
BUILDING PERMITS AND CERTIFICATES OF OCCUPANCY
design, and connection to existing streets and facilities. 䡲 For complex, non-residential structures, a complete
Building-permit review allows for examination of criteria set of construction drawings, showing all utility con-
contained in both the zoning ordinance and building codes nections and internal systems is required. Local regula-
applicable in the jurisdiction. For zoning, the primary con- tions often establish elaborate testing and inspection
cerns are proper setback from property lines, area of build- procedures with, in some instances, provisions for
ing coverage, density and floor area, parking and other third-party inspection by independent firms.
required facilities that support or are accessory to the prin-
cipal use of the property. Determining compliance with the Occupancy Permits
building codes requires extensive analysis of construction An occupancy permit is the final legal authorization needed
details to insure structural integrity, as well as review of from the jurisdiction to establish a use or structure. Issued
internal systems for heating, plumbing and electric service. in conjunction with final inspection of construction activity,
Fire-protection systems and fire-code construction stan- the occupancy permit signifies that the structure is com-
dards are also reviewed. plete, properly connected to utilities and in compliance
As with other approval procedures, the designated lead with all codes, ordinances, and established policies. It also
agency receives plans and distributes them to others. The is an acknowledgement that the proposed use is allowed by
review is usually conducted in a single phase, although var- and conforms to the zoning ordinance. It is at this stage
ious components of the structure may be reviewed by dif- that residents or businesses are allowed to occupy the
ferent departments and agencies. In addition to the premises.
payment of application fees, other fees may also be collected Note that the public infrastructure for the development
at the time of submittal. These include availability or con- might not yet be completed, and the improvements may
nection charges for water and sewer service. Fee calcula- still be under bond. It is often local practice to delay com-
tions may be based on floor area, number of fixtures, pletion of the streets until all construction equipment is
projected usage or other indicators. In some communities, taken off the site. A base pavement coat may be installed,
impact fees also are collected at the time of permit appli- with the final top coat installed as the last step prior to
cation. bond release. This approach minimizes the potential for
Most municipalities prepare pre-printed application damage caused by construction equipment or moving vans
forms and checklists showing the information and plans that the developer would otherwise be responsible for re-
that are required for the building-permit submission. The pairing. Depending on the time of year, lanscaping im-
complexity of documents grows with the complexity of provements may also be delayed until the start of the
both the project and type of construction. In addition, al- growing season. Where landscaping is required and in-
ternative procedures may be established to help coordinate cluded as a bonded item, the jurisdiction may allow the
and simplify project submission and reviews. execution of a substitute agreement or cash escrow deposit
䡲 For individual single-family-detached structures, and release the developer’s primary bond.
simple lot grading, foundation and framing plans may
be sufficient. Depending on the size of the structure, REFERENCES
preparation by an architect may not be required. David Jensen Associates, Inc., How to Win at the Zoning Table,
National Association of Home Builders, Washington, D.C., 1984.
䡲 For subdivisions, the submission might include ov- Engineers and Surveyors Institute, Improving Preparation, Review
erlot grading plans showing connection to storm drain & Approval of Subdivision & Site Plans in Fairfax County, Engi-
and other utility systems, master documents showing neers and Surveyors Institute, Fairfax, Va., 1988.
foundation and framing plans for each type of house Institute for Participatory Management and Planning, Citizen Par-
plan to be constructed, structural connection details, ticipation Handbook, Institute for Participatory Management and
soils information and soil test data showing areas re- Planning, Laramie, Wyo., 1986.
quiring special treatment because of problem soils, and International City Management Association, The Practice of Local
alternate details for nontypical situations. The munici- Government Planning, International City Management Association,
pality will normally perform inspections at the comple- Washington, D.C., 1979.
tion of each phase of construction prior to allowing National Association of Home Builders, Subdivision Regulation
work to the concealed: for example, closing in a wall Handbook, National Association of Home Builders, Washington,
before the electric and/or plumbing in the wall has D.C., 1978.
been inspected/approved, in preparation for the next Urban Land Institute, Working with the Community: A Developer’s
phase. Guide, ULI-The Urban Land Institute, Washington, D.C., 1985.

PART VIII
TECHNICAL APPENDICES

TECHNICAL APPENDICES

CHAPTER 37
GEOSPATIAL DATA
David F. Maune, Ph.D., C.P.
‘‘Spatial data deals with location, shapes and the relation- Raster Data and Vector Data
ships among features (topology). Descriptive data deals with
Raster data consists of georeferenced pixels or grid cells of
the attributes or characteristics of the features. The combi-
nation of the two types of data is the key to creating intel-
uniform resolution. Digital images are raster data, as are
ligent maps.’’ (The Power of Maps exhibit, Smithsonian maps or engineer drawings scanned at 500 or 1000 dots
Institution) per inch (dpi), for example. A pixel (picture element) is the
smallest indivisible element of a digital image. One pixel of
INTRODUCTION a LANDSAT satellite multispectral image equates to a 30-m
Geospatial data is information that identifies the geographic by 30-m square area on the ground; 1 pixel of a standard
location and characteristics of natural or constructed fea- USGS Digital Orthophoto Quarter-Quad (DOQ) covers a
tures and boundaries of earth. This information may be 1-m by 1-m square area; and 1 pixel of a high-resolution
derived from, among other things, mapping, surveying, and digital orthophoto produced specifically for a land devel-
remote sensing technologies. Geospatial data and spatial data opment project might cover a 6-in. by 6-in. area on the
are normally used interchangeably. However, spatial data ground. Such images are referred to as having 30-m, 1-m,
could include the size, relative location, and/or character- or 6-in. pixels respectively. This is also called the image
istics of features without knowing their exact geographic resolution. The resolution of scanned documents is referred
location (e.g., generic building plans that are not georefer- to in terms of dpi. Raster images can be displayed on the
enced), whereas geospatial data is always georeferenced in computer at different scales, to the point where ‘‘pixel
terms of geographic coordinates (latitude and longitude) or breakdown’’ occurs and individual pixels are visible, but
some form of rectangular coordinates (normally State Plane ‘‘zooming in’’ doesn’t improve the accuracy of such raster
or UTM coordinates). data.
Land development engineers and surveyors need to fully Somewhat different from a pixel, a raster grid cell is one
understand geospatial data, accuracy standards, modern element of a matrix formed by horizontal and vertical lines
geospatial technologies and capabilities/limitations thereof, at user-defined spacing (e.g., 10-m grid spacing). Raster
as well as information that could affect the selection of sub- grid cells often are used to display soil types, geology, veg-
contractors. etation classification, land use, land classification, and nat-
ural features that do not need to be depicted with smooth
TYPES OF GEOSPATIAL DATA lines and curves. Raster data normally is displayed in colors
This section is important because failure to understand the representing differing image characteristics for each pixel or
different types of geospatial data could cause the wrong data differing values for the attributes describing each grid cell.
to be requested, resulting in the subcontracting for data Vector data consists of 2-D (x / y) or 3-D (x / y/ z) coordi-
unsuitable for its intended purpose and/or additional ex- nates defining the locations of point, line, and area features
penses to correct misunderstandings. (related terms include nodes, vertices, shape points, arcs, de-
931
GEOSPATIAL DATA
932 T E C H N I C A L A P P E N D I C E S
generate lines, line strings, line chains, edges, polygons, and When someone refers to ‘‘planimetrics’’, he or she nor-
other terms that each have their own definitions). Vector mally means planimetric data that can be seen and mapped
data may be displayed on a computer with different colors, horizontally from stereo aerial photography, including hy-
line styles (solid, dashed, dotted, etc.), line weights (thick- drographic features (e.g., river and shore lines), transpor-
nesses), and symbols. Vector lines and curves are normally tation features (e.g., road/highway edge of pavement,
smooth, while grid cell raster data has a ‘‘stair step’’ ap- railroad tracks, airport runways and taxiways), man-made
pearance, especially when zoomed-in to view the raster data features (e.g., building footprints, bridges, transmission
at a large scale. CADD drawings are a form of vector data, lines) and other features that can be seen from aerial pho-
as are survey data with points having 2-D or 3-D coordi- tography. The term ‘‘planimetrics’’ does not normally in-
nates, and lines having distances and angles. clude boundary lines and underground utilities that cannot
Merged raster/vector data are now common with modern be mapped with stereo aerial photography, even though
geographic information systems (GIS). Raster images are they can be surveyed and georeferenced on planimetric
more understandable to humans, but attributed vector data maps. Similarly, a ‘‘plan view’’ shows the horizontal location
is more intelligible to computers. The merger of raster and of features as though looking straight down from infinity.
vector data (normally the overlay of vector data on top of Topographic maps display both the horizontal positions
raster images) allows the best of both worlds. The raster of natural and man-made features and boundary lines as
data normally serves as a base map for overlay of vector well as elevation data (normally contour lines). In a com-
GIS data. puter, topographic data may be 3-D files having x,y,z coor-
dinates for individual points or line strings, or they may be
Descriptive Data and Map Annotations different forms of 2-D files with at least one file including
contour lines with elevation attributes.
Descriptive data more fully describes the geospatial data. At-
Both planimetric data and topographic data are pro-
tributes describe the various point, line, and area features,
duced by surveying, photogrammetric mapping and/or re-
such as length, diameter, manufacturer, model, serial num-
mote sensing. Topographic data is also produced by new
ber, material composition, burial depth, or installation date
technologies, especially Light Detection and Ranging
of a utility feature. Often, feature-attribute codes are used
(LIDAR). These technologies are discussed below.
to describe diverse feature types. Alpha-numeric textual
Topographic data and topographic surveys normally end
data or attributes are often stored in relational databases
at the edge of water bodies, but they often include the el-
such as Oracle, Informix, or dBase, and selected items from
evation of a lake.
the database may be displayed on maps. Descriptive data-
bases can be managed separately from geospatial data; for Digital Elevation Models (DEMs)
example, a tax assessor’s database may be linked to a
DEMs have at least three different meanings to different
county’s parcel maps but maintained separately and confi-
users. For some, DEM is a generic term for digital topo-
dentially from spatial databases available to the general
graphic and/or bathymetric data in all its various forms.
public.
For the United States Geological Survey (USGS), a DEM is
Annotations are map symbols or alpha-numeric labels,
a standard form of elevation dataset at regularly spaced in-
such as route numbers, elevations, or names of towns,
tervals in x and y directions (normally 10 or 30-m spacing),
streets, rivers, or mountains, placed on maps. On digital
using z-values georeferenced with UTM coordinates. For
maps, annotations are normally key-entered, then stored
others in the United States, a DEM has z-values at regularly-
with coordinates for the beginning, center, or ending of the
spaced intervals in x and y directions, but following alter-
annotation and/or with other rules for placement and ori-
native specifications, perhaps with narrower grid spacing
entation, text fonts, and special characters and symbols of
and State Plane coordinates, for example. DEMs always im-
various sizes.
ply elevations of the terrain (bare earth z-values) void of
vegetation and man-made features, as opposed to Digital
Planimetric Maps and Topographic Maps Surface Models (DSMs) that include the elevations of tree-
Planimetric maps display the horizontal positions of natural tops, rooftops, towers, and other features elevated above the
and man-made features and boundary lines, and planimetric terrain. In Europe, DEMs are considered to be synonymous
data is displayed in two dimensions only. If maps do not with Digital Terrain Models (DTMs); but in the United
display elevation data, with contour lines or an alternative States, DTMs may include irregularly-spaced points, Trian-
method, they are planimetric maps. In a computer, plani- gulated Irregular Network (TIN) data, or DEMs supple-
metric data is treated as 2-D files having x,y coordinates. mented with breaklines where the slope changes.
Digital orthophotos are a form of planimetric map where For more information on this subject, see ASPRS, 2001
no elevation data is presented. Planimetric maps and plani- published by the American Society for Photogrammetry and
metric data normally form the base maps for overlay of Remote Sensing (ASPRS); it is entitled: ‘‘Digital Elevation
other data required for a land development project. Model Technologies and Applications: the DEM Users Man-

GEOSPATIAL DATA
37 䡲 GEOSPATIAL DATA 933
ual.’’ Also, procedures on photogrammetric production of BFE, or if buildings are constructed on the wrong side of a
DEMs is included below. property line. Understanding horizontal datums requires an
understanding of ellipsoids, and understanding vertical da-
Contours tums requires an understanding also of the geoid. Many land
Contours are lines of equal elevation. We all know them development projects go astray annually in the U.S. because
and generally love them. They are best produced by stereo of confusion regarding these topics, discussed in this sec-
photogrammetric compilation where the operator can see tion.
the breaklines (where the slope changes) and can manually
shape the contour lines so that they are aesthetically pleas- Ellipsoids
ing. When manually compiling photogrammetrically, the Precise survey calculations are based on a mathematical sur-
compiler also shapes contours (according to established face called an ellipsoid—an ellipse of revolution, rotated
rules) where they cross streams and roads, adjoin lakes and around the (shorter) polar axis, which approximates the size
rivers, etc. and shape of the earth. As shown at Figure 37.1, these
When contours are generated automatically from DEMs, ellipsoids have a semi-major axis ‘‘a’’ (distance from the el-
they are not as aesthetically pleasing. A DEM has no way lipsoid’s center to the surface along the equatorial plane)
of knowing where a breakline exists between DEM points and a semi-minor axis ‘‘b’’ (distance from the ellipsoid’s cen-
and, therefore, can’t automatically shape the contours to ter to the poles). From ‘‘a’’ and ‘‘b,’’ the flattening ‘‘f’’ ⫽
depict streams, roads, retaining walls, etc. correctly. High- (a ⫺ b)/a can be calculated. For centuries, different ellip-
resolution imagery can assist when using DEMs to develop soids were used around the world, chosen to best fit the
contours, but it is best to generate contours photogram- terrain in different geographic areas. Until the 1970s, the
metrically in the first place. It’s a much simpler process to U.S. used the Clarke 1866 ellipsoid that was not earth-
convert from contours to DEMs than it is to convert from centered (ellipsoid’s center coinciding with the center of the
DEMs to contours. earth). Other countries used different ellipsoids that better
fit their local topography (e.g., International, Bessel, and
Digital Orthophotos Clarke 1880 ellipsoids used in Europe, Asia, and Africa),
A digital orthophoto is a digital image from a perspective but none of those ellipsoids were earth-centered.
aerial photograph, corrected by photogrammetric differen- With the advent of earth-orbiting satellites in the 1960s
tial rectification so that image displacements caused by and 1970s, the United States was able to develop earth-
camera tilt and terrain relief (changes in elevation) are re- centered ellipsoids, optimized to fit the entire world and
moved. This converts the image from a perspective projec- not just individual countries in isolation. One of the first
tion into an orthographic projection (as though looking was the World Geodetic System of 1972 (WGS 72), then
down on all points from straight above). The digital ortho- the Geodetic Reference System of 1980 (GRS 80), and fi-
photo is created by scanning an aerial photograph diapos- nally the World Geodetic System of 1984 (WGS 84), which
itive transparency with a precision-image scanner. The is slightly different from GRS 80 but can be considered to
scanned data file is then digitally rectified to an ortho- be identical for all practical purposes. The defining para-
graphic projection by processing each image pixel through meters of the ellipsoids mentioned above are listed in Table
photogrammetric space-resection equations. This process 37.1. These parameters are embedded in most standard
requires, as input, ground control points acquired from CADD and GIS software used in the United States today.
ground surveys, camera calibration parameters, camera ex-
terior-orientation parameters from aerotriangulation, and a Datums
DEM. Because they are rectified differentially with DEMs, A datum can be thought of as the origin or basis to which
only ground features shown on digital orthophotos are ac- all survey measurements are referenced. Horizontal datums,
curate positionally; elevated features (e.g., rooftops, towers) used for horizontal coordinates, are based on ellipsoids on
are normally displaced outward from the center of the pho- which mathematical survey calculations can be performed;
tograph from which they are produced. Digital orthophotos but this doesn’t just require definitions of the size of the
are very popular as community base maps because of their ellipsoid, but the origin and orientation of that ellipsoid
relative low cost, making it affordable to revise orthophotos relative to the equator, poles, and the astronomic universe.
periodically to keep base maps up-to-date. More informa- Vertical datums, used for elevations, are based on some
tion on digital orthophotos is included below. form of mean sea level (or where mean sea level would
project under the land’s surface coinciding with changes in
HORIZONTAL AND VERTICAL DATUMS gravity). The problem with datums is that there are too
Survey data referenced to the wrong datum can have cata- many of them. For example, some communities have over
strophic results on a land development project, especially a dozen different vertical datums, several without known
if new buildings are constructed below the base flood ele- translation formulas into the United States standard vertical
vation (BFE) that should have been built higher than the datum.

GEOSPATIAL DATA
F I G U R E 3 7 . 1 There are two common ways to express the three-dimensional coordinates of a point on the Earth: (a) Orthogonal x, y coordinates
(e.g., State Plane or UTM coordinates), and z values (elevations); and (b) geographic coordinates, i.e., latitude (␾), longitude (␭), and elevation (not
shown). Figure 37.1-a shows the semi-major axis (a) and semi-minor axis (b), which define an ellipsoid, as well as the geodetic latitude (␾) of a
hypothetical point O. Figure 37.1-b shows the geodetic longitude (␭) of point O and the azimuth angle (␣) to a fixed point P.
Horizontally, United States mapping agencies such as the Geodetic Survey (NGS) in July 1986 and was adopted as
U.S. Geological Survey (USGS) and the U.S. Army Corps the official horizontal datum of the United States in June
of Engineers previously used the Clarke 1866 ellipsoid with 1989 and Canada in May 1990. Failure to convert correctly
a datum point origin at Meades Ranch in Kansas for the between NAD 27 and NAD 83 coordinates can cause hor-
North American Datum of 1927 (NAD27); but they now izontal errors of hundreds of meters.
use the GRS 80 ellipsoid with the earth center of mass as Vertically, there are also differences between mean sea
the datum point origin for the North American Datum of level (MSL), the National Geodetic Vertical Datum of 1929
1983 (NAD 83). NAD 83 was completed by the National (NGVD 29), and the North American Vertical Datum of
TABLE 37.1 Common Ellipsoids

FLATTENING
INVERSE
ELLIPSOID SEMI-MAJOR AXIS (A) SEMI-MINOR AXIS (B) (1/f)
International 6,378,388 meters 6,356,911.9462 meters 437

.....................................................................................................................
Bessel 1841 6,377,397.155 meters 6,356,078.9643 meters 439.15281
.....................................................................................................................
Clarke 1866 6,378,206.4 meters 6,356,583.8 meters 434.97869
.....................................................................................................................
Clarke 1880 6,378,249.145 meters 6,356,514.8696 meters 433.465
.....................................................................................................................
WGS 72 6,378,135 meters 6,356,750.5 meters 438.26
.....................................................................................................................
GRS 80 6,378,137 meters 6,356,752.3141 meters 438.25722
.....................................................................................................................
WGS 84 6,378,137 meters 6,356,752.3142 meters 438.25722

GEOSPATIAL DATA
1988 (NAVD 88). Local mean sea level (LMSL) is the result crunch.tec.army.mil; under Surveying Engineering and
of hourly values of still water levels observed over a tidal Mapping Center of Expertise; Publications).
epoch of 19 years. The arithmetic mean of the observed
levels at each station is taken as LMSL for each station in- Geoid
cluded in the observations. LMSL can be used for a vertical Traditional land survey techniques utilize instruments that
datum of reference that is based on the observation of one are ‘‘leveled’’ to establish a horizontal line of sight that is
or more nearby tidal gauging stations. NGVD 29 was es- perpendicular to the local direction of gravity. Astronomic
tablished based on the assumption that the height of local observations for determining latitude, longitude and azi-
mean sea level at 21 tidal stations in the United States and muths, as well as traditional land surveying techniques (lev-
five tidal stations in Canada equaled 0.0000 foot on the eling, triangulation, trilateration, or traverse), measure
NGVD. However, local mean sea level at these 26 tidal sta- angles, distances or elevations relative to plumb lines called
tions actually represents 26 different elevations, and not ‘‘verticals,’’ which normally do not point to the center of the
zero elevation, because topography, ocean currents, tides, earth. Gravity anomalies, resulting from variations in the
winds, and other factors cause actual elevations to be dif- mass of the earth, cause the direction of gravity to shift
ferent at these 26 tidal stations. Imagine if Panama used the slightly towards the direction of mass excesses (e.g., moun-
same logic and said that mean sea level on the Pacific end tains) and away from the direction of mass deficiencies
of the Panama Canal represented the same (zero) elevation (e.g., oceans). The geoid (an equipotential surface where
as mean sea level on the Caribbean end of that canal; major the gravity potential is equal to that at the vertical datum
elevation discrepancies would undoubtedly exist through- origin) undulates smoothly up and down, causing a geoid
out that country. height or geoid undulation above or below the ellipsoid. El-
The United States is fortunate that this basic erroneous evations (orthometric heights) from conventional surveys
assumption for NGVD 29 causes elevation discrepancies of are referenced to this geoidal surface, whereas elevations
no more than 1.5 m anywhere in the United States. But the from GPS surveys are actually ‘‘ellipsoid heights’’ or eleva-
magnitude of the problem wasn’t understood until satellite tions above or below the WGS 84 ellipsoid (see Figure
technology enabled surveyors to think and survey globally 37.2). When merging GPS data with conventional survey
in order to determine the true size and shape of the earth. data, it is imperative that the survey specialist use the latest
NAVD 88, officially implemented by a Federal Register NGS geoid model to convert ellipsoid heights (from GPS
announcement on June 21, 1993, is based on the mass or observations) into orthometric heights (equivalent to con-
density of the earth instead of the varying values of the ventional surveys). Failure to do so can cause elevation dis-
heights of the seas. Measurements of the acceleration of crepancies of 30 mm or more. During the past decade, NGS
gravity are made at observation points in the network being
used, and only one point is defined as the datum point.
The vertical-reference surface, the geoid, is then defined by
the surface on which the gravity potential values are equal
to the datum point value; this equipotential surface is called
the geoid. The National Geodetic Survey completed the
analyses of measurements and the adjustments of the re-
sulting data. The datum point for NAVD 88 was defined
using the reference station at Pointe-au-Pere (Father Point/
Rimousk) on the St. Lawrence River, Province of Quebec,
Canada. Failure to convert elevations correctly between
NGVD 29 and NAVD 88 could cause elevation discrepan-
cies up to 1.5 m.
The National Geodetic Survey (NGS) provides NADCON
software for conversions between NAD 27 and NAD 83 and
VERTCON software for conversions between NGVD 29 and
NAVD 88 (see the NGS home page at www.ngs.noaa.gov,
F IGURE 3 7 . 2 The Earth’s mass anomalies cause variations in
NGS Geodetic Tool Kit, to download PC software). Simi- the direction of gravity. The geoid is a smooth but undulating surface that
larly, the U.S. Army Corps of Engineers provides free always has the direction of gravity perpendicular to it. The vertical, which
CORPSCON software for this purpose, based on NADCON follows the plumb line or direction of gravity for any given point, is per-
and VERTCON (see the U.S. Army Topographic Engi- pendicular to the geoid at that point and usually does not pass through the
neering Center home page at www.tec.army.mil; then Earth’s center of mass. The normal is perpendicular to the ellipsoid and
usually does not pass through the center of the ellipsoid. The deflection of
What We Do; Products and Services; Software Available; the vertical is the angle between the normal and the vertical. The geoid
and CORPSCON. Numerous Corps of Engineers Engi- undulation is the distance, taken along a perpendicular to the ellipsoid,
neer Manuals can also be downloaded from http:/ / from that ellipsoid to the geoid.

GEOSPATIAL DATA
has published revised geoid models on a 3-yr cycle (i.e., relative to our horizontal and vertical datums (i.e., NAD 83
Geoid 90, Geoid 93, Geoid 96, and Geoid 99). and NAVD 88). As per the NSDI framework motto, the
NSRS represents survey control ‘‘data you can trust’’—the
NATIONAL SPATIAL DATA INFRASTRUCTURE (NSDI) best available data for any area within the United States. It’s
Framework Data accurate, it’s readily available on the web, it’s simple to use,
and it’s free. NSRS data should be used as the foundation
The National Spatial Data Infrastructure (NSDI) is defined for any land development survey project.
as the technologies, policies, and people necessary to pro- To locate the most suitable NSRS survey monuments
mote sharing of geospatial data throughout all levels of gov- for any project area, visit the NGS home page at
ernment, the private and non-profit sectors, and the www.ngs.noaa.gov; then click on Data Sheets. Under
academic community. The NSDI framework is a collabora- ‘‘Search the NGS DataBase and Retrieve Data Sheets,’’ one
tive effort to create a widely-available source of basic geo- can select either ‘‘Radial Search’’ or ‘‘Rectangular Search.’’
graphic data. It provides the most common data themes Under ‘‘Radial Search,’’ enter the latitude and longitude of
geographic data users need, as well as an environment to the center of the land development project area or the es-
support the development and use of these data. The frame- timated geographic coordinates of the local-network control
work represents ‘‘data you can trust’’—the best available point to be surveyed, plus the circular search radius in
data for an area, certified, standardized, and described ac- miles, up to 20 miles maximum. Alternatively, under ‘‘Rec-
cording to a common standard. tangular Search,’’ enter the Min-Max values for the latitude
The NSDI framework provides a foundation on which and longitude of the rectangle surrounding the project site
organizations can build by adding their own detail and or the local-network control point to be surveyed. NGS data
compiling other data sets. Its key aspects are: (1) seven sheets will be listed for all NSRS monuments within the
themes of digital geographic data that are commonly used, search area, so that the best monuments can be selected for
including geodetic control, orthoimagery, elevation, trans- extension of subsequent control. If more than 100 NSRS
portation, hydrography, governmental units, and cadastral control points exist within the specified area, the user will
information; (2) procedures, technology, and guidelines that need to subdivide the rectangular search area or narrow the
provide for integration, sharing, and use of these data; (3) radial search area in order to fit below the 100 maximum
institutional relationships and business practices that en- data sheets that can be printed from the web site.
courage the maintenance and use of the data. Last, the user will be asked to select survey control
points in one of three categories:
National Spatial Reference System (NSRS)
The National Spatial Reference System (NSRS) is a consis- 䡲 Any horizontal and/or vertical control point (sur-
tent coordinate system that defines latitude, longitude, veyed by any method—conventional or GPS)
height, scale, gravity, and orientation throughout the United 䡲 Any horizontal control point only (surveyed by any
States, and how these values change with time. The NSRS method—conventional or GPS)
comprises the following:
䡲 GPS sites only
1. The National CORS, a set of global-positioning-
system, continuously-operating reference stations FEDERAL GEOGRAPHIC DATA COMMITTEE (FGDC)
meeting the highest standards for defining the geodetic GEOSPATIAL POSITIONING ACCURACY STANDARDS
datum Replacement for National Map Accuracy Standard
2. A network of permanent survey monuments in- For a half century, nearly all maps were produced in ac-
cluding the Federal Base Network (FBN), Cooperative cordance with the National Map Accuracy Standards
Base Network (CBN), and User Densification Network (NMAS) published in 1947. But the NMAS was replaced in
(UDN) 1998 by new FGDC Geospatial Positioning Accuracy Stan-
dards for digital geospatial data. It is important for land
3. A consistent, accurate, and up-to-date national
development surveyors and engineers to understand the
shoreline
differences between the new and old standards. This sub-
4. A set of accurate models describing dynamic geo- section will first summarize the old standards before com-
physical processes that affect spatial measurements paring them with the new standards.
According to the NMAS (Bureau of the Budget, 1947),
The NSRS provides a highly accurate, precise, consistent horizontal and vertical accuracy of maps were defined as
geographic framework throughout the United States. It is follows:
the foundation for the NSDI, a critical component of the
information superhighway, and a significant national re- 䡲 For maps produced at a scale of 1:20,000 and
source. It includes hundreds of thousands of geodetic con- larger (which includes most land development pro-
trol monuments and benchmarks that have been surveyed jects), ‘‘not more than 10 percent of the points tested

GEOSPATIAL DATA
shall be in error by more than 1⁄30 inch, measured on Part 1: Reporting Methodology
the publication scale . . . These limits of accuracy shall Reference FGDC-STD-007.1-1998 at www.fgdc.gov/
apply in all cases to positions of well defined points standards/documents/standards/chapter1.pdf.
only. ‘Well defined’ points are those that are easily visi- Part 1 (FGDC, 1998a) provides a common methodology
ble or recoverable on the ground, such as the follow- for reporting the accuracy of horizontal and/or vertical co-
ing: monuments or markers, such as bench marks, ordinate values for clearly-defined features where the loca-
property boundary monuments, intersections of roads, tion is represented by a single-point coordinate, either 2-D
railroads, etc.; corners of large buildings or structures or 3-D. Examples are: survey monuments; prominent land-
(or center points of small buildings), etc. In general marks such as church spires, standpipes, radio towers, tall
what is ‘well defined’ will also be determined by what chimneys, and mountain peaks; and targeted photogram-
is plottable on the scale of the map within 1⁄100 inch.’’ metric control points. It provides the means to compare
At map scale, the Circular Map Accuracy Standard directly the accuracy of coordinate values obtained by one
(CMAS) equals 1⁄30th of an inch; at ground scale, the method (e.g., a cartographically-derived value) with that
CMAS equals 1⁄30th of an inch divided by the map obtained by another method (e.g., a GPS geodetic network
scale. For example, DOQs compiled at 1 in ⫽ 1,000 ft survey) for the same point. This helps the users to know
have a CMAS of 1⁄30th of an inch on the map or 33.3 not only the coordinate values but also the accuracy of
ft on the ground. those coordinate values, so they can decide which coordi-
nate values represent the best estimate of the true value for
䡲 ‘‘Vertical accuracy, as applied to contour maps on
their applications.
all publication scales, shall be such that not more than
According to FGDC, 1998a, horizontal and vertical ac-
10 percent of the elevations tested shall be in error
curacy are to be reported in ground distances at the 95%
more than one-half the contour interval. In checking confidence level, as follows:
elevations taken from the map, the apparent vertical
error may be decreased by assuming a horizontal dis- 䡲 Horizontal: ‘‘The reporting standard in the horizon-
placement within the permissible horizontal error for a tal component is the radius of a circle of uncertainty,
map of that scale.’’ The Vertical Map Accuracy Stan- such that the true or theoretical location of the point
dard (VMAS) equals one-half the contour interval on falls within that circle 95-percent of the time.’’ Part 3
the map, or 2.5 ft in ground elevation if the contour refers to this horizontal accuracy component as ‘‘Accur-
interval is 5 ft, for example. acyr.’’
Both the CMAS and the VMAS are standards at the 90% 䡲 Vertical: ‘‘The reporting standard in the vertical
confidence level, but these NMAS errors do not necessarily component is a linear uncertainty value, such that the
follow a normal distribution—that is, there are no limits to true or theoretical location of the point falls within Ⳳ
the size of the errors that exceed the CMAS or VMAS. of that linear uncertainty value 95-percent of the time.’’
With digital data, the geospatial-data community recog- Part 3 refers to this vertical accuracy component as
nized that these standards were inappropriate since the ‘‘Accuracyz.’’
scale and contour interval of a digital map could be 䡲 Furthermore, accuracy is to be reported in terms of
changed with the click of a computer mouse, without local accuracy or network accuracy.
changing the underlying accuracy of the data. Just because
one can easily ‘‘zoom in’’ on GIS data and view the data at 䡲 ‘‘The local accuracy of a control point is a value
that represents the uncertainty in the coordinates of
high resolution does not mean that the data suddenly gets
the control point relative to the coordinates of other
more accurate.
directly connected, adjacent control points at the 95-
In 1990, the American Society for Photogrammetry and
percent confidence level. The reported local accuracy is
Remote Sensing published the ASPRS Standards for Large
an approximate average of the individual accuracy val-
Scale Maps (ASPRS, 1990). These ‘‘ASPRS 90’’ standards
ues between this control point and other observed
were modified subsequently by the FGDC in the FGDC
control points used to establish the coordinates of the
Geospatial Positioning Accuracy Standards, published in
control point.’’ (For practical purposes, local accuracy
1998, which officially replaced the NMAS for digital spatial
can be considered the equivalent of relative accuracy,
data. These new standards have three parts:
defined in other FGDC standards as ‘‘point-to-point ac-
䡲 Part 1: Reporting Methodology (FGDC, 1998a) curacy.’’)
䡲 ‘‘The network accuracy of a control point is a value
䡲 Part 2: Standards for Geodetic Networks (FGDC,
that represents the uncertainty in the coordinates of
1998b)
the control point with respect to the geodetic datum at
䡲 Part 3: National Standard for Spatial Data Accuracy the 95-percent confidence level. For NSRS network ac-
(NSSDA)(FGDC, 1998c) curacy classification, the datum is considered to be

GEOSPATIAL DATA
best expressed by the geodetic values at the Continu-

TABLE 37.2 FGDC Accuracy Standards
ously Operating Reference Stations (CORS) supported
by NGS. By this definition, the local and network ac- ⱕ M AT 95% CONFIDENCE
curacy values at CORS sites are considered to be infin- ACCURACY CLASSIFICATION LEVEL
itesimal, i.e., to approach zero.’’ (For practical
purposes, network accuracy can be considered the 1-Millimeter 0.001 meters
equivalent of absolute accuracy, defined in other FGDC 2-Millimeter 0.002 meters
standards as ‘‘accuracy stated with respect to a defined 5-Millimeter 0.005 meters
.....................................................
datum or reference system.’’)
1-Centimeter 0.01 meters
Part 2: Standards for Geodetic Networks
Reference FGDC-STD-007.2-1998 at www.fgdc.gov/ .....................................................
standards/documents/standards/chapter2.pdf. 1-Decimeter 0.1 meter
Part 2 (FGDC, 1998b) provides a common methodology 2-Decimeter 0.2 meter
for determining and reporting the accuracy of horizontal 5-Decimeter 0.5 meter
and vertical coordinate values for geodetic control points .....................................................
represented by survey monuments such as brass disks and 1-Meter 1.0 meter
rod marks. It provides a means to compare directly the 2-Meter 2.0 meters
accuracy of coordinate values obtained by one method (e.g., 5-Meter 5.0 meters
a classical line-of-sight traverse) with the accuracy of co-
ordinate values obtained by another method (e.g., a GPS
geodetic network survey) for the same point.
According to FGDC, 1998b, geodetic control surveys are Part 3: National Standard for Spatial Data Accuracy
usually performed to establish a basic control network (NSSDA)
(framework) from which supplemental surveying and map- Reference FGDC-STD-007.3-1998 at www.fgdc.gov/
ping work is performed (e.g., for land development). Ge- standards/documents/standards/chapter3.pdf.
odetic network surveys are distinguished by use of The National Standard for Spatial Data Accuracy
redundant, interconnected, permanently-monumented con- (NSSDA) (FGDC, 1998c) implements a statistical and test-
trol points that comprise the framework for the NSRS or ing methodology for estimating the positional accuracy of
are often incorporated into the NSRS. Such surveys must points on maps and in digital geospatial data, with respect
be performed to far more rigorous accuracy and quality to georeferenced ground positions of higher accuracy. The
assurance standards than those for control surveys for gen- NSSDA applies to fully georeferenced maps and digital
eral engineering or construction. However, geodetic control geospatial data, in either raster, point or vector format, de-
surveys are required for: controlling interstate transporta- rived from sources such as aerial photographs, satellite im-
tion corridors (e.g., highways, pipelines, and railroads); agery, and ground surveys. Contrary to the National Map
long-span bridge-construction alignment; geophysical stud- Accuracy Standard, which is now obsolete, the NSSDA does
ies; and structural-deformation monitoring of dams, build- not define threshold accuracy values. Producing agencies
ings, and similar facilities. and users must identify acceptable accuracies for their ap-
The NSRS supports both local accuracy and network ac- plications. Data and map producers must determine what
curacy. Local accuracy is best adapted to check relations accuracy exists or is achievable for their data and report it
between nearby control points; for example, a surveyor according to the NSSDA.
checking closure between two NSRS points is mostly inter- According to FGDC, 1998c, ‘‘Accuracy is reported in
ested in a local accuracy measure. On the other hand, ground distances at the 95% confidence level. Accuracy re-
someone constructing a GIS or LIS will often need some ported at the 95% confidence level means that 95% of the
type of positional tolerance associated with a set of coor- positions in the dataset will have an error with respect to
dinates. Network accuracy measures how well coordinates true ground position that is equal to or smaller than the
approach the error-free datum. To establish the network ac- reported accuracy value. The reported accuracy value re-
curacy of a control point, it is not necessary to connect flects all uncertainties, including those introduced by
directly to a CORS; however, it is necessary that the survey geodetic control coordinates, compilation, and final com-
be connected properly to existing NSRS control points with putation of ground coordinate values in the product.’’
established network accuracy values. The NSSDA uses root-mean-square error (RMSE) to es-
Table 37.2 lists current FGDC accuracy standards. Such timate positional accuracy. RMSE is the square root of the
accuracies are reported separately for horizontal coordi- average of the set of squared differences between dataset
nates, ellipsoid heights, and orthometric heights (eleva- coordinate values and coordinate values from an indepen-
tions). dent source of higher accuracy for identical points.

GEOSPATIAL DATA
Well-established procedures (e.g., field surveys or pho- If elevation errors are believed to have a normal distri-
togrammetry with fully-analytical aerial triangulation) re- bution, a conversion can be made between the NMAS’s Ver-
port accuracy as follows: ‘‘Compiled to meet (meters, tical Map Accuracy Standard (VMAS) and NSSDA’s RMSEz
feet) horizontal accuracy at 95% confidence level; (me- and Accuracyz as follows:
ters, feet) vertical accuracy at 95% confidence level.’’
New or questionable procedures (e.g., LIDAR or pho- VMAS ⫽ 1.6449 ⫻ RMSEz
togrammetry without fully-analytical aerial triangulation) or Accuracyz ⫽ 1.1916 ⫻ VMAS
report accuracy as follows: ‘‘Tested (meters, feet) hori-
zontal accuracy at 95% confidence level; (meters, feet) or Contour Interval ⫽ 3.2898 ⫻ RMSEz
vertical accuracy at 95% confidence level.’’
Table 37.4 provides examples of equivalent vertical-
When determined to be required, accuracy testing by an
accuracy standards, comparing the NMAS accuracy thresh-
independent source of higher accuracy is the preferred test
olds (90% confidence level) for specified contour intervals
for positional accuracy. Horizontal accuracy should be
with comparable accuracy reported per NSSDA terminology
tested by comparing the planimetric coordinates of well-
in terms of RMSEz and Accuracyz (95% confidence level).
defined points in the dataset with coordinates of the same
It should be noted that the NMAS/NSSDA equivalencies
points from an independent source of higher accuracy. A
in Tables 37.3 and 37.4 can only be made by assuming that
well-defined point represents a feature for which the hori-
all errors have a normal distribution. With the NSSDA, this
zontal position is known to a high degree of accuracy and
assumption is clearly true since the 5% of outlier errors
position with respect to the geodetic datum; for the purpose
(like all others in the dataset) will also be squared in the
of accuracy testing, well-defined points must be easily vis-
RMSE calculation; however, with the NMAS, this assump-
ible or recoverable on the ground, on the independent
tion is not necessarily true since 10% of the check points
source of higher accuracy, and on the mapping or GIS prod-
are allowed to exceed the accuracy threshold, regardless of
uct itself. Vertical accuracy should be tested by comparing
size. The NMAS outliers could presumably be very large
the elevations in the dataset with elevations of the same
errors, whereas the NSSDA outliers would presumably be
points as determined from an independent source of higher
relatively small, or else they’d skew the RMSE calculations.
accuracy; graphic-contour data and digital-topographic data
Both methods presume that all systematic errors have been
may not contain well-defined points; therefore, the accuracy
identified and corrected prior to accuracy determinations.
of a DEM is computed by a comparison of linearly-
interpolated elevations in the DEM with corresponding
MAP PROJECTIONS
known elevations of check points of higher accuracy.
Normally, a minimum of 20 check points should be Whereas precise survey calculations are based on a math-
tested; then, the 95% confidence level allows one point to ematical surface called an ellipsoid, survey calculations per-
fail the threshold given in product specifications. formed for land development purposes routinely assume
For horizontal accuracy testing, the radial RMSE the earth is flat, and they utilize a Cartesian coordinate sys-
(RMSEr) is determined; then Accuracyr ⫽ 1.7308 ⫻ RMSEr, tem of 2-D (x,y) or 3-D (x,y,z) coordinates. This section
where RMSEr ⫽ sqrt [RMSE2x ⫹ RMSE2y ]. explains how map projections are used to map the nearly
If horizontal errors are believed to have a normal distri- spherical earth onto a 2-dimensional map sheet, including
bution, a conversion can be made between the NMAS’s Cir- cylinders and cones that are cut and laid flat; the next sec-
cular Map Accuracy Standard (CMAS) and NSSDA’s RMSEr tion will explain how State Plane Coordinate Systems are
and Accuracyr as follows: developed from these map projections tailored to best fit
individual states within the United States.
CMAS ⫽ 1.5175 ⫻ RMSEr To set the record straight from the very beginning, one
cannot map a spherical surface onto a flat piece of paper
or Accuracyr ⫽ 1.1406 ⫻ CMAS
without compromising one or more of the following: angles,
Table 37.3 provides examples of equivalent horizontal distances, or areas. Something has to give! In projecting
accuracy standards, comparing the NMAS accuracy thresh- from a spherical or ellipsoidal surface to a flat surface, the
olds (90% confidence level) for specified map scales with true shape of the features must change. However, projec-
comparable accuracy reported per NSSDA terminology in tions can be designed to preserve angles, distances, or areas,
terms of the RMSEr and the Accuracyr (95% confidence but not all three factors at once. Conformal projections re-
level). tain both angles and distances within defined limits. The
For vertical accuracy testing, the vertical RMSE (RMSEz) two most common conformal projections in the U.S. are
is determined; then Accuracyz ⫽ 1.9600 ⫻ RMSEz. (At the Lambert Conformal Conic and the Transverse Mercator.
www.fgdc.gov/standards/documents/standards/elevation/
elev 199.pdf, FGDC, 1999, the RMSEz of DEMs is com- Scale Factors
puted by a comparison of linearly-interpolated elevations in All dimensions surveyed on the earth are changed propor-
the DEM with corresponding known elevations.) tionately when mapped at a reduced scale. Few points,

GEOSPATIAL DATA
TABLE 37.3 NMAS and NSSDA Horizontal Accuracy Equivalencies

MAP SCALE OR NMAS, CMAS AT NSSDA, ACCURACYr AT
COMPILATION SCALE 90% CONFIDENCE LEVEL 95% CONFIDENCE LEVEL RMSEr
1ⴖ ⫽ 50⬘ ⁄30th inch ⫽ 1.67⬘

1
1.90⬘ 1.10⬘
or 1:600 ground distance ground distance ground distance
.....................................................................................................................
1ⴖ ⫽ 83.3⬘ 1
⁄30th inch ⫽ 2.78⬘ 3.17⬘ 1.83⬘
.....................................................................................................................
1ⴖ ⫽ 100⬘ 1
⁄30th inch ⫽ 3.33⬘ 3.80⬘ 2.20⬘
.....................................................................................................................
1ⴖ ⫽ 200⬘ 1
⁄30th inch ⫽ 6.67⬘ 7.60⬘ 4.39⬘
however, are mapped exactly to the specified scale where ellipsoid, the elevation factor will be slightly less than one.
the scale factor is exactly 1.000000000. Scale factor ⫽ (map Alternatively, if the terrain were near to sea level (below the
distance)/(ground distance ⫻ scale). With UTM coordi- ellipsoid), the elevation factor would be slightly greater than
nates, the scale factor is normally between 0.99960 and one.
1.00040. With State Plane coordinates, the scale factor is The zone scale factor accounts for the projection surface
normally between 0.99990 and 1.00010. The scale factor being either above or below the ellipsoid on which the map
on any map varies throughout the map and may vary in projection is based. The zone scale factor is exactly one only
different directions at any given point. along a line where the projection surface is tangent to the
The overall scale factor (also called the grid scale factor) ellipsoid. To better understand this concept, let’s see how
is the product of the elevation factor and the zone scale factor. this works with the three standard projection surfaces: cyl-
The elevation factor accounts for the elevation of the inders, cones, and planes.
terrain being either above or below the ellipsoidal surface
on which map projections are based. As shown at Figure Cylindrical Projections
37.3, the elevation factor equals R/(R ⫹ H ⫹ N) Since the elevation factor has already accounted for those
scale errors caused by variations in elevation, suppose the
where: earth had a smooth ellipsoidal shape (no mountains or val-
R ⫽ the mean radius of the earth (assume 6,372,000 leys), and the entire surface of the earth was covered with
m) a thin glass, ellipsoidal shell, with all features painted on it,
H ⫽ orthometric height or elevation above mean sea and then the earth was miraculously sucked out, leaving
level (the geoid) only the hollow, transparent shell shaped like the ellipsoid.
N ⫽ the geoid height or separation from the ellipsoid Then, suppose there was a very bright point light source at
(between ⫺8 and ⫺53 meters in the continental the center of the earth, and the earth (shell) was wrapped
U.S.—i.e., always a negative number in the above with a huge paper cylinder that just touched the earth’s
equation). ellipsoid at its equator. Then the light would cause all fea-
tures to be projected through the glass to the cylinder of
As shown in Figure 37.3, where the terrain is above the paper that could be unrolled as a flat 2-dimensional map.
TABLE 37.4 NMAS and NSSDA Vertical Accuracy Equivalencies

CONTOUR INTERVAL AT NMAS, VMAS AT 90% NSSDA, ACCURACYz AT
WHICH COMPILED CONFIDENCE LEVEL 95% CONFIDENCE LEVEL RMSEz
6ⴖ 3ⴖ 3.57ⴖ or 9.08 cm 1.82ⴖ or 4.63 cm

.....................................................................................................................
1⬘ 6ⴖ 7.15ⴖ or 18.16 cm 3.65ⴖ or 9.27 cm
.....................................................................................................................
2⬘ 12ⴖ 14.30ⴖ or 36.32 cm 7.30ⴖ or 18.53 cm
.....................................................................................................................
5⬘ 30ⴖ 35.75ⴖ or 90.80 cm 18.24ⴖ or 46.33 cm

GEOSPATIAL DATA
Vietnam, Laos, Cambodia, and Indonesia in the Eastern

Hemisphere.
Next, suppose the diameter of this cylinder is somewhat
smaller than the diameter of the earth. Now the cylinder
cuts through the glass ellipsoid along two circular standard
lines that are smaller than a Great Circle. For the Washing-
ton D.C. example, one circle is parallel to but east of the
Great Circle that passes through Washington, D.C., and the
second circle is parallel to but west of the Great Circle that
passes through Washington, D.C. (See Figure 37.4). Along
these two circles, the zone scale factors are exactly 1. Be-
tween these two circles is the central meridian where fea-
tures would be mapped smaller than they really are and the
zone scale factors are less than 1. Outside these two circles,
features would be mapped larger than they really are and
the zone scale factors would all be larger than 1. Now,
within a narrow north-south band, all locations are mapped
at their approximately correct scale. This theoretical ap-
proach is the basis for the Transverse Mercator projection
F IGURE 3 7 . 3 Features scaled from a map (S) do not exactly used throughout much of the world for areas longer in the
match the surveyed ground distances (D) between those features, even after north-south direction.
applying the published map scale because of variations in the elevations The important thing to remember about the Transverse
of mapped features. Figure 37.3 explains the elevation factor that causes
scaling errors as a result of elevations above or below the ellipsoid on Mercator projection is that the theoretical cylinder could be
which the map projection is based. rotated to any longitude so as to change the narrow north-
south band for which maps would have the approximate
correct scale. The Transverse Mercator projection is best for
Only features on the equator would be mapped to the cor- states or small countries that are longer in the north-south
rect scale where the zone scale factor is exactly 1, and other direction (e.g., Idaho, Illinois, and the Florida peninsula).
features would be mapped larger than they really are, with
a zone scale factor larger than 1. The line along which the Conic Projections
scale is exact is called a standard line. In this case, the stan- Now, suppose we had the same glass ellipsoid, but instead
dard line is the equator. As one proceeds towards the north of having it wrapped in a paper cylinder, it is instead cov-
or south poles, the areas are projected so much larger that ered with a huge paper cone with the apex in space above
the scale factors get too big and the map becomes very the north pole. Depending on the shape of the cone, it
distorted. In fact, the north and south poles themselves could be tangent to the earth along a southern parallel (e.g.,
would never appear on the map, even if the paper cylinder along the latitude of Miami), or along a northern parallel
extended to infinity. This theoretical approach is the basis (e.g., along the latitude of Seattle), or anywhere else in the
for the common Mercator projection used to produce world Northern Hemisphere. (A similar cone can be constructed
maps; on these maps, Greenland appears much larger than as well for the Southern Hemisphere.) Wherever the cone
it really is, and nothing is normally mapped north of 80 or is tangent to the ellipsoid, all locations with the same lati-
85 degrees north latitude or south of 80 or 85 degrees south tude would be mapped to scale with a zone scale factor of
latitude. The important point to remember from a Mercator exactly 1, and all other locations would be mapped larger
projection is that only those features on or near the equator than they really are (i.e., with a zone scale factor larger
are mapped to their approximate true scale where the zone than 1).
scale factor is approximately 1. Then, suppose that the same cone is pushed down to
Next, suppose the huge paper cylinder is turned side- cut through the ellipsoid along two different parallels (see
ways so that it only touches a single meridian that passes Figure 37.5). Now the map scale would be correct along
through the north and south poles along a Great Circle. If both of those parallels. Between those two parallels the
the cylinder touches the meridian that passes through mapped features would be too small, with a zone scale fac-
Washington, D.C., for example, then only those locations tor less than 1; and outside those two parallels, the mapped
with the same longitude as Washington, D.C. would be features would be too large, with a zone scale factor larger
mapped to their true scale with a zone scale factor of 1. than 1. This theoretical approach is the basis for the Lam-
This standard line would include all points along a Great bert Conformal Conic projection used throughout much of
Circle that includes the north and south poles, all points the world for areas longer in the east-west direction.
along that meridian in Canada, the United States, Cuba, The important thing to remember about the Lambert
Colombia, and Peru in the Western Hemisphere, as well as Conformal Conic projection is that the theoretical cone can
other points along the opposite meridian in Russia, China, be reshaped to be steeper or shallower so as to change the
GEOSPATIAL DATA
F IGURE 3 7 . 4 This figure depicts the Transverse Mercator projection where the cylinder cuts through the Earth along two circles where the
zone scale factors are exactly 1. Between these two circles (standard lines), the zone scale factors are slightly less than 1; outside these two standard lines
the zone scale factors are slightly greater than 1.

GEOSPATIAL DATA
F I G U R E 3 7 . 5 This figure depicts the Lambert Conformal Conic projection where the cone cuts through the Earth along two parallels where the
zone scale factors are exactly 1. Between these two standard parallels (standard lines) the zone scale factors are slightly less than 1; outside these two
standard parallels the zone scale factors are slightly greater than 1.
narrow east-west band for which maps would have the ap- cussed next, are more generally understood and are best for
proximate correct scale. The Lambert Conformal Conic pro- land development projects.
jection is best for states or small countries that are longer
in the east-west direction (e.g., Tennessee, Pennsylvania, STATE PLANE VERSUS UTM COORDINATES
and the Florida ‘‘panhandle’’). State Plane Coordinates
To simplify calculations for surveyors, each state in the
Plane Projections United States has a State Plane Coordinate System (SPCS),
Now, suppose that we have the same glass ellipsoid, but initially adopted in the 1930s at the recommendation of
instead of having it wrapped with a cylinder or covered what is now the National Geodetic Survey (NGS), whereby
with a cone, it is simply touched by a plane surface. If the the scale factors are kept within defined limits, normally
plane is tangent to the ellipsoid at only a single point, then between 0.99990 and 1.00010.
all other points will be mapped larger than they really are Because they are broader in the east-west direction, most
(zone scale factor greater than 1) when the central light states utilize the Lambert Conformal Conic projection to
source projects through the glass to the plane paper. satisfy their needs best. These states have adopted one or
Next, suppose that the plane doesn’t just touch the el- more unique SPCS zones, with two standard parallels pass-
lipsoid but cuts beneath the surface of the ellipsoid a bit. ing through each zone. These parallels are standard lines
Now, where the plane cuts into the ellipsoid, the standard where the zone scale factor is 1.00000. Tennessee, for ex-
line will be a circle (or ellipse) where the scale is correct. ample, has one such zone; Pennsylvania has two; Colorado
Inside the circle, features are mapped smaller than they re- has three; and Texas has five different Lambert Conformal
ally are, and outside the circle, features are mapped larger Conic zones.
than they really are. This theoretical projection is the basis Most other states, longer in the north-south direction,
for the Polar Stereographic projection used to map the tailored unique Transverse Mercator projections to meet the
north and south polar regions. This can be done elsewhere needs of their states. Here, each SPCS zone has two parallel
too, and Dewberry & Davis developed a special plane pro- lines (not meridians) where the zone scale factor is 1.00000.
jection upon request for Washington Dulles International Delaware, for example, has one such zone; Illinois has two;
Airport so that the average scale factor was 1.0000000 (to Idaho has three; Wyoming has four; and Alaska has eight
seven decimal places), but State Plane coordinates, dis- different Transverse Mercator zones.

GEOSPATIAL DATA
Not all states follow standard north-south or east-west cide on either one or the other SPCS zone to avoid having
rules for selecting SPCS zones. California has six Lambert two different zones within a single county.
Conformal Conic zones, although it is longer in the north-
south direction. Florida has one Lambert Conformal Conic Universal Transverse Mercator (UTM) Coordinates
SPCS zone in the (east-west) ‘‘panhandle’’ and two Trans- UTM coordinates were originally devised for use by the mil-
verse Mercator SPCS zones in the (north-south) peninsula. itary so that soldiers could be trained to read and utilize a
Only southeastern Alaska uses a projection other than Lam- standard coordinate system, on military topographic maps,
bert Conformal Conic or Transverse Mercator; it uses a that makes the most sense globally. Each UTM zone covers
unique Oblique Mercator projection that will not be dis- 6⬚ of longitude, so there are 60 UTM zones globally cov-
cussed here. ering all 360⬚ of longitude. In addition to topographic maps
Each SPCS is based on a rectangular grid of X and Y produced by the National Imagery and Mapping Agency
coordinates. Both the Lambert Conformal Conic and Trans- (NIMA), maps with UTM coordinates became popular also
verse Mercator projections have a central meridian that confor other federal agencies with nationwide mapping respon-
stitutes the Y-axis of a SPCS; the central meridian is sibilities, to include the U.S. Geological Survey (USGS), Na-
assigned a large X-coordinate to avoid negative coordinates tional Oceanic and Atmospheric Administration (NOAA),
anywhere within the SPCS zone. Similarly, the X-axis is well and the Federal Emergency Management Agency (FEMA).
to the south of the zone and is assigned a Y-coordinate of Because UTM zone scale factors vary between 0.99960
zero, so that all Y-coordinates within the zone are positive and 1.00040, UTM coordinates should normally not be
numbers. used for land development projects. State plane coordinates
For each SPCS zone, grid north differs from geographic are preferred because their zone scale factors normally vary
north, except along the central meridian. In the Northern only between 0.99990 and 1.00010 with few exceptions
Hemisphere, the true meridians converge toward the central (e.g., Montana and Nebraska, where zone widths are wider
meridian as they go north. than allowed to keep zone scale errors within 1 in 10,000
Reprinted with permission from POB magazine, The GPS limits).
Observer, October, 1999, Figure 37.6 shows State Plane
zones in use in the United States The zone boundaries are PHOTOGRAMMETRY
often not straight lines because it is common for entire Photogrammetry uses 2-D measurements on stereo photog-
counties (that include theoretical zone boundaries) to de- raphy to map either 2-D or 3-D coordinates of photo-
F IGURE 3 7 . 6 Most states have adopted a State Plane Coordinate system so as to keep zone scale factors between 0.99990 and 1.00010, i.e.,
so that scaling errors will be 1:10,000 or less. Generally speaking, states longer in the north-south direction utilize one or more Transverse Mercator
zones, whereas states longer in the east-west direction utilize one or more Lambert Conformal Conic zones. Zone boundaries normally curve to coincide
with county boundaries in order to keep entire counties within a single zone.

GEOSPATIAL DATA
identifiable terrain features. Planimetric maps do not There are three distinct generations of photogrammetric
include elevation data; they normally are defined by their equipment that might be used for planimetric and/or top-
map scale. Topographic maps include elevation data; they ographic mapping for land development projects:
are normally defined by their contour interval. Photogram-
metry has traditionally been used to map the terrain prior 䡲 Analog plotters are optical/mechanical
to land development projects, and again after construction photogrammetric instruments, used with hard-copy
to map the as-built development. Photogrammetry is also aerial photos, that physically replicate (at reduced
used to produce digital orthophotos and digital elevation scale) the spatial geometry that existed when the aerial
models (DEMs). This section will cover basic photogram- photographs were taken. Analog plotters use different
metric information for land development applications. The techniques to enable the photogrammetric map com-
basic reference for photogrammetric theory is ASPRS, 1980. piler to see the stereo images in 3-D, determine the el-
evation of points on the ground, and plot contour
Photogrammetric Equipment lines. Although often considered to be obsolete, analog
plotters are still used by some photogrammetric com-
Aerial photographs record perspective views of the terrain; panies for small mapping projects such as those for
features that are taller or closer to the camera appear larger land development projects. Because of limited capabili-
than features that are farther away; thus, aerial photographs ties, analog plotters are the least accurate and the least
inherently have ‘‘relief displacement’’ that causes the images efficient.
of elevated features to be displaced outward from the center
of the photographs. Furthermore, aerial photographs rarely 䡲 Analytical plotters are computerized photogram-
are truly vertical (i.e., looking straight down at the ground); metric instruments, used with hard-copy aerial photos,
there is normally some degree of roll, pitch, and yaw of the that mathematically replicate the spatial geometry that
aircraft that causes photographs to be slightly oblique. existed when the aerial photographs were taken. Spe-
Thus, aerial photographs also inherently have ‘‘tilt displace- cial optics enable the photogrammetric map compiler
ment’’ that causes some features to be tilted outward while to see simultaneously the stereo images in 3-D and
other features are tilted inward relative to the center of an place a floating dot on the ground so as to determine
aerial photograph. the elevation of any point seen in stereo. When set for
The objective of photogrammetric mapping is to remove a specific elevation, the floating dot can be moved
all relief displacement and tilt displacement in order to map along the ground to trace a contour line of uniform el-
the terrain with an orthographic projection as though every evation. Analytical plotters are very accurate and excel-
feature on the ground is viewed looking straight down from lent for land development mapping projects.
infinity (see Figure 37.7). 䡲 Soft-copy photogrammetric workstations are special
purpose computers, used with digital aerial photos,
that mathematically replicate the spatial geometry that
existed when the aerial photographs were taken. Polar-
ized images or other sophisticated techniques enable
the photogrammetric map compiler to see simultane-
ously the stereo images in 3-D on a computer screen
and determine the elevation of any point seen in
stereo. Looking at the computer screen with polarized
glasses (or alternative procedures), the compiler keeps
a floating dot on the ground and traces contour lines.
Many other steps are automated. Hard-copy photos are
scanned at resolutions between 7.5 and 25 microme-
ters, typically, to convert them into high-resolution dig-
ital images. Soft-copy workstations yield high-accuracy
planimetric and topographic maps, as well as other
photogrammetric products such as digital orthophotos
and DEMs. The basic reference for softcopy photo-
grammetry is ASPRS, 1996.
F IGURE 3 7 . 7 Photogrammetry converts images from a per- Aerial Triangulation

spective projection into an orthographic projection, as though looking Aerial triangulation (AT) has traditionally been required to
straight down from infinity. As shown here, points a and b in the left photo
should be at c and d in order to be orthographically correct. Photogram- control a block of aerial photographs, to force mapped co-
metric corrections are also applied, pixel by pixel, to digital orthophotos, ordinates to fit surveyed ground control, and also to control
but only for features at ground level. other mapped coordinates for which surveyed ground co-

GEOSPATIAL DATA
ordinates are unknown. This traditionally has required a tween successive photographs is caused by variation in the
large number of photo-identifiable, surveyed ground con- terrain elevation, by variation in flying heights, or both.
trol points. Photogrammetrists often use painted symbols Figure 37.8 depicts two photographs taken over terrain
or survey panels containing a Y, T or X, pre-positioned and having an average elevation of 400 ft above the datum and
surveyed prior to acquisition of aerial photography, to in- a range in elevation from 175 ft to 600 ft. In each case, the
sure that there are sufficient photo-identifiable points with average photo scale is 1 in ⫽ 200 ft.
known coordinates. When there are already ample photo- With a 6-in. focal-length camera, the flying height would
identifiable features, photogrammetrists may instead rely on be 1600 ft above mean terrain (amt). At an elevation of 175
photo points that naturally appear at desirable locations on ft, the scale would be 6 in. (0.5 ft) divided by (1600 ⫺
the overlapping photography, and survey those points after 175) ft, or 1 in. ⫽ 238 ft. However, at an elevation of 600
the photography has been flown and the film developed. ft, the scale would be 0.5 ft divided by (1600 ⫺ 600) ft,
The objective of AT is to determine six exterior orientation or 1 in. ⫽ 167 ft. This is a relatively large variation in scale.
parameters for each of the aerial photographs to be used; With a 12-in. focal-length camera, the flying height
these six parameters include x, y, and z coordinates (in would be 2800 ft amt. At an elevation of 175 ft, the scale
airspace) of the focal point of the lens when each photo- would be 1 ft divided by (2800 ⫺ 175), or 1 in. ⫽ 219 ft.
graph was taken, as well as the roll, pitch, and yaw of the However, at an elevation of 600 ft, the scale would be 1 ft
aircraft around the x-axis (direction of flight), y-axis (cross divided by (2800 ⫺ 600) ft, or 1 in. ⫽ 183 ft. This is a
relatively small variation in scale.
direction), and z-axis (vertical axis).
Normally, long focal-length/narrow-angle lenses are bet-
When these photo control points are surveyed from mul-
ter for planimetric mapping, allowing higher flying heights
tiple control monuments surrounding the area, the AT so-
to be used. Lower flying heights with shorter focal-length/
lution is frequently weakened by the fact that multiple
wide-angle lenses are better for topographic mapping where
control monuments are often inconsistent relative to each
elevations are critical. The standard 6-in. lens is a compro-
other; then, AT residual errors are high. It is preferred that
mise, and subsequent tables assume that 6-in. lenses are
GPS procedures be used, with a single differential GPS base
used.
station at only one known control monument (the best in
the area) in order to obtain consistent results, a strong AT
solution, and maps that will be more accurate as a result; Map Scale
when this is done, then the AT residual errors are small. Table 37.5 lists the photo scale and the flying height nec-
Experienced photogrammetrists know how to examine essary for planimetric mapping at specified map scales, as-
these residuals to determine if the survey control is strong suming a standard mapping camera with a 6-in. focal
or weak. Fully analytical aerial triangulation (FAAT) is gen- length. Note that analog plotters require aerial photography
erally considered to yield the highest accuracy and lowest to be flown from a lower altitude in order to achieve ac-
residuals. curacy comparable to that of analytical plotters or soft-copy
Since the mid 1990s, some aerial survey firms have reg- workstations using higher altitude photography. Mapping
ularly used airborne GPS and inertial measurement unit photography normally is flown with a forward overlap of
(IMU) technology to simplify the AT process. Airborne GPS 60% and sidelap of 15–20%.
is capable of measuring the x, y, and z coordinates directly
in airspace; and IMUs are capable of measuring the roll, Contour Interval
pitch, and yaw directly as each photograph is exposed. Table 37.6 lists the photo scale and the flying height nec-
Some ground control points are still used for the AT pro- essary for topographic mapping at specified contour inter-
cess, but the numbers are reduced significantly when air- vals, assuming a standard mapping camera with a 6-in focal
borne GPS and IMU technology is properly used. However, length.
this advanced technology is more relevant to large mapping The most demanding requirement from these two tables
projects than to small projects for land development appli- controls the flying height to be used. For example, if maps
cations. with a horizontal scale of 1 in. ⫽ 50 ft (see Table 37.5) are
desired with a 1-ft contour interval (see Table 37.6), then
the photography should be flown at 2000 ft above mean
Photo Scale
terrain (instead of 2100 ft) if an analytical plotter is to be
Photo scale is a critical factor in planning aerial photogra- used. Lower-altitude photography yields more accurate
phy. Photo scale is a function of the flying height above the maps, both horizontally and vertically, but lower-altitude
terrain, and the focal length of the mapping camera. With photography will cost more than higher-altitude photogra-
a mapping camera having a given focal length, the required phy because high-altitude photography covers a larger area
photo scale normally establishes the flying height to be per photograph, requires fewer photographs, and simpler
used. Subsequent scale variation in a photograph or be- aerotriangulation.

GEOSPATIAL DATA
F I G U R E 3 7 . 8 The average scale of a typical 9-in. ⫻ 9-in. aerial photograph depends upon the focal length of the camera, and the variation
in terrain elevations relative to the altitude of the aircraft. Figure 37.7 shows two ways to acquire photographs with the same average scale, but acquired
with cameras having 6-in. and 12-in. focal lengths flown at two different altitudes.
Digital Orthophotos eral different technical procedures for producing digital or-
thophotos, but the two points most critical for land devel-
Digital orthophotos are digitized aerial photographs that opment engineers and surveyors to understand are the
have every pixel photogrammetrically corrected and repos- following:
itioned so that relief displacement and tilt displacement are
removed and the image has an orthographic projection as 䡲 Digital orthophotos are relatively inexpensive and
though looking straight down from infinity. There are sev- are widely considered to be ideal as the base map for
TABLE 37.5 Photo Scale and Flying Height for Desired Map Scale
ANALYTICAL PLOTTERS & SOFTCOPY
ANALOG PLOTTERS W/STA
DESIRED
MAP SCALE PHOTO SCALE FLYING HEIGHT PHOTO SCALE FLYING HEIGHT
1ⴖ ⫽ 20⬘ N/A N/A 1:1680 840 ft amt

.....................................................................................................................
1ⴖ ⫽ 30⬘ N/A N/A 1:2520 1260 ft amt
.....................................................................................................................
1ⴖ ⫽ 40⬘ 1:2880 1440 ft amt 1:3360 1680 ft amt
.....................................................................................................................
1ⴖ ⫽ 50⬘ 1:3600 1800 ft amt 1:4200 2100 ft amt
.....................................................................................................................
1ⴖ ⫽ 60⬘ 1:4320 2160 ft amt 1:5040 2520 ft amt
.....................................................................................................................
1ⴖ ⫽ 100⬘ 1:7200 3600 ft amt 1:8400 4200 ft amt
.....................................................................................................................
1ⴖ ⫽ 200⬘ 1:14,400 7200 ft amt 1:16,800 8400 ft amt

GEOSPATIAL DATA
TABLE 37.6 Photo Scale and Flying Height for Desired Contour Interval
ANALOG PLOTTERS ANALYTICAL PLOTTERS & SOFTCOPY
W/STA
CONTOUR
INTERVAL PHOTO SCALE FLYING HEIGHT PHOTO SCALE FLYING HEIGHT
0.5 ft 1:1600 800 ft amt 1:2000 1000 ft amt

.....................................................................................................................
1 ft 1:3200 1600 ft amt 1:4000 2000 ft amt
.....................................................................................................................
2 ft 1:6400 3200 ft amt 1:8000 4000 ft amt
.....................................................................................................................
4 ft 1:12,800 6400 ft amt 1:16,000 8000 ft amt
.....................................................................................................................
5 ft 1:16,000 8000 ft amt 1:20,000 10,000 ft amt
overlay of CADD and/or GIS vectors, points, and poly- ton Monument is displaced to the southwest because
gons developed by land development engineers and the digital orthophoto is only correct at the base of
surveyors. this monument.
䡲 Digital orthophotos contain no elevation data. They
are orthographically correct only for features at ground Digital Elevation Models (DEMs)
level, whereas elevated features (tops of towers, utility DEMs have at least two different definitions. Some refer to
poles, rooftops) are displaced outward from the centers DEMs in a generic sense as covering all forms of digital
of the digital orthophotos. Figure 37.9 shows a digital elevation data that have x, y, and z coordinates of the ter-
orthophoto of the National Mall in Washington, D.C. rain. Others refer to DEMs as only those datasets repre-
Note that the shadow of the Washington Monument senting terrain elevations where the x and y coordinates
correctly projects to the northwest because of the sun have a uniform grid spacing (e.g., having ‘‘elevation posts’’
angle from the southeast; but the top of the Washing- every 5 ft in x and y directions). In this example, when
F I G U R E 3 7 . 9 This is part of the southwest quadrant of a larger digital orthophoto that corrects every image pixel so that all surface points
are projected orthographically, but elevated features (e.g., towers, rooftops) are displaced outward from the center of the photograph used to create the
image. In this orthophoto of the National Mall in Washington, D.C., near the lower-right corner of the image, the Washington Monument is shown with
its dark shadow pointing to the northwest. The top of the monument is displaced to the southwest; the monument base and ground features are correctly
geopositioned.

GEOSPATIAL DATA
using State Plane coordinates (in feet), all Northings and of profiles over multiple surfaces; intervisibility analy-
Eastings would be evenly divisible by 5. DEMs clearly refer sis; and 3-D visualization and simulation).
to the bare-earth terrain, whereas Digital Surface Models
(DSMs) refer to the upper surfaces (e.g., rooftops and tree DEMs traditionally have been produced from analytical
canopies). There are several other terms that might be con- plotters and soft-copy workstations. The highest accuracy
fused with DEMs, as explained in Chapter 6 of ASPRS is achieved when the photogrammetrist places individual
1996: ‘‘mass points’’ where he/she can see the ground. DEMs can
also be produced by automated image correlation, but such
䡲 Digital Terrain Models (DTMs) are often used syn- DEMs are far less accurate and are likely to include DSM
onymously with DEMs, especially in Europe. In the data of tree canopies and rooftops as well as DEM data of
United States, however, DTMs are frequently defined as the bare earth.
bare-earth terrain datasets that have a uniform grid There are two new technologies that are now competing
spacing but supplemented with additional irregularly- with photogrammetry for production of DEMs: Light De-
spaced elevation data to reflect significant topographic tection and Ranging (LIDAR) and Interferometric Synthetic
features and breaklines to better characterize the shape Aperture Radar (IFSAR). IFSAR is designed for major map-
of the terrain. ping projects and, therefore, is unsuitable normally for land
development applications. LIDAR is relevant to land devel-
䡲 Breaklines are linear features that describe a change opment and will be discussed in the next section.
in the smoothness or continuity of a surface. Hard
breaklines define interruptions in surface smoothness; LIGHT DETECTION AND RANGING (LIDAR)
they are used to define streams, shorelines, dams,
Light Detection and Ranging (LIDAR) is now highly com-
ridges, building footprints, and other locations with
petitive in generation of digital elevation data. Over a dozen
abrupt surface changes. Soft breaklines insure that
topographic LIDAR vendors are in operation in the U.S.,
known z values along a linear feature are maintained,
and one vendor also provides bathymetric LIDAR of rela-
and they insure that linear features and polygon edges
tively shallow coastal waters and near-shore terrain. The
are maintained in a TIN surface model, as described
low-altitude topographic LIDAR systems are used for land
below, by enforcing the breakline as TIN edges; but
development purposes, whereas the bathymetric LIDAR
they do not define interruptions in surface smoothness.
system normally is used for coastal mapping where the wa-
Z-values along a breakline can be constant, or can vary
ter is nearly clear. The best overall reference for LIDAR tech-
throughout the breakline’s length. These breakline data
nology is ASPRS, 2001.
normally augment other data that may be uniformly or
randomly-spaced. The net result is that the distinctive Data Acquisition
terrain features are clearly defined, and contours gener-
Airborne LIDAR sensors emit between 5000 and 50,000
ated from DTM more closely approximate the real
laser pulses per second, in some form of scanning array as
shape of the terrain.
shown at Figure 37.10. The most common scanning array
䡲 A triangulated irregular network (TIN) is a set of goes back and forth sideways, relative to the direction of
adjacent, non-overlapping triangles computed from flight, providing a zig-zag pattern of points measured on
irregularly-spaced points with x, y coordinates and z the ground. The scan angle and flying height determine the
values. The TIN data structure is based on irregularly- nominal point spacing in the cross-flight direction, whereas
spaced point, line, and polygon data interpreted as the flying height and the airspeed determine the nominal
mass points and breaklines. The TIN model stores the point spacing in the in-flight direction. Each laser pulse has
topological relationship between triangles and their ad- a pulse width (typically about 1 m in diameter) and a pulse
jacent neighbors (i.e., which points define each triangle length (equivalent to the short time lapse between the time
and which triangles are adjacent to each other). This the laser pulse was turned on and off again); therefore, each
data structure allows for the efficient generation of sur- laser pulse actually is like a cylinder of light with diameter
face models for the analysis and display of terrain and and length.
other types of surfaces. TINs usually require fewer data Several technologies must operate correctly in order to
points than DEMs or DTMs, while capturing critical survey high-accuracy data points on the ground:
points that define terrain discontinuities, and are topo-
䡲 Airborne GPS is needed to determine the x, y, z
logically encoded so that adjacency and proximity
coordinates of the moving sensor in the air, surveyed
analyses can be performed. TINs have several other ad-
relative to one or more differential GPS base stations.
vantages over DEMs and DTMs; but they are probably
This establishes the origin of each of the 5000 to
best known for their superiority in surface modeling
50,000 laser pulses emitted each second.
(e.g., calculation of slope, aspect, surface area and
length; volumetric and cut-fill analysis; generation of 䡲 The inertial navigation system (INS) inertial mea-
contours; interpolation of surface z values; generation suring unit (IMU) directly measures the roll, pitch and

GEOSPATIAL DATA
the case. Some vegetation is so thick that no portion of the

laser pulse penetrates to the ground. This is surely the case
with sawgrass, mangrove, and dense forests where the can-
opy is so thick that a person on the ground can’t see the
sky.
A limitation of topographic LIDAR is that it normally
does not penetrate water. In most cases, LIDAR pulses are
absorbed by the water so there are no returns; however,
sometimes there are returns from water, but those eleva-
tions cannot be trusted. Therefore, it is common to utilize
digital orthophoto images to ‘‘cookie cut’’ out the LIDAR
returns over water areas so these unreliable data can be
discarded.
Post-Processing
The major cost in most LIDAR projects involves the post-
processing of the data as needed to generate a bare-earth
digital terrain dataset. LIDAR data is far less expensive if
the client needs or can accept digital surface models (DSMs)
including treetops, rooftops, etc. where post-processing is
minimal. The initial LIDAR dataset is irregularly spaced. For
F I G U R E 3 7 . 1 0 LIDAR sensors survey 5,000 to 50,000 points generation of bare-earth elevation data, automated and/or
per second on the ground by using airborne GPS to continuously survey manual post-processing is used to eliminate laser points
the x, y and z coordinate of the LIDAR sensor in the air; inertial navigation that impinged on elevated features; this creates data voids,
system (INS) inertial measuring unit (IMU) to measure continuously the so that the dataset becomes more irregular with regard to
roll, pitch, and yaw of the aircraft around the x, y, and z axes; and the
LIDAR sensor itself that measures the laser scan angles and the times it point spacing on the ground. Automated post-processing
takes each laser pulse to travel to the ground and reflect back to the sensor. includes computerized procedures to detect elevation
Post-processing is then required to remove elevated features and generate changes that appear to be unnatural; rooftops are identified
bare-earth digital elevation models (DEMs). with relative ease because there are abrupt elevation
changes between the elevation of the yard and the rooftop.
However, vegetation provides difficult challenges for auto-
heading of the aircraft, establishing the angular orienta- mated procedures. Manual post-processing is more accurate
tion of the sensor about the x, y and z axes in flight. (and more costly) and normally includes the overlay of data
points on digital imagery so the analyst can see where the
䡲 The LIDAR sensor itself measures the scan angle of laser points are hitting something on the ground. This can
the laser pulses. Combined with IMU data, this estab- be problematical if the imagery was not flown concurrently
lishes the angular orientation of each of the 5,000 to with the LIDAR data acquisition and some features moved
50,000 laser pulses emitted each second. (vehicles) or otherwise changed between the LIDAR and
䡲 Finally, the LIDAR sensor measures the time neces- image acquisitions. Furthermore, LIDAR is often acquired
sary for each emitted pulse to reflect off the ground (or at night, whereas imagery normally is flown during limited
features thereon) and return to the sensor. Time trans- daylight hours when the sun angle is correct. Finally, after
lates into distance measured between the aircraft and these post-processing steps are completed, regularly-spaced
the point being surveyed. DEMs may be generated by interpolation between the
irregularly-spaced data that remains after post-processing.
Some LIDAR sensors are capable of receiving multiple
returns, up to five returns per pulse. This means that the LIDAR/Photogrammetry Comparison
sensor must be capable of recording up to 150,000 returns LIDAR has an advantage over photogrammetry in generat-
per second while in flight for a 30-KHz sensor. The ‘‘first ing accurate elevation datasets in dense vegetation. Photo-
return’’ is the first thing hit by a laser pulse; this could be grammetry requires two stereo photographs to see the
a treetop, rooftop, ground point, or a bird in flight. When bare-earth terrain from two different perspectives. The trees
a laser pulse hits a soft target (e.g., tree or weed field), the themselves block the view, so that the gaps between the
first return represents the top or canopy of that feature. trees must be fairly large in order to see the bare ground
However, a portion of the laser light beam continues down- from two opposite directions. LIDAR only needs a single,
ward below the canopy and hits a tree branch, for example; near-vertical pulse to penetrate through a tree or between
this would provide a second return. Theoretically, the last adjoining trees; these gaps can be small. When LIDAR
return represents the bare earth terrain, but this is often not pulses hit hard targets, such as rooftops, streets, dirt, sand,

GEOSPATIAL DATA
rock, and short grass, the vertical RMSE is normally 15 cm larger. Space Imaging’s Ikonos satellite, successfully
or less when flown from altitudes of 3000 ft or less above launched in 1999, was the first commercial satellite to ac-
mean terrain with a narrow scan angle (field of view). To quire imagery with 1-m resolution; it also acquires multi-
achieve such accuracy from photogrammetry is possible, spectral imagery with a ground resolution of 4 m. These
but it’s more expensive because the photogrammetrist needs resolutions are suitable for land development planning pur-
to select carefully points where he/she can see the terrain poses. Satellite imagery already acquired and available for
in stereo, and there will most likely be larger areas of ob- sale to the public will be considerably less expensive than
scured terrain where the photogrammetrist is unable to see contracting for specialized imagery to be acquired upon de-
the terrain in stereo. mand. Hyper-spectral sensors with hundreds of narrower
Although a relatively new technology, LIDAR is used reg- bands of the electromagnetic spectrum, and ultra-spectral
ularly and successfully to generate highly accurate, digital sensors with thousands of still narrower bands, are becom-
elevation datasets for land development projects and has ing commercially available, but their utility for land devel-
become a technology of choice. opment applications is yet to be determined.
Sensors on watercraft are most commonly used to map
REMOTE SENSING the subsurface terrain. Single-beam, multi-beam, and side-
Remote sensing measures characteristics of natural and scan sonar systems, integrated with GPS receivers, are used
man-made features from a distance, normally without walk- for hydrographic mapping of larger-scale projects. Inexpen-
ing on the area being sensed, and often recording infor- sive, expedient techniques normally are used for small pro-
mation invisible to the human eye. Remote sensing includes jects (e.g., a boat with differential GPS receiver to record
sensors on aircraft, spacecraft, watercraft, and ground ve- 3-D coordinates to a point in the boat, and a weighted
hicles. string to measure the distance below that point to the bot-
Photogrammetry is the most common form of airborne tom of a lake or pond).
remote sensing, but hard-copy film and digital imagery is Sensors on ground vehicles are used to detect features
not restricted to the visible portion of the electromagnetic that are not discernable from aerial photos. The most com-
spectrum. For land development decisions, color infra-red mon are vans equipped with differential GPS, IMU, and
(CIR) photography is preferred for mapping and analyzing cameras pointed forward, sideways and/or downward.
vegetation and wetlands, for example. Digital multi-spectral When driving on a road at traffic speed and recording im-
imagery is used similarly to analyze vegetation, wetlands, ages every few feet, terrestrial photogrammetric procedures
geology, and other features that are difficult to classify or can be used to inventory and/or map traffic signs, fire hy-
delineate using only the visible portion of the spectrum. drants, manholes, storm drains, parking meters, park
Airborne thermal sensors are sometimes used by commu- benches, planters, statues/monuments, and other features
nities to determine where heat loss is occurring from build- that are either too small to be mapped accurately from
ings and utility systems. Magnetic sensors are used to help above, or because features are obscured by trees, cars, or
determine the best sites for potential oil-well drilling. Air- surrounding tall buildings.
borne radar sensors are best for mapping the terrain in areas Whereas airborne remote sensors normally are most rel-
that have perpetual cloud cover; and airborne LIDAR sen- evant for land development purposes and constitute the
sors are used to map the 3-D surface topography. Other default technology of choice, satellite, watercraft, and
sensors determine surface moisture content and other char- vehicular sensors are relevant to the degree that airborne
acteristics of the terrain. Depending on the flying height sensors are unable to capture the required information.
used, airborne imaging sensors may record ground resolu-
tions of 6 in. or less, but linear features much narrower GEOGRAPHIC INFORMATION SYSTEMS (GIS)
than the ground resolution are visible routinely. For ex-
ample, highway paint stripes only 4 to 6 in. wide are often GIS Terminology
visible on digital orthophotos with single pixels covering a Some form of GIS is normally critical for land development
1-m square on the ground. When the highest-resolution projects. A GIS is defined herein as a computer hardware/
data is required, helicopter-borne sensors may be preferred software system that captures, stores, manages, manipu-
(e.g., for highest-accuracy topographic mapping of a high- lates, analyzes, displays, and/or prints spatially-referenced
way interchange where ground surveys are too dangerous data for planning, managing, and decision making. For the
because of passing traffic). Airborne remote-sensing systems purists, however, a GIS is not a true GIS unless it contains
normally integrate the specialized sensor with airborne GPS a database with descriptive data, supports spatial analysis
(to determine the location of the sensor in airspace) and and modeling, and exploits geographic data with a topo-
IMUs (to determine the angular orientation of the sensor in logical data structure that enables computer software to
airspace); these sensors enable the sensed information to be perform logical analyses of adjacency, proximity, and
geopositioned in a geographic information system (GIS). connectivity (e.g., as might be used to select the optimum
Numerous satellites also provide the types of sensors site for a land development project). Thus, CADD systems
listed above, but the ground resolution is normally 1 m and that exploit digital data depicting map features, text, and

GEOSPATIAL DATA
symbology, but lacking topological data structure or a sup-

porting database, are not GISs in themselves but possible
components of a GIS.
Databases are large collections of data in a computer,
organized so that they can be expanded, updated, and re-
trieved rapidly for various uses. A GIS database is composed
of sets of spatial (geographic) and descriptive (non-
geographic) data managed by the computer software. Geo-
spatial data is digital representation of geographic features
on, above, or beneath the Earth’s surface that can be used
to generate a map or to display a map-like image on a
computer screen. Geospatial data must include georefer-
enced coordinates (e.g., latitude/longitude, State Plane, or
UTM coordinates) in order to display relative locations. De-
scriptive data describes attributes, characteristics, qualities,
or relationships of geographic features and may include
scanned images, such as digital pictures of houses, bridges,
or other features. The geospatial and descriptive data can
be linked or related, in GIS software, through linkage num-
bers or other common identifiers.
As an example, for telephone emergency response ser-
vices, an E-911 GIS database may consist of two parts, geo-
spatial and descriptive. The geospatial data can be used on
the computer to display the location of incoming calls and
roads leading to those locations from emergency service
centers (rescue squads, ambulances, fire or police stations);
this computer display could be optional in an E-911 sys-
tem. The E-911 descriptive data normally would link
telephone numbers with addresses and perhaps names, F IGURE 3 7 . 1 1 Both GIS and CADD systems rely upon a data
base layering concept, with all layers georeferenced to each other and
ages, and unusual medical needs of occupants, location of turned on or off as required.
nearest fire hydrant or water supply, and designations of
nearest emergency service centers. An E-911 system could
operate without GIS software by using only the descrip- ing an optimum land development site, we may ask the
tive data with relational database management systems GIS to specify what areas within Monroe County have
(RDBMS) such as dBase, Oracle, or Informix. However, if slopes less than 10%, are zoned for Z4 or Z5, but do not
it is necessary to identify the telephone numbers, names, include soil types A, H or Y. The GIS would perform a
and addresses of all personnel living within a specified dis- Boolean analysis of data on four different layers—county
tance from a chemical spill, or if the E-911 is to select the boundary, slopes, zoning, and soil classification.
optimum route for an emergency vehicle to access any given Geospatial modeling is used to support and extend GIS
address, then a GIS would be required to link geospatial spatial analyses. For example, hydrologic models describe
with descriptive data. the relationship of slopes, soil types, vegetation cover, and
Layering enables raster and vector files of different the- land use characteristics of watersheds to predict the con-
matic data to be registered geographically to one another, centration of water at designated locations resulting from a
yet separated and/or combined as needed to simplify and specified rainfall. Similarly, hydraulic modeling is per-
optimize GIS analysis and display. Figure 37.11 graphically formed to compute surface-water velocities and elevations
describes the layering concept. The multiple layers share a predicted from hydrologic-model discharges and stream-
common coordinate system, so that disparate data can be channel and floodplain cross-section characteristics. Envi-
registered accurately and overlain. A reference grid, plani- ronmental models predict the impact of natural or
metric base map, or digital orthophoto base map normally man-made events, including natural hazards (earthquakes,
serves as the foundation for the overlay of vector data from hurricanes, floods, fires) on the environment and man’s
separate layers. use of that environment. Other GIS models are used for
Geospatial analysis includes analysis of adjacency (what computer-assisted site selection and hundreds of other ap-
adjoins a specified feature), proximity (what is within a se- plications limited only by the user’s imagination.
lected distance from a specified feature), and connectivity Topological, topologic, and topology all pertain to the build-
(what is connected to a specified feature), as well as Boolean ing of ‘‘topo logic’’ into GIS data. Topology is the relation-
analyses of data on different layers. For example, in select- ship between different features based on their geographic

GEOSPATIAL DATA
location. Topology defines the way in which points, lines, vey equipment to record automatically distances and angles,
and areas are formed and connected digitally so that logical which can then be entered directly into COGO software
relationships (e.g., adjacency, proximity, and connectivity) routines for generating precise maps of surveyed areas.
can be determined automatically by GIS software. With top- In constructing vector GIS data sets, it is essential that
ological data structure, nodes are established at end points nodes, lines, and polygons be digitized and ‘‘cleaned’’ in
and intersections of lines; lines, which normally include in- such a way that lines are connected properly with no gaps
termediate shape points (vertices), are connected to nodes; or overshoots, and that node-to-line and line-to-polygon
the beginning, end, and direction of each line is defined, relationships are established correctly. Without rigorous
along with areas to the right and left of each line; and pol- identification of such spatial relationships, automated ‘‘topo
ygons (enclosed areas) are defined specifically by the logic’’ cannot be performed by the GIS. During the ‘‘clean-
bounding lines. Topological data structure allows for effi- ing’’ process, tolerances must be set carefully in order to
cient data storage, since a feature’s coordinates only need prevent inadvertent data damage. Procedures for building
to be listed once, not many times, as long as that feature topology are beyond the scope of this text and vary de-
can be later defined by its relationships to other features. It pending upon the GIS software being utilized.
also allows for efficient network analyses, E-911 vehicle
routing, utility modeling, and buffer-zone analysis, to name Land Information System (LIS)
but a few of its applications. LISs are GISs that specifically describe land records per-
taining to legal boundaries, ownership of properties, land
GIS Processes values and tax assessments, and inventory of natural re-
Data on a map or similar product can be captured by dig- sources on defined properties. They are used primarily by
itizing each feature individually or by using an electronic local governments and the real estate industry. The cadastral
scanner to capture an entire sheet of features. Digitizing layer of an LIS contains legal descriptions of boundaries and
converts geospatial features on a map into digital format by markers and other descriptions defining ownership and
converting point, line, and area features of the map into rights to the land, such as easements, rights-of-way, and
x/ y or x /y / z coordinates. A single set of coordinates rep- water/mineral rights. Parcel boundaries, which define own-
resents a point. A string of coordinates represents a line. ership, are often described on a deed as metes and bounds
One or more lines that outline an area, with an area label or distances and bearings and may include extensive nar-
point inside, represents an area or polygon. rative descriptions of a property. Thus, LISs contain geo-
Manual digitizing is used commonly to generate vector spatial data linked to sizable descriptive databases.
data. The operator mounts the paper map to be digitized In 1999, the Federal Geographic Data Committee
onto a digitizing table, registers the map, points the cursor’s (FGDC) published the ‘‘Cadastral Data Content Standard for
cross hair, and moves the cross hair along lines to be dig- the National Spatial Data Infrastructure.’’ This standard can
itized while pushing the appropriate cursor buttons that be downloaded from the FGDC web site: www.fgdc.gov,
record x and y coordinates by several methods. Intersecting under Standards, Status of FGDC Standards, and FGDC
lines are snapped to each other, symbols are placed, and Endorsed Standards.
annotations are entered by keystroke to include placement
and rotation angle. This process is called heads-down digi- Automated Mapping/Facilities Management (AM/FM)
tizing because the operator is looking down at the digitizing Although not a true GIS, AM/FM is a GIS technology fo-
table and using the cursor to trace the map features. cused on the specific segment of the market concerned with
For complex digitization projects, it is often more cost- management of geographically-distributed facilities and
effective to use an electronic scanner to convert hard-copy utility systems. Understanding of AM/FM is especially rel-
maps into raster format and then to utilize commercial evant for land development projects for federal agencies
raster-to-vector software to trace the raster images interac- where conformance to strict standards are paramount. In
tively and convert them into vector format. This data- 2000, the FGDC published FGDC-STD-010-2000, Utilities
capture process is sometimes called heads-up digitizing Data Content Standard, for the following utilities:
because the operator is looking up at the computer screen
to trace the map features. Other heads-up digitizing might 䡲 Compressed air system
involve the tracing of features from digital orthophotos that
䡲 Control and monitoring system
are displayed on the computer screen.
Utilizing specialized coordinate geometry (COGO) soft- 䡲 Electrical exterior lighting
ware, a GIS operator can key precise dimensions, angles,
䡲 Electrical system
or geometric descriptions of features into a computer and
utilize the COGO’s mathematical algorithms to compute 䡲 Fuel system
2-D or 3-D coordinates of points and lines used on com-
䡲 General utility features
puter displays and printouts. COGO techniques especially
are relevant for land surveyors who utilize total-station sur- 䡲 Heating and cooling system

GEOSPATIAL DATA
䡲 Industrial system GLOBAL POSITIONING SYSTEM (GPS)

䡲 Natural gas system Background
The NAVigation Satellite Timing and Ranging (NAVSTAR)
䡲 Saltwater system
Global Positioning System (GPS) is a satellite-based, navi-
䡲 Storm system gation system operated and maintained by the Department
of Defense (DoD). It was intended originally to provide pas-
䡲 Wastewater system
sive global positioning and navigation for land, air, and sea-
䡲 Water system based strategic and tactical forces with horizontal accuracy
on the order of 10 m; the (poorer) vertical accuracy was
This standard can be downloaded from the FGDC web inconsequential essentially. During the 1990s, differential
site: www.fgdc.gov, under Standards, Status of FGDC Stan- GPS (DGPS) procedures were developed for civil applica-
dards, and FGDC Endorsed Standards. tions that yield 3-D positions with centimeter-level accu-
racy. These DGPS procedures are now used routinely to
Computer Aided Design and Drafting (CADD) transfer elevations (as well as horizontal coordinates) over
CADD software is used primarily by civil, electrical, and long distances efficiently with accuracies comparable to or
mechanical engineers and architects for interactive 2-D and better than conventional leveling and traverses.
3-D design of infrastructure and facilities such as subdivi- This section will focus on those aspects of DGPS surveys
sions, shopping malls, individual buildings, roads, bridges, relevant to high-accuracy requirements of the land devel-
water and sewer systems and other utilities. CADD software opment community. The last subsection will discuss GPS
allows for efficient data entry and editing of engineering and elevation surveys. Since accurate elevations are more diffi-
architectural drawings using geometric shapes and func- cult to achieve from GPS surveys than are accurate hori-
tions (e.g., angle/distance dimensions, circles and ellipses, zontal coordinates, steps taken to achieve specified vertical
squares and rectangles, parallel lines, tangent lines, spline accuracies will yield horizontal coordinates of even higher
curves, parabolas, bisecting lines, and fillets), coordinate ge- accuracy.
ometry (COGO) digitizing of surveyed distances and bear- Today, GPS is the preferred method for all control sur-
ings, and computer display and printing with variable veys performed to establish ‘‘network accuracy’’ relative to
colors, line weights, and line styles. the National Spatial Reference System (NSRS) in accordance
Architect and engineer (A&E) technical drawings have with Geospatial Positioning Accuracy Standards of the Fed-
been generated digitally by CADD technology for several eral Geographic Data Committee (FGDC). Network control
decades, and existing technical drawings are converted rou- surveys provide horizontal and vertical positions of points
tinely to digital form with relative ease by manual digiti- to which supplementary local surveys are performed with
zation or by electronic scanning and raster-to-vector conventional survey procedures. GPS surveys provide the
conversion. Like the word processor, CADD technology preferred control for photogrammetric mapping and for the
makes it easy to make changes and to keep documents up- extension of other forms of land surveys critical for plan-
to-date. CADD technology enables selected items to be ning, engineering and land development.
placed on separate layers or levels and displayed in different
colors, line weights, and line styles; it also allows selected GPS Satellites
items to be turned on as needed to overlay relevant infor- The full GPS constellation consists of 24 NAVSTAR satel-
mation or to be turned off as needed to reduce clutter. lites, launched four each into six orbital planes inclined at
Technical drawings can be maintained/updated more easily 55⬚ from the equator. Each satellite circles the globe twice
and printed upon demand. Rather than using a camera to per day at an altitude of about 10,900 nautical miles above
reduce or enlarge a paper map image photographically, the Earth. This insures that six to ten GPS satellites are in
computers and CADD software are used to zoom out or view at all times, anywhere on Earth. Each satellite has di-
zoom in for ease of viewing and to change scales with ease. rect line-of-sight to 42% of the Earth, with a 28⬚ cone that
CADD technology enables automated calculation of dis- matches the dimensions of the Earth as seen from 10,900
tance, perimeter, and area measurements. A significant ad- nautical miles in space. Each satellite contains atomic clocks
vantage of CADD technology is that features can be that must be accurate to a few billionths of a second since
displayed in three dimensions to detect design deficiencies each billionth of a second timing error translates into a 1-
and to view designed items in perspective as opposed to ft positioning error on the ground.
traditional top, front, or side views. Perhaps the most sig- Every GPS satellite in the constellation continuously
nificant advantage is that CADD drawings can be ‘‘intelli- transmits high-frequency carrier waves at the same two L-
gent graphics’’ with computer queries of linked non-graphic band frequencies. L1 has a carrier frequency of 1575.42
data, while traditional technical drawings are ‘‘non- megahertz and a wavelength of about 19 cm. L2 has a car-
intelligent graphics’’ requiring all interpretations and anal- rier frequency of 1227.60 megahertz and a wavelength of
yses to be performed manually. about 24 cm.

GEOSPATIAL DATA
The L1 signal is modulated with a 10-million bits-per- In simple terms, we can look at the pseudorange as a
second Precise Code (P-code) and a 1-million bits-per- low-precision unambiguous range measurement and the
second Coarse Acquisition Code (C/A-code). The L2 signal carrier phase as a high-precision ambiguous range mea-
is modulated with only the P-code. The P-code and C/A- surement. If we correctly identify the carrier-phase ambi-
guity number, we can convert the ambiguous carrier-phase
code are unique to each satellite. A 50-bit-per-second
measurements into very precise unambiguous range mea-
binary data stream (0s and 1s) is superimposed on the surements. It is this type of modified GPS measurement that
C/A-code and the P-code signals, including update infor- gives the very high differential positioning and surveying
mation on the satellite clocks, ephemeris data, satellite accuracies.
health status and other data. The ephemeris data consists Researchers have developed various operational proce-
of 16 constants that define a satellite’s location and orbit dures over the past years to identify the correct ambiguity
when it transmitted its timing pulses. The precisely-timed number, also called ambiguity resolution. . . . Of critical im-
binary pulses transmitted from each satellite take less than portance for all ambiguity resolution methods is the fact
1
⁄10th of a second to arrive at the Earth. Altitude and ve- that the ambiguity number is an integer by definition.
locity-control subsystems orient the satellite so that its hel-
ical antennas point correctly to the Earth. Unmanned Hundreds of different kinds of GPS receivers are on the
tracking stations continuously monitor the track of each market, produced by about 40 different manufacturers.
GPS satellite to update its ephemeris and to correct for any Some GPS receivers are hand-held, about the size of a pack
timing errors in on-board atomic clocks. of cigarettes; others are more the size of a shoe box. Some
For many years, a controversial disadvantage of GPS per- are mounted on cars, trucks, boats and aircraft to provide
tained to Selective Availability (S/A)—the deliberate de- real-time navigation aids. Some receivers mounted on ve-
grading of the signal by DoD to prevent potential hicles, hydrographic survey ships and dredges, for example,
adversaries (lacking DoD encryption key devices) from have graphical interfaces that map the route traveled while
achieving full GPS functionality. S/A produced a Standard recording attribute data such as street addresses, road in-
Positioning Service (SPS) with accuracies at the 100-m tersections, depth soundings, etc.
level. The alternative to S/A was DoD’s Precise Positioning A single-frequency receiver tracks the L1 frequency signal
Service (PPS). PPS used encrypted codes from which real- only; it can be used effectively to develop relative positions
time 3-D accuracies at the 10 to 15-m level could be that are accurate over baselines of less than 50 km. A dual-
achieved. In 2000, S/A was turned off, so that single civil- frequency receiver tracks both the L1 and L2 frequency sig-
ian GPS receivers can now achieve 3-D accuracies at the 10 nals; it is more effective on longer baselines. (Baselines are
to 15-m level. However, S/A has never had a bearing on vectors between a pair of GPS receivers from which simul-
the most accurate GPS surveys performed by differential taneous GPS data has been collected and processed.)
GPS procedures using a minimum of two GPS receivers. Five-channel GPS receivers are popular because they
track the minimum of four satellites needed for positioning,
plus a spare for redundancy or as a spare in the event ‘‘lock-
GPS Receivers on’’ is lost to one of the satellites. Loss of lock occurs when
In the simplest of terms, a GPS receiver is a range mea- the receiver (blocked by a building, overpass, etc.) is unable
surement device; distances affected by clock errors are mea- to record satellite signals continuously or the transmitted
sured between the receiver point and a minimum of four satellite signal is disrupted. Twelve-channel receivers are
satellites, and the position is determined from the intersec- good for differential GPS (DGPS) base stations in order to
tions of the four range vectors. These distances are deter- track all potential satellites above the horizon and to sup-
mined by a GPS receiver that accurately measures the time port multiple mobile receivers that may be tracking any
it takes a signal to travel from the satellite to the station. four or five of the visible satellites.
According to Kleusberg, 1992: Some GPS receivers are mounted in aircraft, boats,
trucks, ambulances and other vehicles for real-time navi-
A GPS receiver measures carrier phases and pseudoranges. gation purposes. Others are interfaced with mapping sys-
Systematic error effects contaminate both types of data. If tems that enable routes traveled to be digitally mapped
we disregard these errors for a moment, we can see both while driving over the terrain.
the carrier phase and pseudorange as ranges from the sat-
ellite to the receiver, but with two main differences. First, GPS Survey Procedures
carrier-phase measurements have millimeter-level precision,
Autonomous point positioning is the most common applica-
compared with meter-level precision for pseudoranges. Sec-
ond, carrier-phase measurements are ambiguous by an un-
tion of GPS when high accuracy is not required. When
known integer number of carrier cycles, the so-called operating in this passive, real-time navigation mode, pseu-
carrier-phase ambiguity. This carrier-phase ambiguity re- doranges to NAVSTAR satellites are observed by a single
mains constant over time as long as the receiver is phase- receiver positioned on a point for which a position is de-
locked to the incoming signal. No similar ambiguity exists sired. This receiver may be positioned to be stationary over
for the pseudoranges. a point (i.e., static) or in motion (kinematic), such as on a

GEOSPATIAL DATA
backpack, vehicle, aircraft, or boat. Since Selective Availa- phase differences are changing continuously because of the
bility has been turned off, the civil user is able to achieve moving satellite(s) Doppler effects; however, such effects
autonomous point positioning with horizontal accuracy of are resolved in the receiver and subsequent data post-
approximately 10 mm. Figure 37.12 would reflect both processing.
points A and B as being surveyed autonomously if the co- There are basically three different DGPS techniques in
ordinates of neither point are known. use today relevant to land development: (1) static, (2)
Differential GPS (DGPS) positioning is preferred when rapid-static, and (3) real-time kinematic (RTK):
higher levels of accuracy are needed for land development
and other engineering applications. DGPS uses two or more 䡲 Static positioning is the most accurate and most
GPS receivers, with a base station receiver on a position of common form of DGPS positioning, and it is also used
known location. GPS coordinates for the base station are for surveying long baselines. At least two GPS receivers
compared with the known coordinates for the base station, are used at different locations to collect carrier-phase
and the differences (errors) are inserted into the calculations data in a static (non-moving) mode. Normally, one
for the other GPS receivers locked onto the same four sat- GPS receiver (the DGPS base station) is positioned
ellites as used by the base station for its GPS position. Since over a known point, and the second receiver (the
most error sources are the same for all GPS receivers in the rover) is positioned over an unknown point. Both GPS
same general area locked on to the same GPS satellites at receivers receive signals from the same four (or more)
any given instant, these errors can be measured and sub- satellites, recording data for 30 minutes to 2 hours. All
tracted from all such GPS solutions. Figure 37.12 would data is post-processed simultaneously to determine the
represent DGPS procedures if A, for example, had known baseline between the receivers (⌬ latitude, ⌬ longitude,
coordinates, and B was surveyed more accurately by know- and ⌬ height). For some applications, Continuously
ing the corrections at A for the same four satellites observed Operating Reference Stations (CORS) operated by the
at the same time. National Geodetic Survey (NGS) can serve as the
The use of the carrier frequencies (L1 and L2) is the basis DGPS base station. Data from CORS stations can be
for use of GPS for precise geodetic and engineering survey- downloaded and post-processed to perform DGPS cor-
ing. Carrier-phase tracking takes advantage of the short 19- rections for one or more DGPS rover units; see the
cm wavelength cycle. Accuracies achievable are generally NGS home page (www.ngs.noaa.org) for details. If all
accepted to be 1% of the wavelength (i.e., 1.9 mm). Basi- known and unknown points are in a local area, as is
cally, carrier-frequency tracking measures the phase differ- common for land development projects, then the
ences between the satellite and receiver frequencies. The methods described below will yield comparable results
but with significant reductions in observation times.
䡲 Rapid static positioning is similar to static position-
ing, described above, but with a much shorter static
period for observations. According to Kleusberg, 1992,
the reduction in observation time results from faster
ambiguity resolution using redundant carrier-phase
measurements from multi-channel receivers that track
all visible satellites. By simultaneously processing all re-
dundant carrier-phase measurements in conjunction
with advanced statistical analysis procedures, the reso-
lution of ambiguity can be accelerated significantly.
䡲 Real-time kinematic (RTK) positioning allows the op-
erator to determine instantly the positioning of the
GPS rover unit, enables the operator to navigate pre-
cisely to points, and delivers the answers while the op-
erator is in the field and can fix mistakes there instead
of discovering them back at the office. RTK procedures
can be used for construction stake out and for real-
time 3-D positioning of scraper and dozer blades, for
F I G U R E 3 7 . 1 2 In this diagram, if GPS receivers A and B are example, on larger mining and construction projects.
both unknown points, then their locations are independently determined With RTK positioning, the base-station configuration
using absolute (autonomous) positioning procedures. However, if A is uses one GPS receiver and radio to transmit the satel-
known and B is unknown, then differential positioning techniques, described
above, can be used to determine the location of B with far greater accuracy; lite observations to DGPS rover units on the project
in this example, A would serve as the DGPS base station, and B would site. The rover unit configuration also has one receiver
serve as the DGPS rover. and radio, as well as a hand-held data-collector inter-

GEOSPATIAL DATA
face. The rover sub-system makes its satellite measure- the ellipsoid and the geoid. The conversion formula is as
ments and also receives the base receiver’s satellite data follows: h ⫽ N ⫹ H,
via the radio. Once the rover has all of this data, it
computes its precise position relative to the base sta- where:
tion. This process requires a short initialization proce- h ⫽ ellipsoid height, the height of the surface relative
dure and continuous four-satellite tracking. If satellite to the ellipsoid
lock is lost, the receiver is reinitialized at the last H ⫽ orthometric height, the height of the surface rela-
known point prior to loss of lock. A loss of radio con- tive to the geoid (commonly called the ‘‘elevation’’)
tact, however, does not mean that the survey must be N ⫽ geoid height, the undulation or separation between
reinitialized. During an RTK survey, it is possible to the ellipsoid and the geoid (always a negative num-
lose lock with the reference (base station) radio and re- ber in the continental U.S.)
gain carrier-phase differential positioning when radio
contact is re-established. So long as both receivers The National Geodetic Survey (NGS) has published a
maintain constant, four-satellite tracking, centimeter- national geoid model and PC-based computer software,
level positioning is possible. This method is much fas- called GEOID99, which converts from ellipsoid heights to
ter, using 5 to 30 seconds compared to other DGPS orthometric heights nationwide with a standard deviation
techniques that take several minutes to several hours. of 1 cm so that the equivalent of Third-Order leveling can
It should also be noted that the U.S. Coast Guard and be accomplished nationwide with GPS. NGS has also
U.S. Army Corps of Engineers operate hundreds of published another PC-based software program, called
sites that comprise the Nationwide Differential GPS VERTCON, which converts NGVD 29 values to NAVD 88.
(NDGPS) system. Although originally devised to radio See the NGS home page for details (www.ngs.noaa.gov).
DGPS RTK corrections for real-time positioning of The ‘‘bible’’ for GPS elevation surveys is NOAA, 1997,
ships, barges and dredges in controlled waters, these Technical Memorandum NOS NGS-58, ‘‘Guidelines for Es-
radio signals are available for use by hundreds of other tablishing GPS-Derived Ellipsoid Heights (Standards: 2 cm
RTK positioning applications. and 5 cm),’’ and/or follow-on NGS guidelines for GPS-
derived orthometric heights. NGS-58 provides guidelines
GPS Elevation Surveys for seven different types of GPS surveys: (1) Control, 2 cm
and 5 cm; (2) Primary Base, 2 cm; (3) Primary Base, 5 cm,
DGPS procedures can meet Third-Order standards for ver-
(4) Secondary Base, 2 cm, (5) Secondary Base, 5 cm, (6)
tical control surveys as would be obtained using conven-
Local Network, 2 cm, and (7) Local Network, 5 cm. As the
tional spirit levels. Geodetic heights determined by GPS
very minimum, at least one 2-cm or 5-cm local network
point positioning techniques are based on WGS 84 and are
station should be established for new land development
heights above the WGS 84 ellipsoid. Traditional elevations
projects in order to prevent mismatches of other relevant
from spirit leveling are orthometric heights above mean sea
data compiled relative to the NSRS (e.g., Flood Insurance
level (MSL), approximately equal to the geoid. As indicated
Rate Maps that impact the owners’ ability to purchase flood
at Figure 37.13, corrections for the undulation of the geoid
insurance).
(N) must be made in order to convert GPS-derived geodetic
The following is a summary of NGS-58 guidelines for
heights (h) into orthometric heights (H) comparable to
local network stations:
spirit leveling. This correction, N, is the separation between
䡲 For both accuracy standards, use dual-frequency
GPS receivers and geodetic quality antennae with
ground planes. Fixed height poles are mandatory for
2-cm accuracy, optional for 5-cm accuracy.
䡲 For 2-cm accuracy, the minimum occupation time
per session is 30 min; for 5-cm accuracy, there is no
minimum occupation time. For both accuracy stan-
dards, all survey sessions must be repeated on two dif-
ferent days with significantly different satellite
geometry.
䡲 For 2-cm accuracy, the maximum distance between
F IGURE 37.13 The elevation H is the orthometric height of
the surface relative to the geoid or mean sea level (MSL) as measured by same or higher-order stations is 10 km. For 5-cm ac-
traditional spirit level surveys. The geodetic height, h, is the height of the curacy, the maximum distance between stations is 20
surface relative to the ellipsoid as measured by GPS surveys. The geoid km.
height or undulation, N, is the height of the geoid relative to the ellipsoid;
N is always a negative number in the continental U.S. for use in the 䡲 All local network stations must be traceable to two
equation: h ⫽ H ⫹ N. or more primary base stations so as to relate the local

GEOSPATIAL DATA
network to the National Spatial Reference System of the activities in the above described items (a) through
(NSRS). The simplest way to do this is to GPS survey (c).
a local network station, using two existing and suitable (e) Locating, relocating, establishing, reestablishing, lay-
NSRS monuments as GPS primary base stations. ing out, or retracing any property line or boundary of any
tract of land or any road, right of way, easement, alignment,
Earlier in this chapter, instructions were given for ac- or elevation of any of the fixed works embraced within the
practice of engineering.
cessing data sheets from the NSRS. Under ‘‘Radial Search,’’
(f) ‘‘Making any survey for the subdivision of any tract
the circular-search radius can be set at 6.2 mi (10 km) for of land.
a 2-cm survey or 12.4 mi (20 km) for a 5-cm survey; then, (g) Determining, by the use of principles of land sur-
select ‘‘GPS sites only.’’ NGS data sheets will be listed for veying, the position for any survey monument or reference
all NSRS monuments within the search area, so that the point; or setting, resetting, or replacing any such monument
best can be selected for use as GPS base stations for sur- or reference point.
veying the local network station. If a suitable NSRS mon- (h) Creating, preparing, or modifying electronic or com-
ument already exists in the project area, it is not necessary puterized data, including land information systems, and ge-
to establish a new local network station. If there are no ographic information systems, relative to the performance
suitable NSRS monuments within the search area, it may of the activities in the above described items (e) through
(g).
be necessary to follow other NGS-58 guidelines to establish
primary base station(s) at the 2-cm or 5-cm level.
Any person shall be construed to practice or offer to
practice surveying or land surveying, within the meaning
NATIONAL COUNCIL OF EXAMINERS FOR ENGINEERING and intent of this Act, who engages in surveying or land
AND SURVEYING (NCEES) MODEL LAW surveying or who by verbal claim, sign, advertisement, let-
The National Council of Examiners for Engineering and terhead, card, or in any other way represents themselves to
Surveying (NCEES) regulates the practice of engineering be a professional surveyor or land surveyor or, through the
and land surveying, provides for the licensure of qualified use of some other title implies that they are able to perform,
professionals, and defines terminology to include the defi- or who does perform any surveying or land surveying ser-
nition of the ‘‘practice of surveying or land surveying.’’ vice or work or any other service designated by the prac-
The following is quoted from Section 2 (b)(5) of the titioner which is recognized as surveying or land surveying.
NCEES Model Law: The inclusion of photogrammetry, LIS and GIS within
this definition is controversial. Some states have enacted the
(5) ‘‘Practice of Surveying or Land Surveying—The term
NCEES Model Law while others have not. At least one state
‘‘Practice of Surveying or Land Surveying,’’ within the intent has made it illegal for firms to submit bids where cost is
of this Act shall mean providing professional services such used to select the winning firms, for risk of losing their
as consultation, investigation, testimony evaluation, expert professional licenses to operate within the state. It is ex-
technical testimony, planning, mapping, assembling, and in- tremely important for engineering, surveying and related
terpreting reliable scientific measurements and information firms to understand the laws for states where they plan to
relative to the location, size, shape, or physical features of operate to insure that professional registration requirements
the Earth, and utilization and development of these facts are recognized and understood.
and interpretation into an orderly survey map, plan, report,
description, or project. The practice of surveying or land
surveying includes, but is not limited to, any one or more REFERENCES
of the following: American Society for Photogrammetry and Remote Sensing,
(a) Determining the configuration or contour of the Manual of Photogrammetry, 4th ed., American Society for Photo-
earth’s surface or the position of fixed objects thereon by grammetry and Remote Sensing, Bethesda, Md., 1980.
measuring lines and angles and applying the principles of American Society for Photogrammetry and Remote Sensing,
mathematics or photogrammetry. ‘‘ASPRS Accuracy Standards for Large-Scale Maps,’’ Photogram-
(b) Performing geodetic surveying which includes sur- metric Engineering and Remote Sensing, Vol. 56, No. 7, pp. 1068–
veying for determination of the size and shape of the earth 1070, American Society for Photogrammetry and Remote
utilizing angular and linear measurements through spatially Sensing, Bethesda, Md., 1990.
oriented spherical geometry. American Society for Photogrammetry and Remote Sensing, Digi-
(c) Determining, by the use of principles of surveying, tal Photogrammetry: An Addendum to the Manual of Photogramme-
the position for any survey control (non-boundary) mon- try, American Society for Photogrammetry and Remote Sensing,
ument or reference point; or setting, resetting, or replacing Bethesda, Md., 1996.
any such monument or reference point. American Society for Photogrammetry and Remote Sensing,
(d) Creating, preparing, or modifying electronic or com- 2001, Digital Elevation Model Technologies and Applications: The
puterized data, including land information systems, and ge- DEM Users Manual, American Society for Photogrammetry and
ographic information systems, relative to the performance Remote Sensing, Bethesda, Md., 2001.

GEOSPATIAL DATA
Bureau of the Budget, National Map Accuracy Standards, Office of racy, Federal Geographic Data Committee, c / o U.S. Geological
Management and Budget, Washington, D.C., 1947. Survey, Reston, Va., 1998.
Federal Geographic Data Committee, Geospatial Positioning Federal Geographic Data Committee, Content Standards for
Accuracy Standards, Part 1: Reporting Methodology, Federal Geo- Framework Land Elevation Data, Federal Geographic Data Com-
graphic Data Committee, c / o U.S. Geological Survey, Reston, mittee, c / o U.S. Geological Survey, Reston, Va., 1999.
Va., 1998. Kleusberg, Alfred, July 1992. ‘‘Precise Differential Positioning
Federal Geographic Data Committee, Geospatial Positioning Accu- and Surveying,’’ GPS World, pp 50.
racy Standards, Part 2: Standards for Geodetic Networks, Federal National Oceanic and Atmospheric Administration, NOAA Tech-
Geographic Data Committee, c / o U.S. Geological Survey, Reston, nical Memorandum, NOS NGS-58, Guidelines for Establishing
Va., 1998. GPS-Derived Ellipsoid Heights (Standards: 2 cm and 5 cm), Version
Federal Geographic Data Committee, Geospatial Positioning Accu- 4.3, National Oceanic and Atmospheric Administration, Silver
racy Standards, Part 3: National Standard for Spatial Data Accu- Spring, Md., 1997.

GEOSPATIAL DATA

CHAPTER 38
TYPES OF DRAWINGS USED

IN LAND DEVELOPMENT
John Matusik, P.E.
INTRODUCTION and clear. Some inaccuracies are caused by the transfer of

There are numerous types of maps and drawings, each with data, distortion, and paper stretch. This need not be mag-
its own characteristics with regard to scale, orientation and nified by carelessness or laziness during design. Often dur-
purpose. With practice and exposure, one can recognize ing design, a scaled measurement is used to further the
many of these characteristics by inspection and be able to design.1 Any inaccuracy in the drawing is then carried over
read and create drawings effectively. For example, to the to other design areas and can become critical during con-
uninitiated a site plan may seem messy, unorganized and struction. In addition, the adequacy, accuracy, and clarity of
difficult to read. However, as one gains experience, reading the drawings avert arguments and possibly legal conflicts
during the course of the project.
the site plan becomes as simple as reading a newspaper.
Maps and drawings use symbols, abbreviations and jar-
Project design is an evolution of ideas presented in the
gon specific to the industry. People associated with land
form of maps and drawings. Design begins with worksheet
development projects must be familiar with reading civil
drawings—a compilation of existing information amassed
site drawings, structural drawings, architectural drawings
from other maps and drawings. The project evolves from
and survey maps. Each of these has numerous variations of
generalized ideas scribbled on the worksheets into the
plan sheets and detail drawings. By being familiar with the
high-detail, final-design drawings when project ideas are
types of drawings, the user can identify quickly the type of
formalized. More specifically maps, drawings and specifi- drawing that has the needed information. A construction
cations are the tools that: drawing set for civil site work could have 20 to 30 sheets.
The architect’s set of drawings for the same project will
䡲 Help insure a viable design
likewise have as many sheets. Add this to the numerous
䡲 Show where and how a project will be built mechanical and structural drawings associated with the pro-
ject and the finding of specific information or cross check-
䡲 Show where and how a project was built
ing of dimensions could become an ordeal to the
䡲 Are used for estimating costs and materials uninitiated.
䡲 Show whether the project conforms to ordinances MAPS
and codes
According to Manual No. 34 by the American Society of
䡲 Become legal documents for the project Civil Engineers, a map is ‘‘a representation on a plane sur-
Maps and drawings can be as simple or as complex as

necessary; it depends on what information needs to be con- 1
As a rule, scaling measurements from drawings is not recommended. If a scaled
veyed and who is reading them. A well-developed drawing measurement is necessary, it should be used only if the inherent inaccuracy is within
is neat and readable, but more importantly it is accurate allowable limits for the measurement’s intended use.
961
TYPES OF DRAWINGS USED IN LAND DEVELOPMENT
face, at an established scale, of the physical features (nat- ever, there is no resemblance between the areas of the two
ural, artificial or both) or a part or the whole of the earth’s shapes. For example, the area of Greenland is about 1⁄6th
surface by the use of signs and symbols, and with the the area of South America. However, on many conformal
method of orientation indicated.’’ Maps depict the real maps the two appear nearly equal in size.
world of three dimensions on two-dimensional media. Fea-
tures shown on a map originate from data collected and Lambert and Transverse Mercator Projections
compiled in various ways. This data has been simplified, Two types of map projections specifically related to land
manipulated, enhanced and even distorted so that the map development projects are those used to develop state plane
is able to present the features in a usable manner. The ac- coordinate systems. These two projections are the Lambert
curacy of a map is determined by comparing the actual conformal conic projection and the transverse Mercator
position of an object from field measurements to its position projection.
as shown on the map. This relative accuracy presumes there Most state plane coordinate systems divide the state into
is no error in the field measurement. Several agencies and zones—north-south zones or east-west zones depending on
organizations have set standards for map accuracy: the Of- whether the state is elongated in the north-south or east-
fice of Management and Budget, The Reference Guide Out- west direction. Those states elongated in the east-west di-
line, and American Congress for Surveying and Mapping rection use the Lambert conformal conic projection. This
(ACSM), to cite a few. type of map projection, shown in Figure 38.3, wraps a
Maps are of two basic varieties: planimetric and topo- conic section around the Earth’s surface, which intersects
graphic. A planimetric map shows horizontal positions of the sphere at two specific locations. The circles within the
various features at the surface such as roads, buildings, sphere created at the intersection locations represent par-
trees, lakes, and rivers. Planimetric maps show only the allels of latitude, referred to as standard parallels. Along
features that are essential to the purpose of the map. Fa- these parallels the scale is exact. Between the two standard
miliar examples of planimetric maps are street maps, polit- parallels the scale is less than true. Outside the standard
ical boundary maps and zoning maps. Maps with contour parallels the scale is greater than true scale.
lines, referred to as topographic maps, show spatial varia- The transverse Mercator projection of Figure 38.4 wraps
tions as well as essential surface features. Vertical spatial a cylinder around the Earth such that the cylinder’s axis lies
variations appear as contour lines or as relief. The types of in the plane of the equator. Along the two locations where
topographic maps used in the design process include the the cylinder cuts the sphere, the scale is exact. Distortion
topographic maps from local public agencies or USGS between these locations causes the scale to be less than true
quadrangle maps, as well as those created by surveys of the scale. Outside the locations the scale is greater than true.
project site itself. Figure 38.1 compares a planimetric with Map projections are created by mathematically project-
a topographic map of the same vicinity. ing points from the sphere along radial lines from the
Earth’s center onto the projection surface of the imaginary
Creating a Map cone or cylinder. The distortions in scale between or outside
The making of a map begins with smoothing out the shape the parallel circles are evident from Figure 38.5. Outside
of the Earth, and approximating the true irregular shape of the parallel circles lines ab and ef are longer than the actual
the Earth with a mathematical model does this. Most often, surface represented by a⬘b and ef⬘ illustrating why the scale
this approximation is a sphere, spheroid, or ellipsoid. The is greater than true in these sections. Similarly, line cd on
approximated shape is reduced in scale and then trans- the projection surface is shorter than line c⬘d ⬘ on the sphere
formed onto a flat surface. Three common methods for of the Earth. Distortion can be kept within tolerable limits
making this transformation, as shown in Figure 38.2, are by proper selection of the location of the intersection of the
by projecting the features of the globe onto a cylinder, cone, sphere and projection surface.
or surfaces. These surfaces are then unrolled, or developed,
to make the flat, two-dimensional map. LEGENDS AND SCALE
The transformation results in the distortion of the fea- Maps and drawings use combinations of symbols and var-
tures, such as landforms and continents. The transforma- iations in lines to represent specific features and data. The
tion requires that either shape or size of the feature be meaning of the symbols and line variations is provided on
maintained. Maps where the shape of the feature on the the map in the legend. It is helpful if the legend is located
developable surface have the same area as the shape on the on the map itself, usually near a corner of the sheet. How-
globe are known as equal-area maps. In maintaining equal ever, in a map or drawing set containing more than one
areas, the shapes of the features are changed. For example, sheet, the legend is usually shown on the first sheet.
a circle on the globe might appear as an ellipse on the
developable surface. Those maps where shape is maintained Bar Scales
at the expense of size are conformal maps. A circle on the The relationship between distances on the map and corre-
globe appears as a circle on the developable surface; how- sponding distance at the Earth’s surface is the scale. Map

38 䡲 TYPES OF DRAWINGS USED IN LAND DEVELOPMENT 963
F IGURE 38.1 (a) Planimetric (zoning) map (b) topographic map.
scales are either graphic or numerical. The most common cumbersome in that a conversion is necessary to change the
graphic method is the bar scale—a line with calibrated larger dimension into something usable.
marks at intervals that represent distances on the map. For
example, Figure 38.6 shows bar scales that might appear Engineering and Architectural Scales
on a map for miles, feet, and kilometers. Although a bar The conversion is avoided by the use of another method
scale is needed for each system of units, the advantage is for depicting scale. This method, perhaps the most popular
evident when the map is reduced or enlarged. Although the for design drawings, associates a unit measurement on the
map scale changes during reproduction, the bar scale drawing to a usable measurement at the Earth’s surface. An
shrinks or enlarges proportionally to the drawing. example for this method shows scales as 1 in. ⫽ 50 ft or
The numerical representation of a map scale is given as 1
⁄4 in. ⫽ 1 ft. The first example is used typically on engi-
a ratio or representative fraction. The ratio represents a unit neering drawings and is convenient for the type of tool used
distance on the map to the corresponding number of equiv- to measure distances. The 1 in. ⫽ 50 ft means that a mea-
alent units on the Earth’s surface. For example, a ratio given sured distance of 1 in. on the plan represents 50 ft as mea-
as 1:30,000 means that one map unit represents 30,000 sured on the Earth’s surface. The latter, 1⁄4 in. ⫽ 1 ft
units on the Earth’s surface. Therefore, a distance that mea- example is typical of architectural drawings because of the
sures 2 in. on the map is actually 60,000 in. (5000 ft) on way the architect’s measuring tool is calibrated. Here a mea-
the Earth’s surface. Since the scale ratio is dimensionless, it sured 1⁄4 in on the drawing represents 1 ft on the surface
applies to any system of units. This method is somewhat of the Earth.

senting 1⁄30 of an inch. This translates to each division rep-

resenting one foot when distances are measured on a scale
drawing of 1 in. ⫽ 30 ft. The 30 scale also conveniently
measures distances on drawings with scales of 1 in. ⫽ 3 ft,
1 in. ⫽ 300 ft, 1 in. ⫽ 3000 ft . . . etc. In which case each
1
⁄30 division represents 0.1, 10, 100 ft, . . . etc., respectively.
Engineers’ scales commonly available are 10, 20, 25, 30,
40, 50 and 60. Each of these scales are appropriately sub-
divided to measure dimensions in decimals.
The architect’s scale is based on customary units of
inches and feet to be consistent with the system used by
the building materials industry. A major portion of the scale
is divided into one-foot increments with the ends of the
scale outside the zero mark further graduated into inches
and fractions of an inch. Each face of the scale has two
different scales. One scale is read left to right and the other
is read right to left. A number at each end identifies the
appropriate scale. The number of subdivisions outside the
zero mark depend on the space available for legible mark-
ings. The space available depends on the scale; therefore,
the subdivisions for each scale represent different fractions
of a inch. For example, the 1⁄8 scale has 6 markings each
mark representing 2 in. The 3⁄4 scale has 24 markings, each
F IGURE 3 8 . 2 Evolution of map projections. Reprinted from mark representing 1⁄2 in. Typical architectural scales are
McDonnell, Jr., P.W. 1979, Introduction to Map Projections, by courtesy
of Marcel Dekker, Inc., New York. available at 3⁄32, 1⁄8, 3⁄16, 1⁄4, 3⁄8, 1⁄2, 3⁄4, 1, and 1 1⁄2 in. A
comparison of the two scales showing 4.5 ft is given in
Figure 38.7.
Another definition of scale is the tool that measures map The scale of a drawing is inversely proportional to its
distances, analogous to the 12 in. rule. The engineer’s scale size. For the same coverage of area, increasing the scale
divides an actual inch into fractional parts representing feet decreases the size. For instance, a square 50-acre tract of
and decimals of a foot. For example, the 30 scale divides land at a scale of 1 in. ⫽ 100 ft requires a approximately
an inch into 30 uniform divisions—each division repre- a 15 ⫻ 15-in. area. A larger scale drawing of this tract of
F IGURE 38.3 Conic surface used in Lambert conformal conic projections.

F IGURE 38.4 Transverse cylinder used for transverse Mercator projections.
land, say a scale of 1 in. ⫽ 30 ft, requires a minimum sheet possible. For example, a 5-acre parcel at 100 scale is
size of 50 in. square. Decreasing the scale number enlarges roughly 5 in. square. This scale is too small for a 24 ⫻ 36-
the scale, and consequently the size of the drawing in- in sheet of paper. A more appropriate scale might be 1 in.
creases. An increase of the scale is actually a decrease in the ⫽ 30 ft. On the other hand, a drawing should not be un-
size of the drawing but an increase of the scale number. reasonably enlarged just for the purpose of occupying a
It is important in design that the features be drawn pre- whole sheet. Several drawings can be shown on one sheet
cisely to the scale selected for the drawing. Design drawings for those times when the scale is sufficient for the drawing
are used to estimate material quantities and earthwork. and there is additional room on the sheet. For example, an
During some aspects of design, scaled distances from a plan adequate scale of 1⁄2 in. ⫽ 1 ft for a detail drawing of a
are used as parameters for other aspects of design. There- foundation footing may require an area of 10 in. square.
fore, it is unequivocally imperative that precision in scale The additional area on a 24 ⫻ 36-in. sheet could be used
on a drawing be maintained. for notes, other detail drawings or calculation charts. It is
imperative to label clearly the drawing and the scale of each
Selection of Scale drawing in such circumstances. Some drawings (e.g. profile
The scale selected for a drawing depends on the type of drawings–discussed later), use different scales for the hor-
drawing, the size of the drawing, the size of the sheet of izontal and vertical directions. It is advisable to maintain
paper and the desired level of detail. Many public agencies consistent scales throughout a set of drawings to the extent
require minimum sheet sizes and scales for particular draw- possible. This can eliminate mistakes and confusion, espe-
ings. For design and analysis purposes, however, worksheet cially when the drawings are taken to the jobsite where the
drawings and scales are selected for convenience of the task. luxuries of desk/layout space and drafting equipment may
Eventually, worksheet drawings are transformed into final be scarce.
drawings. Therefore the scale selected for the worksheets
should be the same scale as that of the final drawings. This DRAWINGS
reduces design time and cost and lessens the chance of error Project acceptance by the community and approval by pub-
in transferring information from the worksheets to the final lic agencies can depend on an accurate graphical and pic-
drawings. This is the general practice for manual drafting. torial presentation of the project. Surrounding residents of
However, this practice is of little consequence if drawings a project frequently perceive development as an intrusion
are produced by digitized drafting methods. and disruption to the status quo. The numerous questions
The scale is selected such that the size of the drawing by the concerned community generated by new develop-
occupies nearly the full sheet, to provide as much clarity as ment projects and the resulting anxiety can be addressed
F IGURE 38.5 Distortions on projection surface.
F IGURE 38.6 Bar scales.

Engineers Scale and Architects Scale.

38.7
F IGURE
967
by using various types of drawings to show the effects of

the project. Additionally, sufficiently detailed and accurate
drawings (and specifications) helps insure that construction
proceeds without delays, cost overruns, or legal actions.
The numerous types of drawings used throughout the
design process of a land development project include free-
hand sketches, three-dimensional perspectives, and various
types of projection drawings. During the various phases of
design, these various types of drawings assist and record
the progression of the project and illustrate the end prod-
uct. The typical design process includes conceptual draw-
ings, preliminary drawings, construction drawings and
others.
Most of the drawings generated throughout the design
are parallel-projection type drawings. Of the four types of F IGURE 38.8 Six views of an orthographic scale.
projection drawings—multi-view, axonometric, oblique,
and perspective—multi-view projection drawings are used
most frequently for the civil site and some architectural These three views—plan, profile, and cross-section—are
drawings. Multi-view projection drawings, sometimes re- those used for most civil site drawings. The counterparts to
ferred to as orthographic projection, do not have foreshort- these in the architectural profession are plan and elevation
ening or distortion of linear or angular measurement. The drawings. Figure 38.9 illustrates this comparison.
other three types of drawings, more frequently used by ar- The profile and cross-section views are the result from
chitects, landscape architects, and occasionally planners, passing a vertical plane through an object or feature. In
distort the image in order to provide a more realistic pic-
ture.
Orthographic Drawings (Multi-view Projection)

An orthographic projection shows the details of an object
on a plane passed through or in front of one of the faces
of the object. The details project onto the plane by extend-
ing lines perpendicular to plane from the object to the
plane. Orientation of the object to the plane is completely
arbitrary and is determined by what or how the specific
features should be shown. Any orthographic projection is
only two dimensional. The simplicity of these types of
drawings is the limiting of detail of only one face; the prob-
lem is that many people have difficulty conceptualizing the
three-dimensional object from collectively observing the
separate views.
Specifically there are six views (in a rectangular coordi-
nate system) of an object (see Figure 38.8). Each view rep-
resents the face of a cube. The six views are labeled: front,
rear, top, bottom, left side, and right side. There is a cor-
relation between these fundamental views and the common
views of construction drawings. A plan view is analogous
to the top view, a profile view compares to a front (or rear)
view and the cross-section view compares to the left or
right-side views. A plan view identifies spatial relationships
in the horizontal plane by presenting the object as viewed
from overhead. Profile views show the object longitudinally.
They detail features of items where the length is greater
than the width (e.g., streets, water mains, sanitary lines, and
storm-sewer lines). Cross-section views, on the other hand,
are oriented at right angles to the longitudinal direction.
Street sections, channel/ditch sections, stream valleys and F IGURE 38.9 Orthographic views for engineering and architec-
foundations are items frequently shown in section views. ture.

practice the vertical planes do not have to be straight. They

can be angular or curvilinear if the situation warrants. The
objects or features do not have to be cut by the vertical
plane in order for them to appear in the view. Often the
features lie behind the vertical plane and are projected onto
the view. The location of the feature, whether it lies on or
behind the vertical plane in one view, can be determined
from observing that feature in other views.
Plan Views. These show the pertinent data as it would
appear if viewed from directly overhead. As with any type
of drawing, line weights and styles (e.g., dashed) help cat-
egorize similar elements and emphasize the important ele-
ments. For example, all proposed buildings might be shown
with a thick heavy line. Tangible objects such as curb and
gutter and buildings are shown, as well as intangible ele-
ments such as property lines, easement lines and, when
appropriate, contour lines. The horizontal arrangement of
the elements is shown to the correct scale.
Typically, a design phase of the project begins by drawing
the plan view of base information. These initial sheets are
referred to as base sheets. The information includes any
existing features and elements that need to be shown and
are pertinent to the design (e.g., property lines, existing
roads and buildings, existing easements and utilities, and F IGURE 38.10 Plan and profile view.
streams). Since this base information is what the design
evolves from, it is highly imperative that this information
be drawn accurately from reliable field information.
Profile Views. To establish the profile view, a base line or such that the viewer can project elements directly from one
reference line is established in the plan view. The reference view to the other as is the case in Figure 38.10.
line might be the centerline of a road or the centerline of Cross-Section Views. Often in the design of roads, large
pipe for a water main, sanitary line, or storm-sewer line. In conveyance channels, and floodplain studies, cross sections
other cases the reference line might be edge of pavement, become a necessary part of the design drawing set, either
top of curb, or any other established reference line where by ordinance requirement for approval or to facilitate the
the vertical relationships need to be examined. A reference engineering design itself. Similar to profiles, cross sections
system (e.g. stationing) along the reference line is shown in also show vertical relationships of existing and design fea-
both plan and profile views. This helps in correlating a po- tures except that they are oriented perpendicular (or nearly
sition on the reference line in the plan view with the profile perpendicular) to the reference line. Their purpose is to
view. Note that horizontal scale is different from the vertical show the vertical relationships of objects and design details
scale in most profile drawings. that cannot be shown effectively in other views.
The horizontal axis of the profile view represents the Cross-section views (see Figure 38.11) are plotted in a
selected-reference line. Although the reference line may manner similar to profile views. The location of each section
curve and meander in the plan view, it appears straight in is determined in the plan view. Cross-section lines typically
the profile view. The vertical axis of the profile view rep- intersect the reference line at right angles. However, the
resents elevations. For example, existing and proposed situation does arise in which features can be better illus-
ground elevations are plotted in the profile by locating the trated if the cross-section line is skewed with the reference
reference-line station in the plan view where contour lines line. At appropriate scales, the sections are plotted with the
cross the reference line. This elevation is then plotted at the horizontal axis representing the perpendicular distance rel-
appropriate station in the profile view. After the ground- ative to the reference line and the vertical axis as elevations.
elevation points are plotted in the profile view, they are The reference-line location is identified on each section by
connected by dashed lines to depict existing grade and solid the stationing. From the plan view, the distances from the
lines for proposed grade. Additionally, underground utilities reference line to points of known elevations on the section
and other existing features that cross the reference line, or line are determined. This same distance is measured from
come very close to it, should be plotted and identified in the reference line in the section, and the elevation is plotted.
the profile view. Such items will affect the design. Figure After all elevations are plotted, the points are connected and
38.10 shows how the profile is developed from the plan the lines appropriately labeled as existing or proposed when
view. However, the two views are not necessarily aligned required for clarity.

and cross section-views use a larger scale in the vertical

direction to exaggerate and accentuate these vertical rela-
tionships. As a result, take-off quantities may be better
served from cross-section views rather than profile views.
A comparison of an unexaggerated profile view with the
exaggerated view is shown in Figure 38.13.
Pictorial Projection Drawings

A pictorial drawing shows the object in three-dimensional
form. This type of drawing conveys design concepts in a
non-technical manner. Three types of pictorial projection
drawings are: perspective, axonometric and oblique. Each
type differs on how the object is projected onto the projec-
tion plane. Figure 38.14 shows the projection plane for the
three types of projection drawings and the multi-view draw-
ing.
Perspective. Of the three types of pictorial drawings, the
perspective drawing is the most realistic in that it shows
the object as perceived by the human eye and eliminates
optical distortion produced by other pictorial-projection
drawings. Parallel lines converge to vanishing points (V.P.)
in the drawing as they recede from the observer. This gives
the illusion of depth. Perspective drawings may have one
or several vanishing point (see Figure 38.15).
Axonometric. The axonometric drawing is a projection
F IGURE 38.11 Cross-section view. drawing where the projection lines are parallel to each other
and perpendicular to the projection plane. The axonometric
drawing is a view of the object such that it is turned and
A common pitfall when plotting or reading sections is slightly inclined to the projection plane. The drawing is
the location on the section relative to the reference line. transferred to the projection plane with parallel projection
Positions left or right of the reference line depend on which lines perpendicular to the projection plane. The three edges
direction of the reference line one is facing. If the reference of the object that meet at the corner nearest the observer
line runs north-south, for instance, and the stationing in- are the axonometric axes. Axonometric drawings are clas-
creases going north, then the left side of the reference line sified as: isometric if the angles of the axonometric axes are
is west. This is typical for road and highway sections. The equal; diametric if two angles are equal; and trimetric if the
left side is the side as determined from facing the direction three angles are unequal. Figure 38.16 illustrates these dif-
of increasing stationing. Although the selection left or right ferent types of axonometric drawings. Scale can be deter-
vis-a-vis ahead or behind stationing is purely arbitrary, the mined along each of the three axonometric axes. All lines
cross sections must be consistent, and indication must be parallel to each axis will be to the scale of that axis.
given on the plans to alert the reader to the orientation. Oblique. The reference axes for an oblique drawing are
When several cross sections appear on the same sheet, horizontal, vertical and depth, similar to the axonometric
the reference line of each section should be aligned with drawing. For elevation obliques, the object is oriented with
the preceding section. As shown in Figure 38.12, this en- one of the faces parallel to the projection plane. This makes
hances the appearance of the design sheet and helps in the angle between the horizontal and vertical reference axes
visualizing the continuity of the sections. 90⬚. The other two angles are arbitrarily selected at the con-
Spacing of cross sections depends on their purpose. Typ- venience of the drawing. Typically, the angle between the
ically in road design, cross sections are spaced every 50 or horizontal axes and the depth axes is 30⬚, 45⬚ or 60⬚, the
100 ft. Channel and stream-valley cross sections are located standard angles of drafting triangles. Plan obliques are de-
where there is significant change in the topography to war- picted with a high angle of view, with either a horizontal
rant a cross section, although there is usually a prescribed or vertical plane receiving more emphasis than other planes.
maximum distance set by local agencies. The projection lines from the object are all parallel but
The purpose of profile and section views is to show the make an oblique angle with the projection plane. Oblique
vertical relationship of objects. Because the longitudinal dis- drawings that use full size height, width and depth are
tance for the object is so long, the vertical relationship can- known as cavalier oblique drawings. These drawings por-
not be shown effectively if the same scale is used in the tray the object as having an exaggerated depth. To give the
vertical and longitudinal direction. Very often, profile views object a visually-correct appearance, the cabinet oblique

F IGURE 38.12 Cross sections with reference line aligned.
drawing shortens the depth dimension to 1⁄2 of the width

and height dimension (see Figure 38.17).
Microcomputer Graphics
The microcomputer has revolutionized design and drafting.
Solutions to design problems and creation design drawings
are done almost concurrently with the aid of microcom-
puters and software application programs. Producing draw-
ings at various scales, viewing the designed product from
any perspective in three dimensions and color design draw-
ings essentially can be had at the touch of a button. Revi-
sions to the design and to the drawings can be performed
very quickly and efficiently. One distinct advantage of using
a computer for design is the ability to generate customized
drawings. For example, a drawing showing only proposed
roads and existing topography at one scale can be gener-
ated, and in a short time another drawing can be generated
showing lot lines, sanitary sewer and waterline at a different
scale—that is, once the data has been entered into the
drawing file.
Microcomputer graphics can be used to link information
among the various disciplines. For example, surveying field
data can be downloaded to a microcomputer file, which
can then be accessed for engineering-design purposes. Con-
versely, data generated from engineering design can be
transferred to surveying equipment to make for easier field
F IGURE 38.13 Profile view: (a) 1:1 scale (b) exaggerated measurements. The sharing of information translates to sav-
scale. ings throughout the design process.

B B
C C
F I G U R E 3 8 . 1 4 Projection plane for orthographic, axonometric, oblique, and perspective drawings. (Reprinted from Frederick E. Giesecke,
1980, Technical Drawing, 7th ed. Reprinted by permission of Pearson Education, Inc., Upper Saddle River, NJ.)
The design and the drawing is only as good as the person planning the project. The location and identification of the
who operates the machine, the available input data, as well features are taken from existing records rather than field-
as the limitations of the software program. Despite the dra- run surveys. At the very early planning stages, initial layout
matic effects of the microcomputer, one realization fre- of the site is a broad-brush generalization that ‘‘roughs-in’’
quently overlooked is the over-emphasis placed on the the major streets, residential areas, commercial areas, rec-
reliability of the output. For the most part, the output from reational areas, open space areas and other major ideas
most software programs is accurate and reliable. However, about the design. Residential and commercial areas are lo-
the designer should not blindly accept output design just cated with only free-hand circles, streets have no geometric
because a computer generated the solution. A familiarity smoothness, and ideas for proposed land use are labeled in
with the software and its limitations is essential to produce the general vicinity of their impact. Such an abstract and
a good design. When a designer’s intuition results in a sus- symbolic drawing is commonly referred to as a bubble di-
picious feeling about a computer-generated design, it is best agram or blob diagram (see Figure 38.18).
to follow that intuition and investigate the solution until an As the project evolves, the bubble diagram is further re-
acceptable comfort level is attained. Don’t be reluctant to fined to what is referred to as the concept plan or concept
challenge the output from a computer. Computers have not diagram. The identified residential areas and commercial
changed the nature of the design process, only the efficiency areas show building location, entrances, parking areas, open
and productivity. space areas, ponds and other amenities. Major roads are
refined to a reasonable geometric relationship. Realizing
TYPES OF DRAWINGS USED IN LAND DESIGN that the building has, in all likelihood, not been designed
Project Planning at this stage, the building footprints shown on the concep-
During initial stages of the design process, a small-scale tual diagram are only representations of potential building
plan view of the project area with the property lines, exist- configurations. Parking areas are drawn to within a reason-
ing features and topography is used as the base to begin able area that accounts for the estimated number of re-

quired parking spaces. On large projects, the conceptual

plan shows the project broken down into different phases
and the order the phases will be developed. Figure 38.19
is the concept plan for the bubble diagram of Figure 38.18.
The conceptual plan is then modified into separate site-
analysis diagrams that illustrate specific concepts about the
site. Such diagrams may show views from different direc-
tions away from the site, solar orientation, hydrologic and
hydraulic issues, or how the site appears from the road or
entrance during various stages of completion. Some site-
analysis diagrams are sometimes prepared before the con-
cept plan is started. These diagrams evaluate the site for
specific existing conditions.
Preliminary-layout drawings typically follow as the next
design phase begins. These drawings take the conceptual
diagrams to the next level of detail. Lot lines are drawn
such that each lot size and configuration conforms to zon-
ing regulations, streets are drawn with proper geometric
characteristics that conform to design speed and traffic
loads (e.g., minimum widths and minimum radii), prelim-
inary grades for design are indicated by spot elevations, etc.
During early stages of the project, members of the design
team frequently meet with civic groups, neighborhood cit-
izens, staff of local planning agencies, environmentalists and
other people not adept at reading technical drawings. In
order to relay project-design ideas, they prepare various
types of presentation drawings. These drawings are en-
hanced versions of the plan view or three-dimensional per-
spective drawings sometimes shaded and colored to convey
F IGURE 38.15 Example of one-point, two-point and three- project ideas more clearly. Occasionally they are enlarged
point perspective drawing.
for presentation purposes.
An illustrative plan is a plan view of the project that is
colored or shaded to depict open space, parking, streams,
lakes and other site characteristics. Buildings, trees, lot
lines, and other physical features are illustrated to embellish
F IGURE 38.16 Three types of axonometric projections.

F IGURE 38.17 Cavalier and cabinet oblique drawings.
SINGLE
FAMILY
DETACHED
RESIDENTIAL
SINGLE
FAMILY
ATTACHED
RESIDENTIAL
IDE
DIV
E
SINGLE
AG
FAMILY
AIN
DETACHED
DR
RESIDENTIAL
MULTI FAMILY
RESIDENTIAL
LOW POINT
COMMERCIAL
OFFICE
RETAIL
ORIENT
TO
ENTRY
F IGURE 38.18 Bubble diagram.

Concept plan.
38.19
FIGURE
975
the drawing. Perspective drawings of the site, colored and a sanitary-sewer outfall running through tracts of land,
shaded (i.e., renderings), also help the uninitiated visualize the plan and profile sheets would show only the sani-
the project. Often, one type of drawing may serve several tary line. Various examples of a plan and profile draw-
purposes. Figure 38.19 is also an illustrative-type drawing. ing can be seen throughout the book.
4. Sediment and erosion-control plan—this identifies
Civil Site Drawings
the size, location, and types of various structural and
The civil site drawings are the technical drawings created vegetative measures that are used throughout the dura-
by engineers that show site improvements such as building tion of the project to control erosion and sediment.
location and grading, road design, utilities and storm-sewer Typically, this sheet also contains a narrative. Drainage
network. Many of these drawing become the construction divides are depicted on this sheet to support the ero-
drawings when sealed by the engineer and approved by the sion and sediment-design decisions.
appropriate public agencies. Typically, the civil site drawings
use orthographic-type drawings to show the site as it exists 5. Calculation sheet—these sheets show the storm-
and the finished project. In rare circumstances, the civil site sewer design calculations relating to inlet and pipe siz-
drawings may include a pictorial type of drawing. On coming. Calculation sheets also show stage-storage and
plex projects, drawings may be included to show interme- stage-discharge curves for storm-water management fa-
diate stages of the project. For example, on a site where cilities or other calculations for the benefit of the re-
massive earthwork is required there may be several grading view process and to be used by other design
plans showing the grading at intermediate stages. professionals.
Location of existing and proposed structures such as 6. Various detail sheets—most designs use local and
buildings, streets, and utilities, size and type of materials, national standards for construction. Occasionally no
existing and proposed grades, appropriate details and com- standard exists or the specifics of the site preclude the
putation analysis are all common elements in the full draw- use of an existing standard. In such cases, the engineer
ing set. Although the drawings’ main purpose is to direct composes his own detail drawings.
the construction, they are also used for quantity take-offs
and bidding purposes. Submission of the completed set to 7. Landscaping plan and detail sheet—these drawings
various public agencies is mandatory in most localities. locate and identify the types of trees, shrubs, and other
Public agencies such as department of transportation, de- vegetation for the project.
partment of public works, water authority and utility com- 8. Record plats/easement plats—although these draw-
panies, fire marshall’s office, and others all must approve ings are not typically thought of as part of the con-
the design of their respective disciplines. Until such com- struction set, they may be a required part of the
plete approval is obtained, site-construction activities can- submission set to the public agencies. These plats
not begin. The review and approval by these public agencies show the subdivision of the original tract, right-of-way
is necessary to insure the design conforms to applicable acquisitions and dedications, and the granting of cer-
codes and standards. (See Chapter 19, The Plan Submittal, tain property rights (e.g., easements).
Review and Approval Process, for further discussions.)
A typical construction-drawing set includes: The number of drawing sheets in a construction set var-
ies according to the size of the project, the scales selected
1. A cover sheet—this contains general notes regard- for the drawings and the requirements of the public agen-
ing general site/project conditions, vicinity map, sheet cies. The foregoing sheets are the more common sheets;
index, legend for symbols used in the plan set, block other drawing sheets are included as the particular project
areas for public agency approval stamps and signa- warrants. The project engineer is responsible to see that the
tures, the name and address of client/developer, and set contains all sheets necessary for communicating proper
name of the project manager. information to the contractors and public agencies. Insuf-
2. Grading plan/site plan—this is a plan view show- ficient or inadequate drawings will delay the approval pro-
ing horizontal location of the existing and proposed cess and cause headaches for the builder, and this
buildings, roads, utilities, parking areas, storm-sewer occasionally results in backcharges to the engineer.
network, and existing and proposed contours.
3. Plan and profile sheets—these are drawing sheets Survey Drawings
with part of the sheet showing a plan view and part Frequently, survey drawings and maps are referred to as
showing a profile view of the road, utility, storm-drain plats. Boundary plats, easement plats and subdivision plats
section etc. Depending on the nature of the project, a are a few types of survey drawings encountered in land
plan and profile view could show several facilities on development projects. Additionally, surveyors are respon-
the same sheet. For example, a length of street with sible for topographic maps and as-built plans, sometimes
water, sanitary, and storm sewer could all be shown on called record drawings. Most survey drawings are a form of
the same plan and profile view. In other cases, such as a plan view.
Boundary lines, lot lines, easements, etc. at the subdi- tended to the project site by traversing through private
vision level are identified with bearings and distances. In property. The success of the project is determined by the
the public-land system, a lot in a subdivision is referenced acquisition of the necessary easements to access the existing
eventually to the township in which it is located. The pub- utilities. The easements permit access by appropriate per-
lic-land system partitions land according to latitudes and sonnel for construction and maintenance.
longitudes of the Earth. Base latitudes and longitude lines Construction drawings typically use dashed lines for ex-
were established. From there, land was blocked off into 6- isting features on the site and solid lines for proposed fea-
mile square rectangles. Each township was further divided tures. Different line weights (i.e., thicknesses) depict
into 1-mile square rectangles called sections. Sections were different categories of the features to make the drawings
divided into halves, quarters, and quarter sections. The in- more readable. Survey plats do not follow this practice.
tent of establishing this system was to provide a simple Dashed lines on survey plats are indicative of existing fea-
method for real property identification to facilitate the ap- tures as well as other items. For example, dashed lines are
portionment of government lands to private ownership be- frequently used for easements (existing and proposed).
ginning in the early nineteenth century. Thirty-two states
use the public-land survey system. The remaining 20 states2 Shop Drawings
rely on metes and bounds, lot and block for land descrip- Inevitably, design drawings cannot cover all construction
tions. With the public-land system, any lot can be traced details. In circumstances where site-specific details are nec-
backwards to the township. essary, the contractor supplements the design drawings with
Early property boundaries in the ‘‘metes and bounds shop drawings (sometimes referred to as detail drawings).
states’’ were identified by referencing physical features of These drawings convey details necessary to manufacture
the property. That is, the property lines were identified as specific components for the project or detail construction
‘‘from the fence post to the oak tree to the pine tree stump techniques for a site-specific purpose. These shop drawings
to the edge of the swamp.’’ A surveyor surveyed the prop- may have to be approved by the local municipal agency
erty, and, based on the metes and bounds description, es- and/or the project engineer. In most cases, the engineer’s
tablished property lines with bearings and distances. approval is only to insure the drawings meet contract spec-
Boundary plats (see Figure 38.20) establish the property ifications. The engineer assumes no responsibility for their
lines for the project. The plat shows the monuments set accuracy, unless the contract states otherwise.
and found, and the bearings and distances for each line.
Existing easements or the potential for existing easements Architectural Drawings
is shown. Although the boundary is essential for planning Architectural drawings are used extensively in the land de-
design, often the planning design begins using only plotted- velopment industry. They basically show the interior and
deed descriptions to expedite the design process. When the exterior design specific to the building. Planners and engi-
boundary survey is complete, the design worksheets are neers coordinate with the architect in order to merge the
updated to the newly-established boundary. For the pur- site design with the building design. Confirmation by the
poses of conceptual and preliminary site analysis, a plotted- planner/engineer is recommended as to the architect’s in-
deed boundary is usually adequate as long as the worksheet tentions for grades and elevations of the site and location
boundary is revised to reflect currently-established property of the buildings. Site grades, building location and orien-
lines. tation as visualized by the architect may not work because
Topographical maps are also critical to preliminary de- of constraints relating to street and utility location and
sign. Again because of timing and the nature of the land grades, as well as land acquisition for easements and rights-
development process, topographical surveys are completed of-way.
later in the process after some of the planning phase has Because of the nature of the design process, plans and
already begun. During preliminary design, topography drawings change quite frequently. An open communication
maps from existing sources suffice. During final design, line between the architect and planner/engineer is essential
more accurate topographic information is an absolute ne- to minimize conflicts between the architectural design and
cessity. site design. A change of even 1 ft in elevation on a building
The subdivision plat (see Figure 38.21) delineates the lot or the addition of a window or door changes the site-
lines with bearings and distances and areas for each lot. grading scheme and could severely affect the site design.
Street dedications, rights-of-way, and easements are in- Therefore, when obtaining information from architectural
cluded on the subdivision plat. This plat is eventually re- plans (or from any plans outside the site engineer’s office),
corded in the land records of the municipality. it is prudent to verify that the information is current.3
Easement plats typically are required for all permanent Architectural drawings for residential dwellings include
off-site easements. On some projects, utilities must be ex- the following types of drawings: floor plans, framing plans,
2
Maine, New Hampshire, Vermont, Massachusetts, Connecticut, Rhode Island, New
York, New Jersey, Pennsylvania, Maryland, Delaware, Virginia, Kentucky, West Vir- 3
Some architectural / engineering design firms are so dispersed that it is wise to
ginia, North and South Carolina, Tennessee, Georgia, Texas, and Hawaii verify plans when everything has been designed in-house.

F IGURE 38.20 Boundary plat. Reprinted by permission of Uniwest Construction, Inc.
roof-framing plans, heating and cooling plans, plumbing floor to floor dimensions, exterior grades, foundations, foot-
plans, electrical plans and pictorial presentations. Floor ings, and overhangs, and other features that impact site de-
plans are section views that depict items of interest such as sign.
the location and dimensions of exterior walls, windows, In commercial projects, other professionals design many
doors, garages, walks, decks, stoops and patios. Other fea- of the plans. For example, mechanical engineers and elec-
tures shown and dimensioned on the floor plans include trical engineers perform the heating and cooling plans and
interior walls, mechanical equipment and plumbing fix- electrical design. During the site-design process, the plan-
tures. As shown in Figure 38.22, the floor plan is a hori- ners and engineers refer to these plan sets to locate utility
zontal sectional view. A floor plan showing typical details service connections and dimensions for construction stake-
and dimensions is shown in Figure 38.23. Typically, there out surveys.
is a floor plan for each floor of the building.
Elevation views (Figure 39.24) show exterior features of MAPS FREQUENTLY USED IN LAND DEVELOPMENT
one side of the building. The elevation shows the finished PROJECTS
appearance of the building with vertical dimensions. Grade There are numerous sources for obtaining maps that pro-
lines, windows, doors, and exterior materials are evident vide useful information for a project. It is good practice to
from the elevation views. When establishing the grading obtain many of the maps at the outset of the project. They
plan, floor plans and elevation views are referenced fre- will be invaluable during the course of the project. Addi-
quently for information. An example of a wall section is tionally, these maps can be kept on file to serve future pro-
shown in Figure 38.25. jects.
Another architectural drawing helpful in site design is The United States Geologic Survey (USGS) is a major
wall sections. Wall sections, a type of detail view, shows source of various maps. The USGS publishes a series of
F IGURE 38.21 Subdivision plat.
topographic quadrangle maps, which cover the United minute maps), 15’ maps, and 1 degree maps are available
States, its territories and possessions. These maps, The Na- for most areas of the U.S.
tional Topographic Map Series, are available in various Other types of maps available from the USGS include
scales, depending on the area of coverage. Areas bounded geologic maps, mineral resource maps, water resource
by 7.5⬘ of latitude and 7.5⬘ of longitude (referred to as 7.5- maps, land use and land cover maps, and both high and
F IGURE 38.22 Creating a floor plan.

Typical floor plan.

38.23
F IGURE
980
F IGURE 38.24 Architectural Elevations.

F IGURE 38.25 Wall section.

low-altitude photographic maps. The topographic and ge- tion along with the soil deposits of the area. The soils are
ologic-map coverages are identified on state indexes. Other described and mapped by the pedologic method. Some of
map coverages are outlined in U.S. indexes. the newer versions of the SCS maps include engineering
For example, each state index to the topographic maps characteristics of the soils also. Other localized soil maps
shows the quadrangle areas by reference code, map name and reports may be available through local municipal di-
and scale. The more comprehensive catalog, the ‘‘State cat- visions.
alog’’, lists alphabetically, grouped by map type and scale, Other maps that assist in the planning and design of a
the names, dates and prices of all available maps. The list land development project include the comprehensive plan
includes topographic maps, orthophoto quadrangles, state map, zoning/land-use maps, political-boundary maps, util-
maps, satellite-image maps and others. ity maps, watershed maps, special district maps, and many
The ‘‘Indexes to Geologic Mapping in the United States’’ others that are readily available from the municipality.
comprise a map of each state showing areas for which ge-
ologic maps have been published. Each sheet has a color REFERENCES
code to identify the scale, along with a text that gives the American Society of Photogrammetry, Manual of Photogrammetry,
source of publication, scale, date, and author of each geo- American Society of Photogrammetry, Falls Church, Va., 1980.
logic map and a list of USGS reports on the state. Ching, Frank, Architectural Graphics, 2nd ed., Van Nostrand
Other small-scale topographic maps are produced by the Reinhold, New York, 1985.
Army Map Service and the United States Coast and Geo- Croft, Frank M., et. al., Engineering Graphics, John Wiley, New
detic Survey (US&GS). The US&GS mainly publishes aer- York, 1989.
onautical and coastline charts. Giesecke, Frederick E., et. al., Technical Drawing, 7th ed., Mac-
Large-scale topographic maps with 5-ft contour intervals millan, New York, 1980.
are available from the local municipality. These maps pro- Kicklighter, Clois E. et. al., Architecture Residential Drawing and
vide information usable at the land development level but Design, 4th ed., SouthHolland, Ill., 1984.
not all municipalities have these. Large-scale topographic Molnar, John, Building Construction Drafting and Design, Van Nos-
maps may also be accessible from aerial survey firms. Ad- trand Reinhold, New York, 1989.
ditionally, these firms may have low-altitude aerial photo- Prenzel, Rudolf, Working and Design Drawings, 2nd ed., Van Nos-
graphic maps if the local municipality does not have them trand Reinhold, New York, 1989.
either. Vaughn, Richard C., Legal Aspects of Engineering, 4th ed., Kendall
Soil surveys, performed by the U.S. Dept. of Agriculture’s / Hunt, Dubuque, Iowa, 1983.
Soil Conservation Service since the early 1900s, identify Walker, Theodore D., and David D. Davis, Plan Graphics, 4th
soils according to county. This information is presented in ed., Van Nostrand Reinhold, New York, 1990.
map form and text form. The text describes the areal extent, Wang, Thomas, Plan and Section Drawing, Van Nostrand Rein-
physiography, relief, drainage patterns, climate and vegeta- hold, New York, 1979.


CHAPTER 39
SOILS
Douglas D. Frost, P.E.
INTRODUCTION scribing, categorizing and identifying soils based on the in-

The purpose of this chapter is to familiarize the land de- terests of other professions are available to assist the
velopment engineer with some of the basic soils issues that engineer. The soil scientist (agronomist) is interested in the
are likely to be encountered when he or she begins to plan, origin, distribution and classification of soil for agricultural
design, and alter land use. Knowledge of the basic make- purposes. Geology is the study of the origin, history, and
up of soil and its physical characteristics will be helpful to structure of the Earth with a focus on rock and rock for-
land development engineers when planning site grading, mations. While the geologist typically considers soil as the
storm-water management structures, roadway and parking weathering product of rocks, the agronomist’s interest in
area subgrades, retaining structures, and of course foun- soil is related obviously to agriculture. Soils and their prop-
dations for all types of structures. Also included in this erties are often described by terms specific to these disci-
chapter are some important engineering properties of soils plines, and it is helpful if the engineer can relate their terms
that will aid land development engineers’ design efforts and to his engineering interests.
assist them in understanding soils reports and geotechnical Geotechnical engineering is the branch of civil engineer-
engineering design parameters provided by soils engineers. ing that involves the use of soil and rock in engineered
From an engineering perspective, soil is the organic and construction. While some projects may require careful con-
inorganic material of the Earth’s surface capable of being sideration of rock and ground-water conditions, detailed
displaced by shovel or nominal mechanical efforts. Included discussion of engineering geology and ground-water effects
in this description are the gasses and liquids within the are beyond the scope of this chapter.
voids of the solid particles. Soil is an integral part of the
design analysis and construction activities. It is used as a SOIL PROPERTIES PHYSICAL & ENGINEERING
foundation base in its natural undisturbed state and as a
Phase Diagrams
construction material for embankments. The behavior of
soil is very different for each situation. Many structural fail- Soil, in its natural state, exists as a mixture of three distinct
ures have been attributed to not considering subsurface phases: water, air (gasses), and the soil itself. The gasses
conditions properly, or to uncertainty in predicting soil be- and water occupy the void spaces between the soil particles.
havior. The engineer is concerned with understanding what If and when the soil is completely saturated, all of the
lies below the ground surface and with soil engineering spaces within the soil are filled with water, while a soil that
properties such as strength, consolidation, stability, and per- is completely dry has all of its spaces filled only with air
meability and physical properties such as grain-size distri- (and gasses). In both of these cases, the soil exists as only
bution, moisture content, plasticity, and sometimes two phases.
corosivity. A phase diagram is used to establish weight-volume re-
Besides those methods that describe and indicate soil lationships of the air, water and solid content by separating
properties for engineering purposes, other methods of de- the constituents into distinct phases. It is a tool used to
985
SOILS
define parameters of the soil that are fundamental in estab- The degree of saturation, S, is the relative volume of
lishing the soil’s physical and engineering properties, such water in the voids, expressed as a percent. In equation form,
as unit weight, specific gravity, porosity, void ratio, shear the degree of saturation is
strength, loading and deformation behavior, permeability,
consolidation, and shrink-swell behavior. Vw
S⫽ ⫻ 100% (39.5)
On the diagram of Figure 39.1, each phase is associated Vv
with a volume and weight. Knowing the volume and weight
A completely saturated soil sample has no air content,
of each constituent provides information on other soil-
and the phase diagram becomes a two-phase diagram. In
property parameters derived from the weight-volume rela-
such case, S, the degree of saturation, is 100%.
tionships.
The water content, w, is defined as the ratio of the
Assuming the weight of the gasses to be negligible, the
weight of the water to the weight of the solid or
total weight, WT, of the soil is
Ww
WT ⫽ Ww ⫹ Ws (39.1) W⫽ (39.6)
Ws
where Ww is the weight of the water and Ws is the weight
of the solids. The total volume, VT, is This parameter greatly influences characteristics of a soil
(discussed later), especially in soils containing clays.
VT ⫽ Vs ⫹ Va ⫹ Vw (39.2) Tables 39.1 through 39.4 give the equations for weight-
volume relationships using various indexing parameters.
where Vs is the volume of the solids, Va is the volume of Other terms used in the tables and not previously defined
air (gasses), and Vw is the volume of the water. The com- are: water content is designated as w, the specific gravity of
bined volume of gasses and water is the void volume, the soil is Gs, density ␳, and the unit weight is ␥. Subscripts
Vv ⫽ Va ⫹ Vw. s, w, and a refer to the three phases of solid, water and air
Two parameters that relate the amount of air and water respectively.
to the amount of solids in the sample are void ratio and
porosity. By definition, the void ratio, e, is Gradation
Vv Terms such as clayey, silty, sandy, and gravelly are descrip-
e⫽ (39.3) tive textural terms frequently used to characterize soils. Soil
Vs
texture is determined by the relative amounts (by dry
and porosity n, expressed as a percent, is weight) of individual particle sizes in a sample. Although
many agencies and organizations have set up their own lim-
Vv its independently for the various particle sizes, the Unified
n⫽ ⫻ 100% (39.4)
VT Soil Classification System is the most widely accepted and
has been adopted by the American Society for Testing and
Please note that the void ratio, commonly expressed as Materials. Table 39.5 gives the particle-size range as defined
a decimal, can be greater than 1 whereas the porosity can- by ASTM.
not exceed 100%. The size-range of particles is determined through me-
chanical analysis. The two methods of analysis are sieve
analysis (as described in ASTM D-422 for particle sizes
larger than 0.075 mm) and hydrometer analysis (ASTM D-
1140 for particle sizes less than 0.075 mm).
The sieve analysis consists of passing an oven-dry soil
sample of predetermined weight through a nested set of
sieves. Each subsequent sieve has progressively smaller
openings, as shown in Figure 39.2. The weight of the sam-
ple retained on each sieve is expressed as a percentage of
the total weight of the dried sample. The number of sieves
and their size, identified by a number corresponding to the
opening size, are selected to cover the range of particle sizes
in the soil sample. Table 39.5 lists the standard sieve series
according to ASTM specifications.
Hydrometers are instruments designed to measure the
amount of soil (by weight) in suspension. The hydrometer
test separates soil-particle sizes through sedimentation, as-
suming that the soil particles are spherical and their settling
velocity follows Stokes’ law. The test measures the specific
F IGURE 39.1 Three-phase schematic of soil sample. gravity of the soil-liquid solution at a known depth and
SOILS
39 䡲 SOILS 987
TABLE 39.1 Volume Relationships

PROPERTY DEFINITION S ⴝ 100% S ⬍ 100%
Vs Vol. of Solids Ws VT ⫺ (Va ⫹ Vw) VT (1 ⫺ n) VT Vv

G␥ 1⫹e e
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . s. . w. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Vw Vol. of Water Ww Vv ⫺ Va SVv SVT e SVse
␥w 1⫹e
......................................................................................................................
Va Vol. of Air 0 VT ⫺ (Vs ⫹ Vw) Vv ⫺ Vw (1 ⫺ S)Vv (1 ⫺ S)VT e (1 ⫺ S)Vse
1⫹e
......................................................................................................................
Vv Vol. of Voids Ww W VT ⫺ Vs Vsn VT e Vse
VT ⫺ s
␥ G␥ 1⫺n 1⫹e
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . w. . . . . . . . . . . . . . . . . . . s. . w. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
VT Total Volume Vs ⫹ Vw Vs ⫹ Va ⫹ Vw Vs Vs(1 ⫹ e) Vv (1 ⫹ e)
1⫺n e
......................................................................................................................
n Porosity Vv V Ws e
1⫺ s 1⫺
VT VT GsVT␥w 1 ⫹ e
......................................................................................................................
e Void Ratio Vv VT n WwGs GsVT␥w
⫺1 ⫺1
Vs Vs 1⫺n WsS Ws
Taken from the Civil Engineering Reference Manual, 4th edition, by Michael R. Lindeburg, with permission from the publisher, Professional Publications, Inc.,
copyright 1989.
time from the start of sedimentation. This can be related to The points are plotted and a smooth curve is drawn
the amount of soil in suspension at the prescribed depth through the points. The particle-size distribution curve
and time. Application of Stokes’ law then determines the graphically depicts the range and distribution of particle
percentage of soil by weight finer than a given diameter. sizes for the soil sample tested. These curves are also used
The information obtained from the hydrometer and sieve for presenting grain-size distribution of concrete aggregates,
analysis is presented as a particle-size distribution curve. filter media in dam embankments, and for water-well gravel
This curve is a semi-logarithmic plot of the particle diam- packs.
eters (on log scale) along the abscissa with the correspond- To illustrate the preceding discussion, consider the data
ing percent finer (i.e., total weight less that retained on the in Table 39.6 showing the results of a sieve analysis of three
particular sieve) along the ordinate on the arithmetic scale. soil samples of 100 g each.
The log scale accentuates the particle-size range better than Particle-size distribution curves for each sample are
an arithmetic scale. It is nearly impossible to cover the var- shown in Figure 39.3. Curve I, a relatively flat curve, shows
iations in particle size unless the log of the values is used. the soil particle sizes distributed over a wide range. This
TABLE 39.2 Weight Relationships

Ws weight of measured WT GV␳W (1 ⫺ n) WwG

solids (1 ⫹ W) eS
......................................................................................................................
WW weight measured wWs S␳wVv eWsS V 䡠 ␳D 䡠 W
of water G
......................................................................................................................
WT total WS ⫹ WW Ws(1 ⫹ W)
weight of
sample
copyright 1989.

SOILS
TABLE 39.3 Unit Volume Relationships

␥Dry Dry Unit Wt. Ws Ws Gs␥w WT Gs␥w(1 ⫺ n) Gs␥w

Vs ⫹ Vw VT wG V(1 ⫹ w) 1⫹e
1⫹ s
S
......................................................................................................................
␥wet Wet Unit Wt. Ws ⫹ Ww Ws ⫹ Ww ␥D(1 ⫹ w) Gs␥w(1 ⫺ n) (Gs ⫹ Se)␥w (1 ⫹ w)␥w
Vs ⫹ Vw VT * (1 ⫹ w) 1⫹e w 1
⫹
S G
......................................................................................................................
␥sat Saturated Unit Wt. Ws ⫹ Ww Ws ⫹ Vv␥w Ws ␥e (Gs ⫹ e)␥w (1 ⫹ w)␥w
⫹ w
Vs ⫹ Vw VT V 1⫹e 1⫹e 1
w⫹
Gs
copyright 1989.
type of soil is called a well-graded soil. Curve II shows a Terms associated with soil gradations used to identify
soil sample composed of two uniform soils (represented by soil properties further include:
curves on either side of the horizontal segment), with an
absence of particle sizes in the 0.85-mm to 0.425-mm size 䡲 Effective size—grain diameter at 10% finer (D10)
range. Such a soil is referred to as gap-graded. The relatively 䡲 Uniformity coefficient (Cu), given as
steep curve of soil sample III indicates a poorly graded
soil—that is, nearly uniform particle sizes. A term analo- D60
gous to the engineering concept of gradation is ‘‘sorted’’. Cu ⫽ (39.7)
D10
Geologists use this term to describe the uniformity of the
particle sizes in a soil. A well-graded engineering soil is a 䡲 Coefficient of gradation (Cc)
poorly sorted geologic soil.
Grain-size distribution curves provide clues as to the D 230
Cc ⫽ (39.8)
type of soil deposits and the geologic origin of the sample. D60 ⫻ D10
For instance, some glacial soils contain a wide range of
particle sizes. This type of soil would appear as a well- The D10 and Cu parameters are a means to compare particle-
graded distribution curve. Alluvial and eolian soils might distribution curves for different soils without plotting them
appear as poorly-graded soils because of the mechanics of on the same graph. The uniformity coefficient indicates the
natural sorting by flowing water and wind. shape of the curve and D10 positions along the curve. An
TABLE 39.4 Additional Relationships

w Moisture Content
(1 ⫺ n)G
n Ww
W
WT
W
⫺1
Se
G 冉
S w ⫺
␥
␥D G
1
冊
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .s . . . . . . . . s. . . . . . . . . . . . . . . . s. . . . . . . . . . . . . s. . . . . . . . . . . . . . . . . . . s. . . . . . . . . . . .
S Degree of Saturation 1.00 Vw Ww wGs w
Vv Vv␥w e ␥w 1
⫺
␥ G
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .D. . . . . . . . . . . . . . . . . . . . . .
Gs Specific Gravity Ws Se
Vs␥w w
copyright 1989.

SOILS
39 䡲 SOILS 989
TABLE 39.5 USA Sieve Series (ASTM Specification E-11-70) Showing the Corresponding Soil-
Grain Size (ASTM D-2487)
STANDARDB Alternative Description Standard Alternative Description
125 mm 5 in. 2.00 mm No. 10
............................... ...............................
106 mm 4.24 in. Cobbles* 1.70 mm No. 12
............................... ...............................
100 mmD 4 in.D 1.4 mm No. 14
............................... ...............................
90 mm 31⁄2 in.E 1.18 mm No. 16 Medium Sand
......................................................
75 mm 3 in. 1.00 mm No. 18
............................... ...............................
63 mm 21⁄2 in. 850 ␮mF No. 20
............................... ...............................
53 mm 2.12 in. 710 ␮m No. 25
............................... ...............................
50 mm D
2 in.D 600 ␮m No. 30
............................... ...............................
45 mm 13⁄4 in. Coarse gravel 500 ␮m No. 35
............................... ......................................................
37.5 mm 11⁄2 in. 425 ␮m No. 40
............................... ...............................
31.5 mm 11⁄4 in. 355 ␮m No. 45
............................... ...............................
26.5 mm 1.06 in. 300 ␮m No. 50
............................... ...............................
25 mmD 1 in.D 250 ␮m No. 60
............................... ...............................
22.4 mm 7
⁄8 in. 212 ␮m No. 70 Fine Sand
...................................................... ...............................
19 mm 3
⁄4 in. 180 ␮m No. 80
............................... ...............................
16 mm 5
⁄8 in. 150 ␮m No. 100
............................... ...............................
13.2 mm 0.530 in. 125 ␮m No. 120
............................... ...............................
12.5 mmD 1
⁄2 in.D 106 ␮m No. 140
............................... ...............................
11.2 mm 7
⁄16 in. Fine gravel 90 ␮m No. 170
............................... ......................................................
9.5 mm 3
⁄8 in. 75 ␮m No. 200
............................... ...............................
8.0 mm 5
⁄16 in. 63 ␮m No. 230
............................... ...............................
6.7 mm 0.265 in. 53 ␮m No. 270 Fines
............................... ...............................
6.3 mmD 1
⁄4 in.D 45 ␮m No. 325
............................... ...............................
5.6 mm No. 31⁄2 38 ␮m No. 400
............................... ......................................................
4.75 mm No. 4 32 ␮m No. 450
............................... ...............................
4.0 mm No. 5 25 ␮mD No. 500
............................... ...............................
3.35 mm No. 6 Coarse Sand 20 ␮mD No. 635
............................... ...............................
2.80 mm No. 7
...............................
2.36 mm No. 8
Copyright ASTM. Reprinted with permission.
B
These standard designations correspond to the values for test sieve aperutres recommended by Internation Standards Organizations, Beneva, Switzerland.
* Cobbles range from 300 mm to 90 mm; Particles greater than 300 mm are designated as boulders.
D
These sieves are not in the standard series but they have been included because they are in common usage.
E
These numbers 931⁄2 to 635) are the approximate number of openings per linear in. but it is preferred that the sieve be identified by the standard desingation in
millimetres or micrometers.
F
1000 ␮m–1 mm.

SOILS
cohesive soil has considerably more strength at a low water

content than at high water content.
Depending on the moisture content of a cohesive soil,
its behavior ranges from a solid (at very low moisture con-
tent), to a semisolid, to a plastic, and finally to a liquid
phase at very high moisture contents. The moisture content,
in percent, for which the behavior transitions from solid to
a semisolid is defined as the shrinkage limit. As a semisolid
soil sample is dried, its mass volume decreases to a mini-
mum below which no further reduction mass volume oc-
curs with any further drying. The moisture content, for
which the soil transitions from the semisolid to plastic
phase, is called the plastic limit. As the moisture content
increases, the soil transforms into the liquid phase. The
moisture content at which this transformation occurs is the
liquid limit. Figure 39.4 shows the relationship of the water
content and the consistency range of cohesive soils. The
difference between the liquid limit and the plastic limit is
known as the plasticity index (PI).
The moisture content defining the shrinkage limit, plas-
tic limit, and the liquid limit, sometimes referred to collec-
tively as the Atterberg limits, is a measure of the consistency
of the cohesive soil. The plasticity index is a measure of the
range of water content over which the soil remains plastic.
Plasticity of fine-grained soils is caused by the adsorbed
water on the particles.
The type of clay minerals and the proportional amounts
of clay minerals the soil affect the liquid limit and the plas-
tic limit. Based on their crystal structure and chemistry,
clays are classified into distinct groups. A few of the more
common clay mineral groups include Kaolinite, Halloysite,
Illite, and Montmorillonite. Less common are Vermiculite
and Chlorite. The activity, A, is an index that identifies the
F IGURE 39.2 Sieve analysis. swelling potential of clay soils. Activity is defined as
PI
BBB ⫽ ␩ (39.9)
ideal uniform soil (i.e., very poorly graded) has a uniformity (% ⬍ 0.002 mm)
coefficient of 1. Soils with Cu less than 2 are considered
uniform or poorly graded. Well-graded soils generally have where the denominator represents the fraction (by weight)
Cu values of 4 or more. of the sample smaller than 0.002 mm. The activity of ka-
Soil gradation typically is specified for controlled backfill olinite is less than 1, illite has an intermediate activity range
material, dam embankments, soil filters (to prevent piping), of 1 to 2 and montmorillonite clays have an activity of
as well as subbase for roads and foundations. greater than 4.
A wide variation the liquid limit is typical among co-
Atterberg Limits hesive soils. Values as high as 80 to 100 are not uncommon,
Cohesive soils are composed of fine-grained (⬍0.002-mm) although values of 40 to 60 are more representative of such
particles, often flaky in shape rather than spherical or soils. The liquid limit range for silty soils is typically 25 to
blocky. The interaction of the fine particles and water mol- 50. Plastic limits of silts and clays do not vary as widely as
ecules causes these soils to exhibit some degree of plasticity. the liquid limits; the normal range is between 15 and 30.
Plastic materials deform without cracking (under small Silty soils are less plastic than clay and tend to be at the
stress) and maintain the deformed shape after the stress has higher end of this range. The plasticity index can be as high
been relaxed. Elastic materials, on the other hand, deform as 70 to 80 for very plastic clays, although more common
when subjected to small stresses but rebound to their orig- values for the plasticity index for clays are between 20 and
inal shape when the stress is relaxed. The strength of co- 40. The plasticity index for silty materials normally ranges
hesive soils usually depends on the water content. A between 10 and 20. Table 39.7 gives ranges for the liquid

SOILS
39 䡲 SOILS 991
TABLE 39.6 Particle-Size Distribution of Three Soil Samples

SAMPLE I SAMPLE II SAMPLE III
SIEVE # % RETAIN % PASS. % RETAIN % PASS. % RETAIN % PASS
8 0 100 0 100 0 100

.....................................................................................................................
10 1.0 99.0 2.5 97.5 0 100
.....................................................................................................................
14 3.0 96.0 7.5 90.0 2.0 98.0
.....................................................................................................................
16 5.0 91.0 18.5 71.5 12.0 86.0
.....................................................................................................................
20 3.5 87.5 12.5 59.0 22.0 64.0
.....................................................................................................................
25 6.0 81.5 3.0 56.0 43.0 21.0
.....................................................................................................................
30 5.5 76.0 0.5 55.5 15.0 6.0
.....................................................................................................................
40 13.0 63.0 2.0 53.5 6.0 0.0
.....................................................................................................................
50 13.0 50.0 12.0 41.5 0.0 0.0
.....................................................................................................................
70 12.0 38.0 17.0 24.5
.....................................................................................................................
100 17.0 21.0 13.0 11.5
.....................................................................................................................
140 11.0 10.0 8.0 3.5
.....................................................................................................................
200 8.0 2.0 3.5 0.0
.....................................................................................................................
230 2.0 0.0 0.0 0.0
limit, plastic limit and shrinkage limit for various clay min- is an important property of soil and influences the design
erals. and constructability of nearly all land development projects.
The results from studies done by Casagrande on the re- A few examples of projects in which permeability should
lationship of the plasticity index to the liquid limit for a be considered are:
variety of soils lead to the formation of a plasticity chart.
The chart, Figure 39.5, delineates inorganic clays from in- 䡲 Seepage of water through dams and levees
organic silts by the empirically-derived A-line. The U-line 䡲 Water well recharge times and dewatering of exca-
defines the upper limit of the relationship of the plasticity vations
index to the liquid limit for any soil found. This plasticity
chart has been modified for use as part of ASTM D-2487, 䡲 Rate of settlement of fine-grained soils
‘‘Classification of Soils for Engineering Purposes.’’
䡲 Roadway subgrade and drainage design
Typical index values of various soils are shown in Table
39.8. 䡲 Drainage, capillary, and frost action
Permeability For engineering purposes, the permeability of a soil is

The study of geotechnical engineering requires a thorough based on ‘‘Darcy’s Law’’ and is discussed in terms of the
understanding of the sometimes complex integration of soil, ‘‘constant of proportionality (k),’’ which is commonly re-
water and air that makes up the three-phase soil schematic ferred to as the coefficient of permeability and has the units
discussed in the beginning of this chapter. Variation in a of velocity.
soil’s water content can alter its physical and strength char- Because soils are often deposited in relatively horizontal
acteristics dramatically. For instance, one can easily walk or layers, vertical and lateral permeability of soils varies widely
even drive on wet sand and dry clay. But doing the same even in the most homogeneous soil deposits. Non-
on wet clay and dry sand would prove very difficult (Liu, homogeneous layering in soil deposits increases this natural
1937). variability. The determination of a soils coefficient of per-
Water flow through soil or any other porous material is meability (k) is made one of several ways. Approximate val-
an engineering property called ‘‘permeability.’’ Permeability ues can be obtained from laboratory testing using the

SOILS
F IGURE 39.3 Particle-size distribution curves.
constant-head (ASTM D-2434) or falling-head permeability

test. Table 39.9 provides some information on the range of
the coefficient of permeability, drainage characteristics, and
applicable testing methods for determining k values for
common soil classes.
Field pump testing utilizing an extraction well in concert
with a series of radial-spaced observation wells can be used
for large-scale dewatering design. Single-well tests, such as
‘‘slug’’ testing, can also be used to estimate permeability.
Finally, there are some empirical formulas that can be used
to obtain rough orders of magnitude of the coefficient of
permeability.
For clean cohesionless soils Hazen (1911) proposed
k ⫽ C(D10)2 (39.10)
where
k ⫽ coefficient of permeability in mm/sec

D10 ⫽ effective grain size mm
F IGURE 39.4 Atterberg limits—phase diagram. C ⫽ a constant ranging from 10 to 15
SOILS
39 䡲 SOILS 993
the normal stress is zero and, therefore, will not hold to-
T A B L E 3 9 . 7 Atterberg Limit Values
gether unless confined. The curve of Figure 39.7(b) shows
for Clay Minerals* a soil that exhibits some degree of cohesion, indicated by
LIQUID PLASTIC SHRINKAGE the vertical shift in the curve.
MINERAL LIMIT LIMIT LIMIT Because of the apparatus configuration, the direct-shear
test imposes failure along a pre-described plane rather than
Montmorillonite 100–900 50–100 8.5–15 the weakest plane in the soil sample. Additionally, the dis-
.....................................................
tribution of shear strain is not uniform over the sample,
Nontronite 37–72 19–27
..................................................... and this results in progressive failure. The results of these
Illite 60–120 35–60 15–17 shortcomings in the test may give higher than actual values.
..................................................... The direct-shear test is especially useful for determining the
Kaolinite 30–110 25–40 25–29 angel of internal friction (␸) for compacted backfill soils
.....................................................
adjacent to retaining walls. Other shear tests include ring
Hydrated halloysite 50–70 47–60
..................................................... or double direct and triaxial, the latter of which gives the
Dehydrated halloysite 35–55 30–45 most consistent results.
..................................................... The voids between soil particles are called pore spaces.
Attapulgite 160–230 100–120 The water and the corresponding pressure are referred to
.....................................................
as pore water and pore pressure. Water flowing through the
Chlorite 44–47 36–40
..................................................... soil skeleton, although usually very slow, affects the trans-
Allophane 200–250 130–140 mission of the resisting forces among the soil particles, thus
influencing the compression and shear resistance of the soil.
From Principles of Geotechnical Engineering, 3rd edition, by B. M. Das Within the context of soil strength, two terms commonly
䉷 1994. Reprinted with permission of Brooks / Cole, an imprint of the used are drained and undrained shear strength. The drained
Wadsworth Group, a division of Thomson Learning.
strength is the tested strength of a saturated soil sample as
the water is allowed to dissipate out of the soil while the
loading is applied. This strength parameter is applicable for
Shear Strength use when the underlying soils are granular (i.e., pervious).
The stability of a soil is largely dependent on its shearing Hence, as the surface load (e.g., shallow footing) is applied
strength, which is a measure of the resistance to sliding to an upper-saturated soil layer, the water in the soil would
between soil particles. Internal friction and cohesion are the permeate into the granular soil. However, if the lower soil
two components that combine to produce the sliding resis- layers are impermeable, the undrained strength parameter
tance. Cohesion is the magnetic-like attraction between par- is used the design analysis.
ticles caused by the atomic structure of the individual The shearing strength of a soil is given by the Coulomb
particles. Cohesion is inherent in all clay as well as some equation,
other fine-grained soils. Friction is the resistance of the par-
ticles rubbing across one another. Frictional resistance de- s ⫽ c ⫹ ␴ tan ␾ (39.11)
pends on the physical characteristics of the soil grains, such
where
as particle angularity, surface roughness, sphericity, grada-
tion, and relative density. The measure of this resistance is s ⫽ shearing strength
referred to as the angle of internal friction. c ⫽ cohesion
The concept of shear strength is best illustrated with the ␴ ⫽ normal stress on the shear plane
following description of the direct-shear test (ASTM D- ␸ ⫽ angle of internal friction
3080). A soil sample is placed in a shear box, a device that
is split along a horizontal plane through the middle, as Shearing strength of a soil is a combination of the co-
shown in Figure 39.6. A normal force is applied to the top hesive properties and the friction properties. For pure clays
of the box by using weights. A horizontal force is then the shearing strength is only dependent on cohesion (i.e.,
gradually applied to the top half of the box until the soil ␸ ⫽ 0). Recognize, however, that cohesion is not constant.
sample fails. The normal force divided by the area of the Factors affecting cohesion are changes in water content, rate
sample is the normal stress ␴; the horizontal force divided and time of loading, chemical composition of the clay, and
by the sample area is the shear stress ␶. This procedure is numerous other factors. Hence, slope stability for such soils
repeated for various values of the normal force and the re- depends on a number of conditions.
sults are plotted as a curve of ␴ versus ␶. Because the internal friction of granular soils is from the
A granular, cohesionless soil will produce the curve of particle-to-particle resistance, the shearing strength in-
Figure 39.7(a). This type of curve shows that the shear re- creases relation to the confining pressure to which they are
sistance is linearly proportional to the normal force. The subjected. This is evident from the Coulomb equation and
constant of proportionality, designated as ␸, is the angle of Figure 39.7(a). For a given granular soil where c ⫽ 0 and
internal friction. These soils have no shear strength when ␸ is constant, as the normal stress, ␴, increases, the shear-
SOILS
CL-ML
F IGURE 39.5 Plasticity chart. Copyright ASTM. Reprinted with permission.
ing strength also increases. Conversely, the shearing Soils, which are characterized by a three-phase system
strength of a pure clay soil with ␸ ⫽ 0 is independent of composed of soil, air voids, and water (or when a soil ma-
the normal stress and attributable solely to the cohesive trix is 100% saturated), undergo a time-dependent consol-
properties of the soil. idation since the applied load is carried initially by the soil
and water. With the passing of time, the water is squeezed
Compressibility out of the soil, allowing the grains to move closer together.
Nearly everyone has seen pictures of the Leaning Tower of The rate at which the water is displaced is governed by
Pisa, listing to one side and looking like it could topple at the soil’s permeability. Soils with high permeability (i.e.,
any second. Settlement has haunted the designers and course-grained soils) require relatively short time periods to
builders of this world famous structure for more than 700 consolidate, and most of the settlement is complete by the
years. Countless other structures and civil projects have suf- time construction operations are completed (Liu, 1937).
fered a similar if not more catastrophic fate (Sowers 1977.) Soils of low permeability (i.e., fine-grained clay soils) can
Structures built on soil are subject to settlement. Most experience consolidation settlements for many years and, in
often settlement results from increased stress, which causes fact, may continue to be compressed well beyond the useful
compressive deformation (i.e., a reduction in the soil’s void life of the structure. This is especially true of organic or
ratio) in the supporting soil matrix because of the weight peat soils. Note also that the rate of consolidation for a
of the new structures. Other causes of settlement include given soil is also related to the thickness of the soil layer,
dynamic forces, changes the ground-water table elevation, since that controls the distance the pore water has to travel
and nearby excavations (Liu, 1937). to escape the soil layer.
Settlement generally takes the form of relatively imme- Settlement associated with the displacement of pore wa-
diate subsidence and long-term, time-dependent substance. ter out of a soil layer is referred to as ‘‘primary consolidation
Compression (consolidation) is the result of soil particles settlement’’ (Sc). Following the primary consolidation, ad-
re-arranging themselves into a tighter, more compact state. ditional consolidation settlement may occur, although it will
For dry soils, which are made up of soil particles and air be at a reduced rate and magnitude. This additional, often-
voids (a two-phase system), settlement would occur quite negligible settlement is known as ‘‘secondary compression’’
rapidly under the application of an increased load. The air (Ss) and results from the reorientation and breaking of the
voids are easily compressed as the soil grains continue to clay-to-clay bonds. Secondary compression is also referred
slide past each other until equilibrium is achieved between to as soil ‘‘creep.’’
the increased stress and the resisting friction generated from The total settlement (S) to be anticipated is obtained by
adjacent soil grains. This type of settlement behavior is re- summing the aforementioned settlement components and
ferred to as immediate or distortion settlement (Sd). is represented by the following formula (Winterkorn 1975.)
TABLE 39.8 Table of Values of Soil Index Properties
PARTICLE SIZE AND GRADATION VOIDS1 UNIT WEIGHT2 (LB.CU.FT)
APPROX. VOID RATIO POROSITY (%) DRY WT., ␥dry WET WT., ␥wet SUB. WT., ␥sub
APPROX. SIZE RANGE
RANGE (MM.) APPROX. UNIF. Emax Emin Nmax Nmin MIN. 100% MAX. MIN. MAX. MIN. MAX.
D10 COEF., Ecr MOD.
Dmax Dmin (MM) CM (LOOSE) (DENSE) (LOOSE) (DENSE) (LOOSE) AASHTO (DENSE) (LOOSE) (DENSE) (LOOSE) (DENSE)
Granular Materials
1. Uniform Materials
a. Equal spheres (theoretical — — — 1.0 0.92 — 0.35 47.6 26.0 — — — — — — —
values)
b. Standard Ottawa Sand 0.84 0.59 0.67 1.1 0.80 0.75 0.50 44 33 92 – 110 93 131 57 69
c. Clean, uniform sand (fine — — — 1.2 to 2.0 1.0 0.80 0.40 50 29 83 115 118 84 136 52 73
or medium)
d. Uniform, inorganic silt 0.05 0.005 0.012 1.2 to 2.0 1.1 — 0.40 52 29 80 — 118 81 136 51 73
2. Well-graded materials
a. Silty sand 2.0 0.005 0.02 5 to 10 0.90 — 0.30 47 23 87 122 127 88 142 54 79
b. Clean, fine to coarse 2.0 0.05 0.09 4 to 6 0.95 0.70 0.20 49 17 85 132 138 86 148 53 86
sand
c. Micaceous sand — — — — 1.2 — 0.40 55 29 76 — 120 77 138 48 76
d. Silty sand & gravel 100 0.005 0.02 15 to 300 0.85 — 0.14 46 12 89 — 1463 90 1553 56 92
.............................................................................................................................................................................
SOILS
Mixed Soils
1. Sandy or silty clay 2.0 0.001 0.003 10 to 30 1.8 — 0.25 64 20 60 130 135 100 147 38 85
2. Skip-graded silty clay with 250 0.001 — — 1.0 — 0.20 50 17 84 — 140 115 151 53 89
stones or rock fragments
4 4
3. Well-graded gravel, sand, 250 0.001 0.002 25 to 1000 0.70 — 0.13 41 11 100 140 148 125 156 62 94
silt & clay mixture
.............................................................................................................................................................................
Clay Soils
1. Clay (30 to 50% clay sizes) 0.05 0.5u 0.001 — 2.4 — 0.50 71 33 50 105 112 94 133 31 71
2. Colloidal clay (⫺0.002 mm. 0.01 10Å — — 12 — 0.60 92 37 13 90 106 71 128 8 66
ⱖ 50%)

.............................................................................................................................................................................

Organic Soils
1. Organic silt — — — — 3.0 — 0.55 75 35 40 — 110 87 131 25 69
2. Organic clay (30 to 50% — — — — 4.4 — 0.70 81 41 30 — 100 81 125 18 62
clay sizes)
1
Granular materials may reach emax when dry or only slightly moist. Clays can reach emax only when fully saturated.

2
Granular materials reach minimum unit weight when at emax and with hygroscopic moisture only. Clays reach minimum unit wet weight when fully saturated at emax. The unit submerged weight of any saturated soil is the unit wet weight
minus the unit weight of water.
3
Applicable for very compact glacial till. Unusually high unit weight values for tills are sometimes due not only to an extremely compact condition but to unusually high specific gravity values.
4
Applicable for hardpan.
GENERAL NOTE: Tabulation is based on G ⫽ 2.65 for granular soil, G ⫽ 2.7 for clays, and G ⫽ 2.6 for organic soils.
From Basic Soils Engineering, 2nd edition, Hough, B. K. Copyright 1969. Reprinted by permission of John Wiley & Sons, Inc.
995
SOILS
TABLE 39.9 Permeability Characteristics of Soils
* After Casasrande and Fadum (1940), from Hunt (1984)
S ⫽ Sd ⫹ Sc ⫹ Ss (39.12)
where
S ⫽ total settlement
Sd ⫽ distortion settlement
Sc ⫽ primary consolidation settlement
Ss ⫽ secondary compression settlement
METHODS FOR CLASSIFYING SOIL

Soil classification is a means to describe soil behavior ac-
cording to the interests of a particular discipline. From an
engineering perspective, although a soil is non-
homogeneous and anisotropic (reacts differently under dif-
ferent forces), there are methods available to categorize soils
systematically for construction purposes. Although soil clas-
sification provides a general sense of how the soil will likely
behave, based on its engineering properties, this alone can-
F IGURE 3 9 . 6 Direct-shear test apparatus. From Principles of
Geotechnical Engineering, 3rd edition, by B. M. Das 䉷 1994. Reprinted not be the sole criterion for measuring the soil’s behavior.
with permission of Brooks / Cole, an imprint of the Wadsworth Group, a A detailed investigation of the soil, using subsurface explo-
division of Thomson Learning. ration methods and other detailed soil investigations, is

SOILS
39 䡲 SOILS 997
result of both the physical and chemical weathering pro-

cess. Physical weathering results when rock is fragmented
as a result of the freeze-thaw cycles of the water found in
the soil’s cracks and pore spaces. Abrasion also contributes
to the breakdown of rocks into fragments and soil. Chem-
ical weathering, considered perhaps as the most important
of the two processes, is the result of chemically-active
agents such as water, carbon dioxide (CO2), free oxygen
(O2), and organic acids reacting with the mineral compo-
sition of the rock.
Soil formation is an evolutionary process involving the
breakdown of parent-rock material by weathering from its
interaction with environmental factors, such as climate, to-
pography, and vegetation. Residual soils are those formed
through natural decomposition of rock material. These soils
are susceptible to being transported great distances by
wind, water, ice, and gravity. New soils are formed when
these transported soils are deposited, mix with the local
soils and then undergo further weathering and consolida-
tion. Conceivably, these new, mixed soils can themselves be
transported, and the soil-formation process repeats itself.
The various methods of soil formation give soil its areal
and vertical limitations. Transitions from one soil formation
to another may be gradual or abrupt depending on for-
mation processes, transport and deposition modes. In the
vertical direction, deposits of transported soils result in
strata layers. Soils formed in place (i.e., residual soils) create
layers referred to as horizons.
A soil horizon is a layer of soil, approximately parallel
to the surface of the Earth, that differs from adjacent, ge-
netically-related horizons in physical, chemical or biological
characteristics. The vertical variation of the horizons forms
the soil profile. Each soil profile is comprised of three major
horizons, within which there may be sub-horizons. The
deepest horizon, the C-horizon, contains the relatively un-
weathered parent material. This is either residual material
or material that has been transported through geologic pro-
cesses. The upper A-horizon is comprised mostly of organic
litter. Between the A and C horizon is the B-horizon. This
F IGURE 39.7 Shear strength for (a) granular soil (b) cohesive
soil. horizon is partly soil from the A-horizon that has been
washed and leached downward. It includes the true soil
developed by the soil-forming processes. Each of the A and
needed to supplement the predicted behavior based on gen- B horizons may be further subdivided into other horizons
eralized classification. Specific laboratory and field tests if other specific distinctions are present. These sub-horizons
quantify indexing parameters and provide reasonable as- are denoted with numerical subscripts to the letter desig-
surance of the anticipated performance of the soil as a con- nation (e.g., A1, A2, B1, B2 . . . etc.)
struction medium. The depth of a soil profile depends on the processes that
affect its formation. Both age and topography affect the
Pedologic Classification depth of weathering. Profiles develop when moisture moves
Pedology is the study and analysis of soil profiles and in- downward through the horizons. Steep slopes or low-
cludes soil chemistry, soil mineralogy, and soil physics. The rainfall areas result in shallow profile development. Older,
uncertainty in estimating soil behavior, as discussed previ- more developed profiles occur on flat terrain where greater
ously, is attributable to the fact that soil is non- amounts of moisture movement are prevalent. Figure 39.8
homogeneous and non-isotropic. The non-homogeneous, illustrates a typical soil profile. Some of the sub-horizons,
non-isotropic characteristics of soil are the result of the way identified by the numerical subscripts, are transition zones
soils originate. The gradual conversion of rock to soil is the between the adjacent major horizons. Typical of residual

SOILS
F IGURE 39.8 Typical soil profile. Reprinted with permission from PCA, 1973, Soil Primer, Skokie, Ill.: Portland Cement Association.
soils is the variation of gradation with depth. Particle sizes waterlogging or (b) genetic differences caused by cli-
range from the fine-grained particles at horizons near the mate and vegetation
surface down to the rock fragments of the underlying par-
3. Great groups: based on certain diagnostic horizons
ent material in the lower horizons.
Soil scientists describe soil horizons in terms of color, 4. Subgroup: three kinds of subgroups that relate to
texture, structure, consistency, root and pore distribution, (a) the central concept of the great group, (b) transi-
and the relative arrangement with adjacent soil layers. From tional forms to the higher groups, (c) properties not
the pedological perspective, the same parent material sub- representative of the great group or transitions
jected to the same environmental conditions will produce
5. Family: based on plant growth properties such as
identical soil profiles. This premise is the basis by which
texture, mineralogical composition and temperature
pedologists combine soils into related groups. Although
there are different systems of pedologic classification, the 6. Series: the basic unit of classification consisting of
one use by the U.S. Soil Conservation Service and reflected soils essentially alike in all major profile characteristics
in the abundant county soil survey reports available nation- except the texture of the A horizon. There are about
wide was developed initially by the U.S. Department of Ag- 12,000 series names in the U.S.
riculture (USDA). Soil-survey reports are very useful during
initial land-planning processes. The SCS classification sys- Soil series names typically are associated with local place
names or a natural feature where the soil was recognized
tem categorizes soil through six levels. Each subsequent
initially. The soil series names are the major component
level is more descriptive, and thus more definitive, for clas-
shown on detailed soil maps by the Soil Conservation Ser-
sification. Beginning with the broadest to narrowest the cat-
vice (SCS). Essentially, a single-series name identifies the
egories are:
following features about a soil:
1. Order: the 10 orders are differentiated according to
1. Parent material
soil morphology and genetic base
2. Special features of parent material
2. Suborder: divided primarily on the basis of chemi-
cal and physical properties that reflect (a) presence of 3. Topographic position

SOILS
39 䡲 SOILS 999
4. Natural drainage qualities Geologic Classification

5. Profile characteristics Physical properties of some soils can be inferred from the
mode of transportation displacing the soils and the geologic
Along with the series name, its texture or its geologic factors that influenced this formation. The following is a
classification may also describe a soil. The properties as- brief description of the principal types of transported soils
sociated with this classification then can be related to its and geologic factors that influence their formation. Table
engineering aspects. Such things as grain size, geology of 39.11 summarizes geologic description of soils.
the parent materials (including approximate depth to bed- Alluvial and lacustrine soils are formed by sedimentation.
rock in residual soil), hydrology of the soil, relative infiltra- Alluvial soils are those deposited from running water and
tion rate, topography in terms of degree of slope and lacustrine soils are deposits in lakes. Deposits of alluvial
position in the landscape, and the performance of the soil soils tend to be well sorted because of the transport process
as construction material based on past experiences with that of streams and rivers. A stream’s capacity to transport sed-
same soil can be associated with the series name. iment is a function of the velocity. Higher velocities move
The soil designations can help determine where to per- larger particles; hence, the particle size of the deposit is
form extensive subsurface explorations and possibly how indicative of the channel velocity. Since the velocity can
deep the explorations will need to be. Soil reports, pub- transport only specific particle sizes, those that are larger
lished by the SCS, available in most areas, describe specific than the threshold size settle out. Because of this natural
characteristics about the local soil series and their relation- sorting process, alluvial and lacustrine deposits may be
ship to engineering design problems. Such characteristics sources of gravel or sand quarries. Some areas of alluvial
as depth-to-water-table, erosion potential, rock excavation, soils may have high water tables. The soils tend to be
need for subgrade stabilization and a host of other engi- mainly medium-to-fine sands, silts and clays with poor
neering interests are identified or can be inferred from the drainage qualities. They tend to be soft, loose in density,
agricultural soil data. As an example, Figure 39.9 shows an and highly compressible and typically do not provide a
SCS soils map. The accompanying table (Table 39.10) iden- good foundation.
tifies the map soil codes by series name and correlates the Aeolian soils are wind-transported soils. These soils typ-
soil series with engineering properties. ically are found in semi-arid to arid regions. Dunes, which
are sand deposits formed by wind, occur mainly in coastal
zones and desert areas. Since dunes migrate in the direction
of the prevailing winds, their formation consists of flat
slopes on the windward side and steep slopes on the lee-
ward side.
Finer silts transported by wind are called loess. This soil
is characterized by loosely-arranged grains of sand, silt and
clay, with silt as the character size. When dry, the grains are
held together by a cementing agent, typically calcite, which
may make up as much as 10% of the total soil. The loose
structure with its numerous root holes usually produces
vertical cleavage and high vertical permeability. Upon sat-
uration, loess becomes unstable and compressible.
Glacial soil deposits are mostly heterogeneous mixtures
of particle sizes ranging from boulders to clay. The soils
have been eroded, pushed, or carried along with the glacier
movement. Moraines describe those soil deposits that have
been pushed or scraped along with the glacier. Glacial drifts
are the soil deposits precipitated out of the ice or from the
melt waters. Outwash are deposits carried away by the
melting glacial waters. The character of glacial soils varies
considerably, but in general, most glacial soils have good-
to-fair bearing capacities and good-to-fair drainage.
Textural Classification
From an engineering perspective, the primary interest soil
is as a construction medium; that is, whether a soil will be
effective as a foundation base, provide a stable embankment
F IGURE 39.9 CS map showing soil series. or cut slope, or serve as adequate backfill material. The

1000
TABLE 39.10 Typical Engineering Characteristics of Soils
MOISTURE
POSITION FROM
DENSITY GRAIN SITE DISTRIBUTION
GROUND
SURFACE PERCENTAGE PASSING SIEVE
SOIL MAXIMUM PERCENTAGE SMALLER THAN PLASTIC- CLASSIFICATION
PARENT DEPTH DRY OPTIMUM NO. 4 NO. 10 NO. 40 NO. 200 LIQUID ITY
SERIES NO. MATERIAL (IN.) HORIZON DENSITY MOISTURE 3-IN. (4.76 MM) (2.0 MM) (.42 MM) (0.74 MM) .05 MM .02 MM .005 MM .002 MM LIMIT INDEX AASHTO UNIFIED
Orange 59 Greenstone 0–9 Ap 113 14 100 96 88 81 77 60 30 17 23 3 A-4(8) ML

SOILS
9–23 B21, B22 166 15 99 92 84 77 72 54 30 19 29 9 A-4(8) CI

23–41 B2m 91 28 100 97 93 90 87 77 65 60 86 53 A-7-5(20) CH
.............................................................................................................................................................................
Othello3 39 Coastal Plain 2–10 A 120 11 100 99 62 57 — 19 12 18 4 A-4(5) ML-CL
sediments 12–30 Bg 113 15 100 99 71 68 — 38 31 35 21 A-6(12) CL
35–40 C 112 13 100 38 28 — 10 9 NP NP A-4(1) SM
.............................................................................................................................................................................
Penn2 (fine 67 Sandstone 0–8 A — — — — — — — — — — — 18 2 A-2 SM
sandy loam)4 8–15⫹ C — — — — — — — — — — — 26 5 A-4 ML-CL
.............................................................................................................................................................................

Penn (loam)4 75 Siltstone and 0–8 A 113 14 — 100 99 93 84 78 — 26 16 27 4 A-4(8) ML-CL

shaly sandstone 8–19 C 115 14 100 96 87 77 — 22 15 26 3 A-4(8) ML
.............................................................................................................................................................................
3
Penn (Shaly 77 Shale and 3–14 B and C 112 15 100 89 72 55 51 51 — 23 13 31 7 A-4(3) ML-CL
silt loam)4 sandstone 14–36 C 115 15 100 48 40 32 28 27 — 14 8 29 7 A-2-4(0) GM-GC
.............................................................................................................................................................................

Penn (silt 73 Triassic shale 0–8 Ap 113 14 100 99 93 84 78 50 26 16 27 4 A-4(8) ML-CL
loam)4 and siltstone 8–19 C1 115 14 100 96 87 77 46 22 15 26 3 A-4(8) ML
19⫹ D 117 12 100 35 28 24 10 — — — — 32 11 A-2-6(0) GC
.............................................................................................................................................................................
3
Raritan 92 Alluvium on 0–8 A — — — — — — — — — — — 33 8 A-4 ML-CL
Triassic terrace 8–37 B — — — — — — — — — — — 75 50 A-7-5 CH-ML
shales and 37⫹ R — — — — — — — — — — — 28 7 A-2-4 GM-GC
sandstone
.............................................................................................................................................................................
Reedington 273 Triassic shale
0–7 Ap 100 21 100 99 93 84 82 68 42 30 43 16 A-7-6(11) ML-CL
and siltstone
12–28 B22 110 18 100 99 96 92 89 68 47 38 45 24 A-7-6(5) CL
34–48 C 113 16 97 95 91 86 84 68 43 32 38 19 A-6(12) CL
.............................................................................................................................................................................
Rowland 12 Alluvium from 0–8 Layer 1 112 16 100 98 91 75 70 49 23 14 27 4 A-4(8) ML-CL
Triassic soils 14–21 Layer 2 112 15 100 94 85 76 51 24 16 27 5 A-4(8) ML-CL
21–36 Layer 3 115 15 100 96 52 44 32 20 15 25 3 A-4(3) ML
.............................................................................................................................................................................
Sassafras 54 Sand, silt, and 4–10 A2 122 10 100 97 41 38 27 15 9 15 2 A-4(1) SM
clay of Coastal 14–26 B2 117 14 100 97 46 45 37 27 24 27 10 A-4(2) SC
Plain 38–50 C 111 12 100 97 13 13 13 11 10 NP NP A-2-4(0) SM
.............................................................................................................................................................................
Wahadkee 5 Alluvium 0–8 A 95–105 24–28 100 85–100 50–95 — — — — 25–52 11–22 A-6, A-7 CL, MH
ML, CH
8–92 B 100 90–100 50–85 — — — — 30–45 11–20 A-6 A-7 ML, CL
.............................................................................................................................................................................
Woodstown3 34 Coastal Plain 6–11 A 117 12 100 90 35 36 — 15 12 20 5 A-4(0) SM-SC
sediments 22–36 B 125 10 100 89 38 38 — 19 14 20 6 A-4(1) SM-SC
36–60 C 121 10 100 86 20 19 — 11 9 NP NP A-2-4(0) SM
.............................................................................................................................................................................
Worsham 8 Colluvium from 0–7 A 110 16 100 93 72 65 — 33 26 31 9 A-4(7) ML-CL
schist and 10–46 B 104 20 100 97 86 82 — 58 48 60 34 A-7-6(20) CH
granite 46–62 C 113 14 100 92 68 62 — 41 35 48 26 A-7-6(14) CL
1
Samples were tested in accordance with standard procedures of the American Association of State Highway Transportation Officials (AASHTO) in a cooperative program involving State Highway Departments, Universities or Colleges, and
the Bureau of Public Roads. Moisture density tests were performed in accordance with AASHTO Test Designation T99.57; Mechanical analyses according to the American Association of State Highway Transportation Officials Designation
SOILS
T88. AASHTO classification is based on ‘‘Standard Specifications for Highway Materials and Methods of Sampling and Testing’’ (Pt. 1, Ed.7): ‘‘The Classification of Soils and Soil Aggregate Mixtures for Highway Construction Purposes.’’
AASHTO Designation M145-49. Unified classification is based on the ‘‘Unified Soil Classification System,’’ Technical Memorandum No. 3 357, Volume 1, Waterways Experiment Stations, Corps of Engineers March 1953.
2
‘‘Soils of Prince William County,’’ Report No. 8; Prepared by Prince William County in cooperation with the Agronomy Department of Virginia Polytechnic Institute and the U.S.D.A. Soil Conservation Service.
3
‘‘Engineering Soil Classification for Residential Development’’. F.H.A. No. 373; revised November, 1961; compiled and edited by the Federal Housing Administration, Architectural Standards Division, Technical Studies Staff from data
prepared by the Virginia Polytechnic Institute, Bureau of Public Roads, and State Highway Departments, Universities, and Colleges.
4
Soil Series (ex. Bucks) are often separated during field mapping according to soil types (ex: Bucks Loam, and Bucks Silt Loam). The soil type is determined by the texture of the surface horizon, which often indicates differences in the
soil parent material, and throughout the soil profile. These differences may affect the engineering properties of the Soil Series.
5
‘‘Soil Survey of Hanover County, Virginia’’, prepared by the U.S.D.A. Soil Conservation Service in cooperation with Virginia Polytechnic Institute and State University.
6
Lab data obtained from Geotechnical Engineering Report, considered to be typical of ‘‘Marine clays’’ in Fairfax County, Virginia Liquid Limits typically range from 50–90, with Plasticity Indices greater than 30.

1001
SOILS
TABLE 39.11 Summary of the Principal Geologic Soil Deposits

PERTINENT
MAJOR DIVISION PRINCIPAL SOIL DEPOSITS ENGINEERING CHARACTERISTICS
Transported Soils
Alluvial Floodplain deposits. Deposits laid down by a stream
within that portion of its valley subject to inundation by
floodwaters.
Material Point bar. Alternating deposits of arcuate ridges
Generally favorable foundation
transported and and swales (lows) formed on the inside or conditions; however, detailed
deposited by convex bank of mitigating river bends. Ridge investigations are necessary to locate
running water. deposits consists primarily of silt and sand; discontinuities. Flow slides may be a
swales are clay-filled. problem along riverbanks. Soils are
quite pervious.
Channel fill. Deposits laid down in abandoned Fine-grained soils are usually
meander loops isolated when rivers shorten compressible. Portions may be very
their courses. Composed primarily of clay; heterogeneous. Silty soils generally
however, silty and sandy soils are found at the present favorable foundation
upstream and downstream ends. conditions.
Back swamp. The prolonged accumulation of Relatively uniform in a horizontal
flood water sediments in flood basins bordering direction. Clays are usually subject to
a river. Materials are generally clays but tend to seasonal volume changes.
become more silty near riverbank.
Alluvial Terrace deposits. Relatively narrow, flat-surfaced, Usually drained, oxidized. Generally
river-flanking remnants of floodplain deposits formed by favorable foundation conditions.
entrenchment of rivers and associated processes.
Estuarine deposits. Mixed deposits of marine and alluvial Generally fine-grained and
origin laid down in widened channels at mouths of rivers compressible. Many local variations in
and influenced by tides of body of water into which they soil conditions.
are deposited.
Alluvial-Lacustrine deposits. Material deposited within Usually very uniform in horizontal
lakes (other than those associated with glaciation) by direction. Fine-grained soils generally
waves, currents, and organo-chemical processes. compressible.
Deposits consist of unstratified organic clay or clay in
central portions of the lake or typically grade to stratified
silts and sands in peripheral zones.
Deltaic deposits. Deposits formed at the mouth of rivers, Generally fine-grained and
resulting in shoreline extension. compressible. Many local variations in
soil condition.
Piedmont deposits. Alluvial deposits at foot or hills or Generally favorable foundation
mountains. Extensive plains or alluvial fans. conditions.
.....................................................................................................................
Glacial Glacial till. An accumulation of debris, deposited beneath Consists of material of all sizes in
Material at the side (lateral moraines), or at the lower limit of a various proportions from boulders and
transported and glacier (terminal moraine). Material lowered to ground gravel to clay. Deposits are
deposited by surface in an irregular sheet by melting glacier is known unstratified. Generally present
glaciers, or by as a ground moraine. favorable foundation conditions; but
melting water from rapid changes in conditions are
the glacier. common.

SOILS
39 䡲 SOILS 1003
TABLE 39.11 Summary of the Principal Geologic Soil Deposits (Continued)

PERTINENT
Glacio-Fluvial deposits. Coarse and fine-grained material Many local variations. Generally
deposited by streams of meltwater from glaciers. Material present favorable foundation
deposited on ground surface beyond terminal of glacier conditions.
is known as an outwash plain. Gravel ridges know as
kames and eskers.
Glacio-Lacustrine deposits. Material deposited within Very uniform in a horizontal direction.
lakes by meltwater from glaciers. Consisting of clay in
central portions of lake and alternate layers of silty clay
or silt and clay (varved clay) in peripheral zones.
.....................................................................................................................
Marine Shore deposits. Deposits of sands and/or gravels formed Relatively uniform and of moderate to
Material by the transporting, destructive, and sorting action of high density.
transported and waves on the shoreline.
deposited by Marine clays. Organic and inorganic deposits of fine- Generally very uniform in
ocean waves and grained material. composition. Compressible and
currents in shore usually very sensitive to remodeling.
and offshore
areas.
.....................................................................................................................
Eolian Loess. A calcareous, unstratified deposit of silts or sandy Relatively uniform deposits
Material or clayey silt traversed by a network of tubes formed by characterized by ability to stand in
transported and root fibers now decayed. vertical cuts. Collapsible structure.
deposited by wind. Deep weathering or saturation can
modify characteristics.
Dune sands. Mounds, ridges, and hills of uniform fine Very uniform grain size; may exist in
sand characteristically exhibiting rounded grains. relatively loose conditions.
.....................................................................................................................
Sedimentary Soils
Residual
Material formed by Residual sands and fragments of gravel size formed by Generally favorable foundation
disintegration of solution and leaching of cementing material, leaving conditions.
underlying parent more resident particles; commonly quartz.
rock or partially Residual clays formed by decomposition of silicate rocks, Variable properties requiring detailed
indurated material. disintegration of shales, and solution of carbonates in investigation. Deposits present
limestone. With few exceptions becomes more compact, favorable foundation conditions except
rockier, and less weathered with increasing depth. At in humid and tropical climates, where
intermediate stage may reflect composition, structure, and depth and rate of weathering are very
stratification of parent rock. great.
.....................................................................................................................
Organic Peat. A somewhat fibrous aggregate of decayed and Very compressible. Entirely unsuitable
decaying vegetation matter having a dark color and odor for supporting building foundations.
of decay.

SOILS
TABLE 39.11 Summary of the Principal Geologic Soil Deposits (Continued)

PERTINENT
Accumulation of Muck. Peat deposits that have advanced in

highly organic decomposition to such extent that the botanical character
material formed in is no longer evident.
place by the
growth and
subsequent decay
of plant life.
.....................................................................................................................
Colluvial Talus. Deposits created by gradual accumulation of Previous movement indicates possible
Material unsorted rock fragments and debris at base of cliffs. future difficulties. Generally unstable
transported and Hillwash. Fine colluvium consisting of clayey sand, sand foundation conditions.
deposited by silt, or clay.
gravity.
Landslide deposits. Considerable masses of soil or rock
that have slipped down, more or less as units, from their
former position on steep slopes.
.....................................................................................................................
Pyroclastic Ejecta. Loose deposits of volcanic ash, lapilli, bombs, Typically shardlike particles of silt
Material ejected etc. size with larger volcanic debris.
from volcanoes Weathering and redeposition produce
and transported by highly plastic, compressible clay.
gravity, wind, and Unusual and difficult foundation
air. condition.
Pumice. Frequently associated with lava flows and mud
flows, or may be mixed with nonvolcanic sediments.
effectiveness of a soil for these purposes may be determined widely-used methods for classifying soils, taking into ac-
initially by its classification, using properties such as par- count the particle-size distribution and plasticity, are the
ticle-size distribution and plasticity. Unified Classification System (UCS) and the American As-
Particle-size distribution (i.e., the gradation of a soil sam- sociation of State Highway and Transportation Officials
ple) is a form of textural classification. In the textural sense, (AASHTO) System.
soil is classed as gravel, sand, silt and clay. These textural
categories separate the soil according to grain size. Although Unified Soil Classification System (ASTM D-2487)
these textural terms are commonly used by various orga- The Unified Soil Classification (USC) system, described in
nizations and agencies, the size limits for each particle class ASTM D-2487, groups soil into two broad categories:
vary. Table 39.12 shows differences in particle-size limits coarse-grained soils and fine-grained soils. The letters G, S,
for several selected agencies. Using the size limits of the C and M designate textural categories of gravel, sand, clay,
USDA (sand: 2.0 mm–0.05 mm, silt: 0.05 mm–0.002 mm, and silt, respectively. Additionally, this system uses W and
clay: ⬍0.002 mm), Figure 39.10 can be used to classify the P to indicate a well-graded or poorly-graded soil, and H to
soil once the relative weight (in percent) of each constituent indicate high or L for low plasticity. The underlying as-
is known. sumption for the USC system is that the engineering prop-
Textural classification relates the physical properties of erties of any coarse-grained soil depends on the particle-size
soils, particle size, shape, and soil composition. The parti- distribution. For fine-grained soils, the engineering prop-
cle-size distribution method is most effective for categoriz- erties are identified by the soil’s plasticity.
ing cohesionless (i.e., coarse-grained) soils, whereas To determine the classification using the USC system, a
cohesive soil (e.g., clays) characteristics are best described sieve and/or hydrometer analysis test, as described previ-
by properties related to their plasticity. Two of the most ously, is run and the results are compared to the appropriate

SOILS
39 䡲 SOILS 1005
TABLE 39.12 Particle-Size Limits for Selected Agencies
Reprinted with permission from Fang, Hsai-Yang, ed. 1991. Foundation Engineering Handbook, 2nd ed., New York: Van Nostrand Reinhold.
flow chart. First the soil is classified as to whether it is a

coarse-grained soil or fine-grained soil. This is based on the
weight fraction larger or smaller than the No. 200 sieve
(0.075-mm).
Coarse-grained soils are those that have 50% or more of
the soil sample larger than 0.075 mm (No. 200 sieve). As
shown the flowchart of Figure 39.11, coarse-grained soils
are divided into either sands or gravels. If more than 50%
of the coarse fraction is larger than 4.75 mm (No. 4 sieve),
the sample is a gravel. For a sample with more than 50%
smaller than the No. 4 sieve, the soil is a sand. The symbols
G and S identify the soil as a gravel or sand. Gravels and
sands are further classified according to gradation, includ-
ing the amount and type of fines1 in the sample. If the
amount of fines is less than 12%, the uniformity coefficient,
Cu, and gradation coefficient, Cc, are used to classify the soil
further. For a sample with the amount of fines ⬎12%, the
plasticity chart of Figure 39.5 is used to classify the sample
further.
The soil is classified as a fine-grained soil if 50% or more
passes the No. 200 sieve. Figure 39.12 is used to determine
the fine-grained soil classification. These soils are classed as
clays (C) or silts (M) (M is from the Swedish word ‘‘mo’’ for
F IGURE 39.10 USDA textural classification chart. 1

Fines are soil particles smaller than 0.075 mm (No. 200 sieve).

SOILS
USC flow chart for classifying coarse-grained soils. Copyright ASTM. Reprinted with permission.
39.11
F IGURE
1006
SOILS
USC flow chart for classifying fine-grained soil. Copyright ASTM. Reprinted with permission.
39.12
F IGURE
1007
SOILS
silt) according to the liquid limit and the plasticity index After the GI is computed, Figure 39.14 is used to deter-
from Figure 39.5. Organic, silty and clayey soils are divided mine the soil classification. To determine the correct soil
according to the liquid limit (LL). Those with high LL group, read the diagram from left to right. The soil group
(i.e., ⬎ 50) are CH or MH. A liquid limit less than 50 results that includes the range of the particle-size distribution and
in a soil designation as CL or ML (L indicates low plasticity). Atterberg limits of the sample is the correct group. In prac-
The flow chart for organic fine-grained soils (Figure 39.13) tice, the designation is given followed by the GI in paren-
is used if theses (e.g., A-5 (9)).
Correlation between the USC system and the AASHTO
LL ⫺ oven dried classifications is shown in Table 39.13.
⬍ 0.75 (39.13)
LL ⫺ not dried
SOIL COMPACTION
Table 39.15 provides general guidelines on the proper-
The stability of any structure founded on soil depends on
ties of soils classified by the USC system.
the strength and stability of the soil itself. Engineering prop-
erties for in-situ soil can be markedly different than for the
AASHTO Classification System (ASTM D-3282)
same soil that has been excavated and used elsewhere. In
This system is described in ASTM D-3282 or AASHTO some cases the existing soil in its natural state is not suitable
M65. This method of classification, popular with state and as a foundation base, whereas it may be if recompacted or
county highway departments, is used to classify soils based prepared properly. In other cases, excavated soil may not
on laboratory test results. The American Association of State be suitable for any reuse beyond landscaping purposes. The
Highway and Transportation Officials (AASHTO) classifies land design engineer relies on the recommendations of a
soils into seven groups, designated as A-1 through A-7, geotechnical expert on the strength and stability of a soil
based on the particle-size distribution, liquid limit and plas- and what methods might be used for improving its per-
ticity index. Classifications A-1 through A-3 are basically formance. Methods for increasing soil strength include add-
granular material with 35% or less of the particles smaller ing material or chemicals to the soil or increasing the
than 0.075 mm. Soil classifications A-4, A-5, A-6, and A-7 density by controlled compaction. Ground improvement
are silt and clay-type soils where more than 35% of the soil techniques are discussed later in this chapter. For many
is finer than 0.075 mm (No. 200 sieve). land development projects, the land design engineer typi-
This system uses an empirically-determined, group- cally is concerned with the following recurring situations:
index parameter to classify the soil into a subgroup of one
of the seven initial groups. The group index (GI) is defined 1. Bearing capacity and compressibility of the existing
as soil to sustain the structure loads of buildings or pave-
ment
GI ⫽ (F ⫺ 35)[0.2 ⫹ 0.005(LL ⫺ 40)] (39.14)
⫹ 0.01(F ⫺ 15)(PI ⫺ 10) 2. Bearing capacity and compressibility of excavated
soil that is reused on the site
where F ⫽ % of soil particles passing 0.075 mm (No. 200)
3. Slope stability of soil used as embankment
sieve expressed as a whole number (this percentage is based
only on the material passing the 3-in. (75 mm) sieve); LL 4. Slope stability of soil in cut areas
is the liquid limit in percent; and PI is the plasticity index
expressed also as a percent. The first term of the equation The strength of a soil depends on the void ratio and the
is the partial group index determined from the liquid limit. moisture content of silty and clayey soil. Compaction usu-
The second term is the partial group index determined from ally increases the strength characteristics of soil, decreases
the plasticity index. The following list applies in determin- the settlement potential, and increases slope stability of em-
ing the group index number: bankments by decreasing the void ratio and increasing the
density of the soil. Minimum compaction requirements are
1. The group index is always entered as a number identified in the specifications or dictated by local stan-
greater than or equal to zero. If the GI computes to be dards. Usually, the geotechnical consultant recommends
less than 0, the GI is taken as zero. The group index compaction requirements in the instances where none exist
of soils the A-1-a, A-1-b, A-2-4, A-2-5 and A-3 is al- in local standards.
ways zero.
Compaction
2. The group index number is rounded to the nearest
Increasing soil density occurs by: rearrangement of the soil
whole number.
particles; fracture of the grains or bonds between them and
3. For soils in the A-2-6 and A-2-7 subgroups, the then rearrangement; or bending the soil particles and their
GI is calculated using only the second term (Eq. adsorbed layers. To do any of this requires energy—a com-
(39.14)) containing the PI portion of the equation. pactive effort. The amount of energy needed depends on

SOILS
39 䡲 SOILS 1009
USC flow chart for classifying organic fine-grained soils. Copyright ASTM. Reprinted with permission.
39.13
F IGURE

SOILS
F I G U R E 3 9 . 1 4 AASHTO classification system. From Standard Specifications for Transportation Materials and Methods of Sampling and Testing,
14th edition. Copyright 1992 by the American Association of State Highway and Transportation Officials, Washington, D.C. Used by permission.
TABLE 39.13-a Comparison of the AASHTO System with the Unified System*
COMPARABLE SOIL GROUPS IN UNIFIED SYSTEM
SOIL GROUP
IN AASHTO MOST POSSIBLE BUT
SYSTEM PROBABLE POSSIBLE IMPROBABLE
A-1-a GW, GP SW, SP GM, SM

.....................................................................................................................
A-1-b SW, SP, GM, SM GP —
.....................................................................................................................
A-3 SP — SW, GP
.....................................................................................................................
A-2-4 GM, SM GC, SC GW, GP, SW, SP
.....................................................................................................................
A-2-5 GM, SM — GW, GP, SW, SP
.....................................................................................................................
A-2-6 GC, SC GM, SM GW, GP, SW, SP
.....................................................................................................................
A-2-7 GM, GC, SM, SC — GW, GP, SW, SP
.....................................................................................................................
A-4 ML, OL CL, SM, SC GM, GC
.....................................................................................................................
A-5 OH, MH, ML, OL — SM, GM
.....................................................................................................................
A-6 CL ML, OL, SC GC, GM, SM
.....................................................................................................................
A-7-5 OH, MH ML, OL, CH GM, SM, GC, SC
.....................................................................................................................
A-7-6 CH, CL ML, OL, SC OH, MH, GC, GM, SM
Copyright ASTM.
Reprinted with permission.
After T. K. Liu (1967).
From Principles of Geotechnical Engineering, 3rd edition, by B. M. Das 䉷 1994. Reprinted with permission of Brooks / Cole, an imprint of the Wadsworth Group,
a division of Thomson Learning.

SOILS
39 䡲 SOILS 1011
TABLE 39.13-b Comparison of the Unified System with the Unified System*
COMPARABLE SOIL GROUPS IN AASHTO SYSTEM
SOIL GROUP
IN UNIFIED MOST POSSIBLE BUT
SYSTEM PROBABLE POSSIBLE IMPROBABLE
GW A-1-a — A-2-4, A-2-5, A-2-6, A-2-7

.....................................................................................................................
GP A-1-a A-1-b A-3, A-2-4, A-2-5, A-2-6, A-2-7
.....................................................................................................................
GM A-1-b, A-2-4, A-2-5, A-2-7 A-2-6 A-4, A-5, A-6, A-7-5, A-7-6, A-1-a
.....................................................................................................................
GC A-2-6, A-2-7 A-2-4, A-6 A-4, A-7-6, A-7-5
.....................................................................................................................
SW A-1-b A-1-a A-3, A-2-4, A-2-5, A-2-6, A-2-7
.....................................................................................................................
SP A-3, A-1-b A-1-a A-2-4, A-2-5, A-2-6, A-2-7
.....................................................................................................................
SM A-1-b, A-2-4, A-2-5, A-2-7 A-2-6, A-4, A-5 A-6, A-7-5, A-7-6, A-1-a
.....................................................................................................................
SC A-2-6, A-2-7 A-2-4, A-6, A-4, A-7-6 A-7-5
.....................................................................................................................
ML A-4, A-5 A-6, A-7-5 —
.....................................................................................................................
CL A-6, A-7-6 A-4 —
.....................................................................................................................
OL A-4, A-5 A-6, A-7-5, A-7-6 —
.....................................................................................................................
MH A-7-5, A-5 — A-7-6
.....................................................................................................................
CH A-7-6 A-7-5 —
.....................................................................................................................
OH A-7-5, A-5 — A-7-6
.....................................................................................................................
PT — — —
Copyright ASTM.
Reprinted with permission.
* After T. K. Liu (1967).
the soil material and the method used to apply the energy. in effect decreasing the void spaces. Beyond a certain mois-
Intra-particle bonds of cohesive soils resist the compactive ture content the unit weight of the soil begins to decrease
efforts. Increasing the water content to an optimum value because of the incompressibility of water. At this stage the
decreases the cohesive resistance and, hence, increases the moisture in the soil begins to occupy the space that could
effects of the compactive efforts. Distortion and reorienta- have been occupied by the soil particles. The moisture con-
tion of the particles affects the density of such soils. Resis- tent, which maximizes the unit weight of the soil with a
tance to compactive efforts of cohesionless soils is constant-compactive effort, is referred to as the optimum
attributable to the intergranular friction that is aided by moisture content (OMC).
capillary tension. Increased density in these soils occurs
mostly through rearrangement of the particles. Again, in- Proctor Tests
creasing the moisture content may increase the effects of The two most widely-used standard laboratory tests to de-
the compactive efforts by decreasing capillary tension. termine the maximum dry-unit weight and optimum mois-
The degree of compaction is measured relative to the ture content of a soil are the standard Proctor test and the
maximum dry-unit weight of the soil. Water added to the modified Proctor test. The standard Proctor test (ASTM D-
soil during compaction acts as a lubricant. The soil particles 698, AASHTO T-99) consists of compacting a soil sample
slip over each other and form a more dense arrangement. in a mold having a volume of 1⁄30 ft.3 The compaction is
For a given soil and constant-compaction energy, the dry- done by dropping a weight of 5.5 lb from a height of 12
unit weight increases as the moisture content increases up in. onto the soil sample. The weight is dropped 25 times
to a certain point. The increase unit weight is the result of onto each of three equal depth layers. For the given soil
fitting more and more soil particles into the same volume, sample, the unit weight (␥) is

SOILS
W The curve of Figure 39.15 shows that for a given density,

␥⫽ (39.15)
below the maximum, there are two corresponding values
Vm
for the water content. Even though the theoretical density
where W is the weight of the sample and Vm is the volume of the two values is the same, there is a difference in prop-
of the mold. The moisture content in percent is determined erties of a cohesive soil compacted on the dry side of OMC
by the difference of the weight of the sample as tested and (i.e., w ⬍ OMC) compared to the same soil compacted on
its weight after drying, as given by Eq. (39.16). the wet side of OMC (i.e., w ⬎ OMC). These differences
are attributable to the arrangement of the soil particles after
Wm ⫺ Wd
w⫽ ⫻ 100 (39.16) compaction. At the lower water content, the soil particles
Wd have a flocculent, unorganized structural arrangement. At
where Wm is the weight of the moist sample and Wd is the the higher water content, the platy clay particles become
weight of the sample after drying. The dry-unit weight (␥d) parallel, yet the soil is dispersed because of the presence of
of the soil is then, more moisture.
For the same compactive effort, a cohesive soil com-
␥ pacted on the dry side of OMC will usually be more per-
␥d ⫽ (39.17)
1⫹w meable than the same soil compacted to the same density
on the wet side of OMC. The unconfined compression
where w is the moisture content expressed as a decimal. strength is lower for cohesive soils compacted on the wet
The test is performed several times. Prior to running side of OMC as compared to the strength of a soil com-
each test, the moisture content of the soil sample is in- pacted on the dry side for the same density. The potential
creased by adding more water. The results of the test are swell of clays increases with density and decreases with
plotted on a graph, with the moisture content on the or- molding moisture. A clay compacted with a moisture con-
dinate and the dry-unit weight on the abscissa. This mois- tent drier than the plastic limit has a greater potential for
ture-density relationship is referred to as a compaction swell than if the clay soil is compacted wet. Limiting com-
curve. The compaction curve is normally bell-shaped, with paction and maintaining the moisture content at or above
a distinct maximum dry-unit weight at certain moisture the plastic limit attains minimization of swell.
content, as illustrated Figure 39.15. It must be noted, how- As illustrated in Figure 39.16, an increase in the com-
ever, that not all soils have such distinct peaks. paction effort results in an increase in the maximum dry-
unit weight of the soil. Additionally, the increased
compactive effort results in the maximum dry-unit weight
of the soil occurring at a lower moisture content. Since the
time the Proctor test was first instituted, the capability to
increase the compactive effort in the field has improved
because of the increase in size and weight of compacting
equipment. To account for the heavier machinery, the Proc-
tor test has been changed slightly. The modified Proctor test
(ASTM D-1557) simulates this increased capability by using
a 10-lb hammer from a drop height of 18 in. The number
of hammer blows is 25 per layer, and the number of equal-
depth layers increases to 5. The results are an increase in
the maximum dry-unit weight of the soil at a lower mois-
ture content.
Controlled Fill
For most soils, the soil will compact to its theoretically
greatest density at an optimum moisture content. This op-
timum moisture content (OMC) is around 8% for sands,
15% for silts, and 15% to 20% for clays. Fill areas that
support structures must be placed under rigidly controlled
conditions in order to insure suitable bearing capacity and
tolerable settlements. Typically, the controlled fill areas are
identified on the plan sheets as ‘‘controlled fill—see note
**’’ where note ** refers to the compaction specification
requirements relative to the maximum dry density and
F IGURE 39.15 Standard Proctor compaction test results for OMC of the fill material. Additionally, a maximum-lift
silty clay sample. (layer) thickness will also be specified.

SOILS
39 䡲 SOILS 1013
F I G U R E 3 9 . 1 6 Effect of compaction energy on dry-unit weight. From Principles of Geotechnical Engineering, 3rd edition, by B. M. Das 䉷
1994. Reprinted with permission of Brooks / Cole, an imprint of the Wadsworth Group, a division of Thomson Learning.
The specification for compaction might appear as ‘‘all fill thickness of the soil layers, also known as ‘‘lifts,’’ depends
shall be compacted to minimum 95% of the theoretical on the type of soil. Cohesive soils typically are placed in
maximum density and within Ⳳ2% of the optimum mois- lifts of 6 to 8 in. Lifts for well-graded gravel and sands are
ture content in accordance with the specifications of ASTM 10 to 12 in. The practice of compacting soils in small, uni-
D-698.’’ Here, the theoretical maximum density is the den- form lifts helps maintain a uniform strength throughout the
sity obtained from laboratory tests (i.e., standard Proctor). fill depth.
The 2% is the allowable tolerance of the moisture content Controlling moisture content during construction is rel-
from optimum. This allowable tolerance may vary some- atively easy for sandy soils and those that are drier than
what depending on the compaction curve of the soil and OMC. Dry soils are sprinkled with water before or as the
the type of project. Specifying a percentage rather than a soil is being compacted. The soil needs to be thoroughly
unit weight allows for the inherent variability of soils. This mixed for even distribution of moisture. Soils wetter than
insures a compactive effort in the field comparable to the the OMC can be spread to dry or mixed with other drier
laboratory test. The required density of the placed fill de- suitable soils before being placed. In general, plastic (clayey)
pends on the purpose of the compacted soil. Considerable soils are more sensitive to moisture content and must be
cost savings can be realized by matching the density to the compacted within a smaller range of the OMC to attain
purpose. Table 39.14 provides recommendations for com- maximum density.
paction requirements. Specifications for controlled fill require that certain ma-
Spreading a layer of soil to an appropriate thickness and terials be excluded. These materials reduce the ultimate at-
using the proper equipment to compact the layer helps to tainable strength or exacerbate settlement problems.
control compaction during construction. When compaction Materials, such as soils, with excessive organic contents
of that layer is completed, another layer is spread and the (⬎10%), trees, and vegetation cause excessive localized set-
equipment compacts the next layer. This process is repeated tlements after degradation. Large boulders, cobbles, flat
until the fill area is brought to the desired elevation. The

SOILS
TABLE 39.14 Compaction Requirements*

TOLERABLE
RANGE
REQUIRED OF MAXIMUM
DENSITY MOISTURE PERMISSIBLE
% OF ABOUT LIFT
FILL UTILIZED STANDARD OPTIMUM, THICKNESS,
FOR: PROCTOR % COMPACTED (in.) SPECIAL REQUIREMENTS
Support of 95 ⫺2 to ⫹2 12 Fill should be uniform. Blending or processing of
structure borrow may be required. For plastic clays, investi-
gate expansion under saturation for various com-
paction moisture and densities of loads equal to
those applied by structure, to determine condition
to minimum expansion. Clays that show expensive
tendencies generally should be compacted at or
above optimum moisture to a density consistent
with strength and incompressibility required of the
fill.
.....................................................................................................................
Lining for 90 ⫺2 to ⫹2 6 For thick linings, GW-GC, GC, SC are preferable
canal or small for stability and to resist erosive forces. Single
reservior size silty sands with PI less than five generally are
not suitable. Remove fragments larger than 6 in.
before compaction.
.....................................................................................................................
Earth dam 95 ⫺1 to ⫹2 12(⫹) Utilize least pervious materials as central core and
greater than coarsest materials in outer shells. Core should be
50 ft high free of lenses, pockets, or layers of pervious mate-
rial and successive lifts well bonded to each other.
Amounts of oversize exceeding 1% of total mate-
rial should be removed from the borrow prior to
arrival on the embankment.
.....................................................................................................................
Earth dam less 92 ⫺1 to ⫹3 12(⫹) In small dams that lack elaborate zoning, materials
than 50 ft high that are the most vulnerable to cracking and piping
should be compacted to 98% density at moisture
content from optimum to 3% in excess of opti-
mum.
.....................................................................................................................
Support of 95% within top ⫺2 to ⫹2 8(⫹) Place coarsest borrow materials at top of fill. In-
pavements: 2.0 ft; 90% vestigate expansion of plastic clays placed near
Highways below top 2.0 pavement subgrade to determine compaction mois-
ft ture and density that will minimize expansion and
provide required soaked CBR values.
.....................................................................................................................
Backfill 90 ⫺2 to ⫹2 8(⫹) Where backfill is to be drained, provide pervious
surrounding coarse-grained soils. For low walls, do not permit
structure heavy rolling compaction equipment to operate
closer to the wall than a distance equal to about
2
⁄3 the unbalanced height of fill at any time. For
highwalls or walls of special design, evaluate the
surcharge produced by heavy compaction equip-
ment by the methods of Chapter 3 and specify
safe distances back of the wall for its operations.

SOILS
39 䡲 SOILS 1015
TABLE 39.14 Compaction Requirements* (Continued)

TOLERABLE
RANGE
REQUIRED OF MAXIMUM
DENSITY MOISTURE PERMISSIBLE
% OF ABOUT LIFT
FILL UTILIZED STANDARD OPTIMUM, THICKNESS,
FOR: PROCTOR % COMPACTED (in.) SPECIAL REQUIREMENTS
Backfill in pipe 90 ⫺2 to ⫹2 8(⫹)
Material excavated from trench generally is suitable
or utility for backfill if it does not contain organic matter or
trenches refuse. If backfill is fine grained, a cradle for the
pipe is formed in natural soil and backfill placed
by tamping to provide the proper bedding. Where
free-draining sand and gravel is utilized, the trench
bottom may be finished flat and the granular mate-
rial placed saturated under and around the pipe
and compacted by vibration.
.....................................................................................................................
Drainage 90 Thoroughly 8 Ordinarily vibratory compaction equipment is util-
blanket or filter wetted ized. Blending of materials may be required for
homogeneity. Segregation must be prevented in
placing and compaction. For compaction adjacent
to and above drainage pipe, use hand tamping or
light travelling vibrators.
.....................................................................................................................
Subgrade of 95 ⫺2 to ⫹2 — For uniform bearing or to break up pockets of
excavation for frost-susceptible material, scarify the upper 8 to 12
structure in. of the subgrade, dry or moisten as necessary
and recompact. Certain materials, such as heavily
preconsolidated clays that will not benefit by com-
paction, or saturated silts and silty fine sands that
become quick during compaction, should be blan-
keted with a working mat of lean concrete or
coarse-grained material to prevent disturbance or
softening. Depending on foundation conditions re-
vealed in exploration, a substantial thickness of
loose soils may have to be removed below sub-
grade and recompacted, or compacted in place by
vibration, or pile driving.
.....................................................................................................................
Rock fill Thoroughly 2 to 3 ft. For fill containing sizes no larger than ft, place in
wetted layers not exceeding 24 in., thoroughly wetted and
compacted by travel or heavy crawler tractors in
spreading. Material with sizes up to 2 ft may be
placed in 3 ft lifts. Placing should be such that the
maximum size of rock increases toward the outer
slopes. Rocks larger than 1 yd3 in volume should
be embedded on the slope.
Notes:
1. Density and moisture content refer to ‘‘Standard Proctor’’ test values, (ASTM D 698)
2. Generally, a fill coompacted dry of OMC will have higher strength and a lower compressibility even after saturation.
3 Compaction of ‘‘Carse-grained, granular soil’’ is not sensitive to moisture content so long as bulking moisture is avoided. Where practicable, they should be
placed saturated and compacted by vibratory methods.
* NAVFAC DM7.2.

SOILS
shaly fragments, and construction debris also adversely af- For test #2:
fect compaction.
Table 39.15 lists various soils and where their use may 7.25 lb
Vol2 ⫽ ⫽ 0.063 ft3 (39.19)
be most effective. Table 39.16 summarizes the USC classi- 114.5 lb/ft3
fication of soils for use in roads and airfields. 8.45 ⫺ 7.41
w2 ⫽ ⫻ 100 ⫽ 14.0%
Methods for Monitoring Field Compaction 7.41
Specifications typically dictate the desired results for com- 7.41 lb
␥d 2 ⫽ ⫽ 117.6 lb/ft3
paction in order to insure a result that will have a reliable 0.063 lb/ft3
performance. Part of the assurance, dictated by specifica-
tions, involves the field testing of in-place fill. Several stan- The results show that compaction in the area of
dard methods exist for field testing the in-place soil to test #1 does not meet specifications. The moisture
determine if the compaction efforts are producing specifi- content is less than 2% of optimum and the unit
cation quality. weight is less than 95% MDD. Test #2 meets the com-
The sand cone test (ASTM D-1556) and the rubber bal- paction requirements.
loon test (ASTM D-2167) use material of known density to
fill a small-excavated hole in the compacted area. In the Compaction Equipment
sand cone test the excavated hole is filled with sand. The In the laboratory, soil type and moisture content are the
balloon test inserts a balloon into the hole and fills it with main factors affecting maximum density. However, in the
water. In either case the volume of the hole can be deter- field other factors, which cannot be as rigidly controlled as
mined from the amount of sand or water used to fill the in the laboratory, affect the actual degree of compaction.
excavated hole. The excavated material is then weighed, Such factors as the thickness of the lift, intensity of pressure
oven dried, and weighed again to determine the water con- applied, area of applied pressure, and number of times pres-
tent. The results are then compared to the specification. sure is applied all determine the ultimate unit weight at-
The most popular method of determining compaction tained at the project site. Effective compaction is attained
uses a nuclear density gage to measure the density and wa- by applying a large enough force to reorient and densify
ter content. The gage consists of a radiation source, radia- the soil particles; however, too large of a force can cause
tion detector, and counter. The gage emits radiation into the soil mass itself to be sheared.
the soil and the reflected emissions are counted. Knowing Rollers are the primary method for field compaction.
how the density and water reflect the emissions determines Rollers compact the soil by expelling air from the voids and
the unit weight and moisture content of the soil. The ad- forcing the soil particles into a compact arrangement. Com-
vantages of this method are that the test does not require mon rollers are: smooth-drum roller, pneumatic rubber-
a hole and that the results are available immediately. tired roller, sheepsfoot roller, and vibratory roller. Figure
An example will illustrate how data from the sand cone 39.17 shows a vibratory smooth drum and sheepsfoot roller
test measures compaction. working in tandem to compact an engineered fill. Rollers
are available in various sizes and weights. Roller weights
E X A M P L E : The test results from a sand cone test can be varied somewhat by filling the drums or body with
are shown in Table 39.17. Determine if the compac- fluid or sand. The type of roller used depends on soil char-
tion meets the required specifications. The project acteristics, maneuvering space, intended function of the
specifications require compaction to 95% of the max- embankment, and economic considerations.
imum dry density (MDD) with moisture content to Smooth-drum rollers are best suited for finish rolling of
be within 2% of OMC as determined by the Proctor subgrades. The drum rollers provide 100% coverage with
test. Laboratory test results indicate the MDD as contact pressures up to 55 lb/ft2 in. Although these rollers
119.5 lb/ft3 at an OMC of 13.0%. At the project site, can be used for all but rocky soils, they are most effective
two tests were made. The sand used in the sand cone on sandy and silty soils. Smooth-drum rollers do not pro-
test had a density of 114.5 lb/ft3. duce high unit weights of compaction if used on thick lifts
Specification requirements for this soil: and are ineffective for compacting cohesive soils in earth
Dry density, ␥d ⫽ 0.95 ⫻ 119.5 ⫽ 113.5 lb/ft3 dams. The smooth soil surfaces between lifts are potential
Moisture content, w: Min 11.0%, Max 15.0% planes of weakness for the lateral hydrostatic forces and
For test #1: seepage paths.
The pneumatic rubber-tired roller is a heavily-loaded
9.05 lb
Vol1 ⫽ ⫽ 0.079 ft3 (39.18) wagon with rows of four to six tires spaced closely together.
114.5 lb/ft3 Contact pressures in these rollers range from 100 to 150
9.66 ⫺ 8.75 psi and provide 70% to 80% coverage. Heavy rubber-tired
w1 ⫽ ⫻ 100 ⫽ 10.4% rollers are not recommended for initial rolling of highly
8.75
plastic clays. Best effects of these rollers are on soils from
8.75 lb clean sand to silty clays. Compaction is achieved through
␥d1 ⫽ ⫽ 110.8 lb/ft3
0.079 ft3 the combined effects of the pressure and kneading action.
1016
TABLE 39.15 Engineering Uses for USC Soils
RELATIVE DESIRABILITY FOR VARIOUS USES*
IMPORTANT PROPERTIES ROADWAYS
SHEARING FILLS
STRENGTH CANAL SECTIONS FOUNDATIONS
WHEN COMPRESSIBILITY WORKABILITY FROST
ROLLED EARTH DAMS
PERMEABILITY COMPACTED WHEN AS A COMPACTED SEEPING HEAVE FROST
GROUP WHEN AND COMPACTED AND CONSTRUCTION HOMOGENOUS EROSION EARTH SEEPAGE NOT NOT HEAVE
TYPICAL NAMES OF SOIL GROUPS SYMBOLS COMPACTED SATURATED SATURATED MATERIAL EMBANKMENT CORE SHELL RESISTANCE LINING IMPORTANT IMPORTANT POSSIBLE POSSIBLE SURFACING
Well-graded gravels, gravel-sand GW pervious excellent negligible excellent — — 1 1 — — 1 1 1 3

mixtures, little or no fines
.............................................................................................................................................................................
Poorly graded gravels, gravel-sand GP very pervious good negligible good — — 2 2 — — 3 3 3 —
SOILS
mixtures, little or no fines

.............................................................................................................................................................................
Silty gravels, poorly graded gravel- GM semipervious good negligible good 2 4 — 4 4 1 4 4 9 5
sand-silt mixtures to impervious
..................................................................................................

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Table of Contents

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OVERVIEW OF THE LAND

LAND DEVELOPMENT approach to land use planning, analysis, and engineering is

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1 䡲 OVERVIEW OF THE LAND DEVELOPMENT PROCESS 5

TABLE 1.1 Population of Principal Cities 1800–1850 (U.S. Census Bureau)

Boston, Mass. 24,937 33,250 43,298 61,392 93,383 136,881

F IGURE 1.1 An antique omnibus. (Chicago Historical Society)

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1 䡲 OVERVIEW OF THE LAND DEVELOPMENT PROCESS 7

F IGURE 1.2 Horsecar of 19th century. (Chicago Historical Society)

F IGURE 1.3 Typical electric streetcar. (Chicago Historical Society)

harmonize their property with the character of the land.

The End of the First Boom and the Beginning of Federal

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1 䡲 OVERVIEW OF THE LAND DEVELOPMENT PROCESS 9

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FExample: detailed preliminary plan.

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1 䡲 OVERVIEW OF THE LAND DEVELOPMENT PROCESS 13

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1 䡲 OVERVIEW OF THE LAND DEVELOPMENT PROCESS 15

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1 䡲 OVERVIEW OF THE LAND DEVELOPMENT PROCESS 17

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FEASIBILITY AND SITE

INTRODUCTION preliminary plans have been reviewed and approved

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F IGURE II.1 Example of a base map.

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FEASIBILITY AND SITE ANALYSIS 21

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Example of series of site analysis (seven maps).

(Continued) Example of series of site analysis (seven maps).

(Continued) Example of series of site analysis (seven maps).

(Continued) Example of series of site analysis (seven maps).

(Continued) Example of series of site analysis (seven maps).

(Continued) Example of series of site analysis (seven maps).

(Continued) Example of series of site analysis (seven maps).

Example of composite map showing opportunities and constraints analysis.

FEASIBILITY AND SITE ANALYSIS 31

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PART II.A ALLOWABLE USE OF SITE

within which the company operates. Absent this expertise,

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2 䡲 COMPREHENSIVE PLANNING AND ZONING 35

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2 䡲 COMPREHENSIVE PLANNING AND ZONING 37

䡲 Population 18 goals formed the basis for a 3-year, multiphased review

2 䡲 COMPREHENSIVE PLANNING AND ZONING 39

F IGURE 2.2 Example of a comprehensive plan map.